text string | id string | dump string | url string | date string | file_path string | offset int64 | token_count int64 | language string | page_average_lid string | page_average_lid_score float64 | full_doc_lid string | full_doc_lid_score float64 | per_page_languages list | is_truncated bool | extractor string | page_ends list | fw_edu_scores list | minhash_cluster_size int64 | duplicate_count int64 |
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Instructions:
- Section I consists of 10 multiple choice questions, with each question worth 2 points. There is only one correct option on multiple choice questions.
- Section II consists of 2 multipart free response questions.
- A calculator is allowed; show all work for calculations unless otherwise stated.
- Recommended time management: 30 minutes on each section.
1. Consider a tropical cyclone with geostrophic winds located above a uniform open ocean. Which of the following best describes the effect the cyclone would have on the ocean circulation directly beneath it?
A. Upwelling
B. Downwelling
C. Upwelling in the Northern Hemisphere and downwelling in the Southern Hemisphere
D. Downwelling in the Northern Hemisphere and upwelling in the Southern Hemisphere
E. Little to no effect
**Solution:** Tropical cyclones are low-pressure systems. Although the pressure gradient force (PGF) drives the wind towards the center of the cyclone, winds given to be geostrophic (as in this question) will flow parallel to isobars from the Coriolis effect. As these winds exert drag on the ocean surface, the Coriolis effect causes a net transport of water 90° from the wind direction in a process known as Ekman transport. Ekman transport is directed outwards from this cyclone regardless of hemisphere because the final direction of water movement is 180° from the pressure gradient in this idealized case: from the PGF, geostrophic winds make up 90°, and the effect of wind on water movement accounts for the other 90°. The result is Ekman suction, where deeper water upwells to compensate for surface water moving outwards.
2. An oceanographer measures the horizontal flow velocity in a water column at a latitude of 45°N and finds two highs: one at the surface of 1 m/s east and another near the bottom of 3 m/s south. Assuming water movement is only affected by ideal Ekman transport, which of the following is closest to the direction of net horizontal flow through the column?
A. ESE
B. SSE
C. S
D. SSW
E. SW
**Solution:** Top flow: Net Ekman transport has a 45° difference from surface flow (recall that due to the Coriolis effect, surface flow is 45° from wind direction and net Ekman transport is perpendicular to wind direction). Since the oceanographer is located in the Northern Hemisphere, the Coriolis effect acts clockwise and the top of the water column experiences south-east Ekman transport. Bottom flow: the Ekman spiral acts in the opposite direction. By the same reasoning as before, bottom flow nets south-west.
Given that the bottom flow is three times as strong as the top flow, the two flows sum to a net flow direction of south-south-west (the actual angle is approximately 18.5° from south).
3. Amphidromic points are locations that have zero tide amplitude for a harmonic constituent of a tide. Which of the following is the primary cause of the circular rotation of tides in a basin around an amphidromic point?
A. Water temperature
B. Basin depth
C. Height of tidal crests
D. Coriolis effect
Solution: While all of these factors in part determine the location of amphidromic points, the Coriolis effect is most relevant to their circular rotation. Since tides are considered over long distances, the Coriolis effect is the most important factor as it deflects water in a basin around the central amphidromic point rather than affecting speed or period.
4. The surface topography of ice sheets typically plays a larger role than the bed topography in determining the direction of subglacial (beneath the glacier) water flow. Suppose that at a glacier bed, water flows uphill from point A to point B. Which of the following must be true?
A. The ice surface is level while the bed topography is not.
B. The ice surface elevation is greater at point A than point B.
C. The difference between the surface and bed elevation is greater at point A than point B.
D. The slope of the surface topography is greater than the bed topography.
E. The slope between points A and B are in the same direction for surface and bed topography.
Solution: In contrast to subaerial hydrologic settings where water flows without overlying ice, ice overburden pressure in subglacial settings largely determines the direction of waterflow between two given points, with lesser influence from bed slope. Water will flow from points of high pressure to points of low pressure, and accordingly, points of thicker to thinner ice. Ice thickness is equal to the difference between ice surface elevation and bed elevation.
5. Shown below is a map of Arctic sea ice cover. Sea ice extent in the map is higher than the annual average extent of ice cover.
Which of the following statements is/are true?
I) The map could represent the extent of Arctic sea ice cover in October.
II) The pattern of ice cover in the boxed region is created by clockwise gyres.
III) Dissolved surface oxygen levels at A are likely higher than at B.
5. The following statements are made about Arctic sea ice:
I) Arctic sea ice typically peaks in March, corresponding to the greatest rate of increase in daylight, and reaches its minimum in September, corresponding to the greatest rate of decrease in daylight. Thus, October sea ice is likely to be lower than annual averages, not higher.
II) Subpolar gyres are counterclockwise in direction. The southward currents along eastern Canada and eastern Greenland and the northward currents along western Greenland and Europe’s west coast are part of such gyres, explaining the sea ice that extends along eastern coastlines.
III) Dissolved oxygen levels decrease with increasing temperature and salinity. Proximity to cooler waters and fresh meltwater results in more dissolved oxygen at A than at B, which is affected by a warm current.
Which of the following statements is/are true?
A. I only
B. II only
C. III only
D. I and II
E. I and III
F. II and III
Solution: Arctic sea ice typically peaks in March, corresponding to the greatest rate of increase in daylight, and reaches its minimum in September, corresponding to the greatest rate of decrease in daylight. Thus, October sea ice is likely to be lower than annual averages, not higher - I is false. Subpolar gyres are counterclockwise in direction. The southward currents along eastern Canada and eastern Greenland and the northward currents along western Greenland and Europe’s west coast are part of such gyres, explaining the sea ice that extends along eastern coastlines - II is false. Finally, dissolved oxygen levels decrease with increasing temperature and salinity. Proximity to cooler waters and fresh meltwater results in more dissolved oxygen at A than at B, which is affected by a warm current - III is true.
6. The global distribution of microplastics is controlled by ocean currents. A Lagrangian particle-tracking experiment is conducted in an ocean model using estimates of isolated components of overall surface flow (geostrophic, Ekman, and Stokes drift). Plastic particles are spread evenly on the surface ocean and left to drift. The particle density after 13 years is shown below.
(Onink et al., 2019)
Which of the following statements is/are true?
I) The microplastic distribution is largely controlled by geostrophic currents since most ocean currents are in geostrophic balance.
II) Microplastics tend to congregate in areas where there is Ekman-driven downwelling.
A. I only
B. II only
C. I and II
D. None
**Solution:** From the experiment with only geostrophic currents, we see that the microplastics are far too spread out compared to the distribution with all flow components. This indicates that geostrophic currents tend to spread microplastics, while Ekman and Stokes flow components tend to concentrate them. Further, microplastics congregate where there is surface Ekman convergence. By a mass conservation argument, those areas also experience Ekman-driven downwelling.
7. Tritium ($^3$H) is a radioactive isotope of hydrogen that decays to helium-3 ($^3$He). Measuring the distribution of these isotopes is useful in studying the ventilation and circulation of the upper ocean.
The concentrations of $^3$H and $^3$He are collected from a section of the North Atlantic. At each location, a subsequent radioactive decay age is calculated using the concentrations of $^3$H and $^3$He. Shown below is the $^3$H–$^3$He age on the 1026.6 kg m$^{-3}$ isopycnal.
(Jenkins, 1998)
Which of the following is **not** true? *(Hint: consider how the calculated age changes with depth along the isopycnal.)*
A. $^3$H is introduced into the ocean from the atmosphere
B. The $^3$H–$^3$He age is an imperfect indicator of the time-since-surface-ventilation due to mixing
C. **The flow through this section is primarily southeast, parallel to $^3$H–$^3$He isochrons**
D. The average $^3$H–$^3$He age over the 1027 kg m$^{-3}$ isopycnal would be greater than the average age over the 1026.6 kg m$^{-3}$ isopycnal
**Solution:** We begin by noting that the $^3$H–$^3$He age is smallest near the surface and increases with depth, hinting that it is an indication of the “ventilation” age (i.e., the time since a water parcel has had contact with the air). However, since water parcels intermix, the instantaneous concentrations at any point do not represent the true ventilation age of the parcel. The flow direction can be inferred to be along the isopycnal towards the southwest, as we expect the $^3$H–$^3$He age to increase downstream. This is an example of water mass subduction.
8. Which of the following statements is/are true about carbon cycling in the ocean?
I) Nonaggregated dead organic matter has a greater carbon input than aggregated organic matter.
II) Ocean circulation can bring old carbon from the seafloor to the surface.
III) There is less carbon stored in the ocean than the atmosphere.
A. I only
B. II only
C. I and II
D. II and III
E. I, II, and III
F. None
Solution: Aggregated clumps of organic matter sink faster than small particles of organic matter. A faster transport time decreases the likelihood of being consumed or decomposing before reaching the seafloor - I is false. Deep circulation can slowly bring carbon from the seafloor to the atmosphere - II is true. The amount of carbon stored through the ocean is magnitudes greater than land, so III is false.
9. The Whillan’s Ice Stream is located in the West Antarctic Ice Sheet and exhibits a stick-slip cycle of motion at its grounding zone. Shown below is this motion (purple line) and the tidal height (blue line) at the grounding zone of the Whillan’s Ice Stream. Which of the following statements are true regarding this ice stream?
I) The grounding zone of the Whillan’s experiences a semidiurnal tidal pattern.
II) The correlation between stick-slip and the tidal pattern are likely stronger at spring tide than at neap tide.
III) During flood tide, the increase in backstress likely outweighs the reduction in normal stress from the increased buoyancy of the ice stream.
A. I only
B. II only
C. III only
D. I and II only
E. II and III only
F. I, II and III
Solution: Because we only see one trough, or one low tide each day, it must experience a diurnal tidal pattern - I is false. The larger tidal range at spring tide would lead to greater changes than at neap tide - II is true. III is also true, because we do not see a spike in glacial movement during the flood tide, meaning the forces holding the glacier back must exceed the forces that would allow it to move forward more easily.
10. The diagram below plots soil moisture content versus tension head for two soils. Tension head is defined as the attractive force between soil particles and the water molecules as a result of adhesion. Given this information, which of the following is **false**?
A. Soil A has a larger average particle size than soil B.
B. Soil B would serve as a good aquitard.
C. After a rainstorm that completely saturates the soil, plants could draw more water from Soil A than Soil B.
D. During a period without precipitation, Soil A would maintain its moisture content more effectively than Soil B.
Solution: As soil moisture is lowered to below saturation, capillary forces (adhesion) between the water and the surface of the soil particles make water harder to withdraw, resulting in the tension head. Larger particle sizes correspond to less surface area for adhesion to occur such that more water can be removed before the tension head starts increasing in magnitude - A) is true. Likewise, we can infer that it has very small particles and it is also difficult for water to move through (low permeability), so B) is true. Plants can not draw water once the magnitude of the tension head is too high, so C) is true. However, because A has a lower tension head at high moisture content, that moisture can more easily escape during a period without precipitation. D) would be false and the correct answer.
As anthropogenic climate change intensifies and we continue to draw on water resources, the hydrologic cycle continues to be altered. The following questions ask you to think about potential changes to our freshwater systems.
1. The following parts ask about lake mixing in light of climate change.
(a) (1 point) Which of the following types of lakes is most likely to be the first to experience decreased lake turnover as a result of global warming?
A. Warm monomictic (mixes once annually in winter)
B. Cold monomictic (mixes once annually in summer)
C. Dimictic (mixes twice annually in spring and fall)
D. Polymictic (mixes throughout year)
(b) (2 points) Explain your reasoning to the question above.
**Solution:** Lake turnover occurs in the absence of density stratification, requiring the water column to be isothermal assuming salinity effects are negligible. In warm monomictic lakes, surface water cools to the same temperature as the bottom water in the winter. Increased warming reduces winter surface cooling, which in turn reduces turnover. In cold monomictic lakes, increased warming would help bring surface waters to the same temperature as bottom waters, increasing turnover. In dimictic lakes, it would help with warming surface waters in the spring, and would simply delay fall turnover. Polymictic lakes are shallow and do not have seasonal turnovers. (Solution scored only on part relevant to warm monomictic lakes.)
(c) (2 points) Name two potential consequences of reduced lake turnover on lake chemistry. Explain why for each consequence.
**Solution:** Possible answer 1: Lower oxygen content in the hypolimnion. Little oxygen can be generated in the hypolimnion without turnover as it is too dark for photosynthesis and does not have contact with the atmosphere. Possible answer 2: Lower nutrient content in surface waters. In summer, nutrients rather than sunlight is limiting, so nutrients are depleted at the surface. Bottom waters have more nutrients from respiration that would be reintroduced to the surface upon mixing. Possible answer 3: Higher concentrations of toxic gases in deeper waters. Less overturning leads to the release of toxic gases from decomposition that would otherwise be released into the atmosphere.
2. Below is the before (A) and after (B) of the Drweca River in Poland before and after channelization (channel straightening).
Answer the following questions regarding this area.
(a) (2 points) How is downstream flooding expected to change? Be sure to mention the lag time between precipitation and flooding along with the height of the flood peak.
**Solution:** Downstream flooding is likely to become more intense with a higher flood peak and a shorter lag time (i.e. more “flashy”).
(b) (2 points) Would you expect the land in this image to become more or less fertile as a result of channelization? Explain your response.
**Solution:** Less fertile. Channelization tends to increase the water velocity in the region where the water is channelized, directing the water downstream and inhibiting flooding (aside from downstream the flood risk). This reduction in flooding means that the floodplains are less frequently replenished with nutrient-rich sediments.
3. (4 points) Aquifer Areca, shown in the image above, is an idealized confined aquifer with a uniform thickness of 45 ft and an area of 1000 acres. After 280,000 cubic feet of water is extracted from the aquifer by the well, the piezometer senses a pressure drop of 0.25 psi (pounds per square inch). Assuming that the water is drawn evenly from the entire aquifer, what is the compressibility $\alpha$ of the aquifer in m s$^2$ kg$^{-1}$? **Show your work**, box your answer, and give your answer to 3 significant figures. Relevant formulas and units are given below:
Storativity ($S$): $S = S_s b$ (for confined aquifers only)
Defined as the volume of water that can be released per horizontal area per unit decline in hydraulic head. In this equation, $S_s$ represents specific storage and $b$ represents the thickness of the aquifer.
Specific storage ($S_s$): $S_s = (\rho g(\alpha + \eta \beta))$
Defined as the volume of water that can be released per volume of aquifer per unit decline in hydraulic head. In this equation, $\rho$ represents the density of water, $g$ represents gravitational acceleration, $\alpha$ represents aquifer compressibility, $\eta$ represents porosity, and $\beta$ represents the compressibility of water.
| $\rho$ | 1000 kg m$^{-3}$ |
|--------|------------------|
| $g$ | 9.81 m s$^{-2}$ |
| $\eta$ | 0.35 |
| $\beta$ | $4.4 \times 10^{-10}$ m s$^2$ kg$^{-1}$ |
| 1 ft$^3$ of water | 62.4 lbs |
| 1 acre | 43,560 ft$^2$ |
| 1 m | 3.28 ft |
**Solution:**
**Step 1: Solve for Storativity**
$$\frac{62.4 \text{lbs}}{\text{ft}^3} \div \frac{144 \text{in}^2}{\text{ft}^2} = 0.433 \text{psi}$$
From this, we know that each ft increase in pressure head correlates to a 0.433 increase in psi.
$$0.25 \div 0.433 = 0.577$$
Therefore, the 0.25psi drop corresponds to a 0.577 ft drop in hydraulic head. Knowing this, we can divide the total volume released by the area and the decrease in hydraulic head to get Storativity, the unit volume released per unit area per unit decrease in hydraulic head.
$$S = \frac{280,000 \text{ft}^3}{43,560 \text{ft}^2 \cdot 1000 \cdot 0.577 \text{ft}} = 0.01114$$
**Step 2: Solve for Specific Storage ($S_s$)**
$$S_s = \frac{S}{b} = \frac{0.01114}{45 \text{ft}} = 2.476 \times 10^{-4} \text{ft}^{-1}$$
**Step 3: Solve for Aquifer Compressibility**
First, convert from freedom units to SI units, as all units for the Specific Storage equation and Compressibility are in SI units.
$$S_s = \frac{2.476 \times 10^{-4}}{\text{ft}} \times \frac{3.28 \text{ft}}{\text{m}} = 8.121 \times 10^{-4} \text{m}^{-1}$$
Then, plug into the equation for Specific Storage and solve for $\alpha$, aquifer compressibility
$$\frac{8.121 \times 10^{-4}}{\text{m}} = \frac{1000 \text{kg}}{\text{m}^3} \times \frac{9.81 \text{m}}{\text{s}^2} \times \left( \frac{\alpha \text{m s}^2}{\text{kg}} + 0.35 \times \frac{4.4 \times 10^{-10} \text{m s}^2}{\text{kg}} \right)$$
rearranging, we get
$$\alpha = 8.263 \times 10^{-8}$$
So, the compressibility of the aquifer is $8.263 \times 10^{-8} \text{m s}^2 \text{kg}^{-1}$
4. (1 point) Land subsidence occurs as a result of overdrawing water from an aquifer. If land starts subsiding drastically faster per unit amount of water pumped out of, it is a sign that the aquifer has most likely transitioned from a(n):
A. Elastic to inelastic compaction.
B. Inelastic to elastic compaction.
C. Pressure head greater than zero to a pressure head of zero.
D. Pressure head of zero to a pressure head greater than zero.
**Solution:** Generally, the rate of compaction suddenly increases when an aquifer transitions from elastic to inelastic compaction. The aquifer may still be saturated, just with a lower pressure head that can not support the weight of the sediments above it, so D and C are incorrect.
5. (1 point) **True/False**: In areas with nitrate and phosphate contamination in well water, streams are likely disconnected from the water table.
**Solution:** False. Nitrate and phosphate contamination from well water is generally due to overdrawing of water from a well, leading to water intrusion from nearby freshwater sources as the direction of groundwater flow flips from flowing towards the surface water flow and instead towards the well. Because contamination from the freshwater is carried into the groundwater, this means that the groundwater is connected to the surface water.
Sea level has fluctuated throughout geologic history on time scales as long as tectonics to those as short as present climate change. The following questions address some important considerations for the causes and effects of sea level change in both historical and modern contexts.
1. (2 points) Counter to what one might expect, the average sea surface height (SSH) at any given location does not always conform to the height of the geoid. Briefly explain how ocean circulation contributes to this discrepancy.
**Solution:** Major gyres (a consequence of prevailing winds, the rotation of Earth, and the location of land masses) occur in approximate geostrophic balance to create broad, gently undulating variations in SSH. Similar processes occur with smaller eddies. Since SSH depends on wind and land in addition to the gravity of the Earth at a particular location, we should expect for SSH to differ from the geoid.
2. One long-term influence on sea level is the creation and splitting of supercontinents, which affects the total volume of ocean basins as well as the global climate.
(a) (3 points) Compared to the Permian, is the Mississippian associated with higher or lower sea level? Explain using relationships between the supercontinent cycle, seafloor spreading, and ocean basin volume.
**Solution:** The Mississippian period is associated with higher sea level than the Permian. In general, when continents are apart (here they are about to form Pangea), greater seafloor spreading from mid-ocean ridges produces relatively hot, young oceanic lithosphere that is less dense and more buoyant than the cool, old lithosphere present in the Permian. Young lithosphere allows for a lower ocean basin volume, contributing to higher sea levels during this period.
(b) (2 points) The supercontinent cycle also impacts climate, another major influence on sea level. Explain whether the change in climate from the Mississippian to Permian period enhances or reduces the effect of ocean basin volume on sea level.
**Solution:** The change in climate enhances the effect of the change in ocean basin volume. The collision of continents build some of the largest mountain belts, lowering atmospheric carbon dioxide via silicate weathering. Weakened greenhouse effects promote glaciers formation, which lowers sea level by storing water over land rather than in the ocean. Moreover, in potentially transporting land to high latitudes, supercontinents can create favorable conditions for ice sheet formation.
3. (a) (1 point) At which of the following depth ranges would one best detect relatively long term changes in ocean heat content?
A. 0 m
B. 75–125 m
C. 200–250 m
D. 300–400 m
E. > 800 m
(b) (2 points) Justify your previous answer.
**Solution:** At any depths above about 700-800 meters, temperature appears to fluctuate on shorter time scales and are more likely caused by internal variability than an external forcing. While this does not necessarily rule out the overall warming of deep water over the 2006-2016 period as also being a product of natural variability of a longer period, it is reasonable to presume that deep water provides a stronger signal for long-term ocean warming trends.
4. (2 points) The figure below illustrates the fracturing ice shelf of the Thwaites Glacier to the right (color indicates elevation). Warming waters also contribute to sea level rise by inducing ice melt. Briefly describe how ice shelf break up can lead to the acceleration of Thwaites.
4. (2 points) The breakup of the Thwaites ice shelf in Antarctica is thought to have caused a 10% increase in ice flow from the West Antarctic Ice Sheet. Explain why.
**Solution:** The breakup of the ice shelf is thought to remove the 'buttressing' effect that prevents greater ice flow, especially because ice shelves like the one from Thwaites are held in place by an embayment.
5. (2 points) Despite melt from the Greenland ice sheet significantly contributing to global sea level rise, little local sea level rise has been observed at the Greenland coast so far. Describe two reasons why this may be. (*Hint: both relate to gravity.*)
**Solution:** First, since the Greenland Ice Sheet is rapidly losing mass, the land mass uplifts by isostatic rebound. As global mean sea level rises, uplifting land experiences less local sea level rise than land that is static or undergoing subsidence. Second, the loss of mass decreases the gravitational attraction of water towards Greenland.
6. (1 point) Other locations across the globe experience much more severe effects of sea level rise, such as many island and atoll nations. Current changes in sea level exacerbate coastal flooding even where coasts are at an elevation greater than the highest high tide. Name one possible cause responsible for this.
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COURSE SELECTION HANDBOOK
2024 - 2025
Grade 9 to 12
TAMANAWIS Secondary School
# TABLE OF CONTENTS
Where to find what you need
| DEPARTMENT / SUBJECT | PAGE |
|---------------------------------------|------|
| Business Education | 30 - 32 |
| Career Development | 54 - 62 |
| Culinary Arts | 35 |
| English Language Arts | 6 - 11 |
| Fine Arts - Dance | 43 |
| Fine Arts - Drama, Music, Visual Arts | 44 - 51 |
| Grade 9 Plan | 3 |
| Graduation Program | 4 - 5 |
| Home Economics | 33 - 34 |
| Leadership | 39 |
| Learning Support (LST) | 52 - 53 |
| Mathematics | 12 - 16 |
| Modern Languages | 17 - 19 |
| Peer Tutoring Program | 53 |
| Physical Education | 36 - 38 |
| Science | 20 - 24 |
| Social Studies | 25 - 29 |
| Technology Education | 40 - 42 |
Grade 9 Plan
What Courses Do I Need to Take?
1. English 9
2. Mathematics 9
3. Physical Education 9
4. Science 9
5. Social Studies 9
6. Applied Skills Elective
7. Fine Arts Elective
8. Elective
NOTE
1. At least one of the electives must be an Applied Skill (Technology Education, Information Technology, Home Economics or Business Education). All students are encouraged to take a Fine Art (Dance, Drama, Music, or Visual Arts).
2. Students are strongly encouraged to continue selecting a language class as an elective for as long as possible.
3. Students begin the Graduation Program in their Grade 10 year. Careful and thoughtful selection of electives during Grade 9 is important in the beginning to identify a focused area of study which students will be asked to consider and choose as they enter the Graduation Program.
The Graduation Program
Grades 10/11/12
REQUIRED CREDITS
A total of 80 credits are needed for Graduation. These are 52 of the 80 credits required for Graduation:
- Language Arts 10, 11, 12 (12 credits)
- Math 10 and 11 or 12 (8 credits)
- Physical Education 10 (4 credits)
- Career Life Education 10 (4 credits)
- Science 10 and a Science 11 or Science 12 (8 credits)
- Socials Studies 10 and a senior Social Studies (8 credits)
- Fine Arts or Applied Skills 10, 11 or 12 (4 credits)
- Career Life Connections 12 (4 credits)
- Indigenous Focus Coursework (see information below)
To graduate you need the 52 credits from required courses (listed above) and a minimum of 28 credits from elective courses. A minimum of 16 credits must be at the Grade 12 level, including Language Arts 12. (All courses must be ministry authorized or board authorized/approved courses).
Starting in the 2023-2024 school year, all students working towards graduation must complete 4 credits in Indigenous focused coursework. At Tamanawis we will offer students the opportunity to focus their learning with either their English or Social Studies courses. If you would prefer to focus your learning through literature, please select English First Peoples 12. If you prefer to focus your learning through historical study, please select BC First Peoples 12. Refer to this book for the course descriptions or speak directly with your English or Social Studies teachers. For the 2023-2024 school year this option will be open to students entering grade 12 only.
More information regarding the graduation program can be found at www.bced.gov.bc.ca/graduation.
Graduation Assessments:
Grade 10 Assessments
Currently, to graduate, students must write the Numeracy 10 & Literacy 10 Provincial Assessments. These assessments are designed to be completed by students in grade 10. Students will be scheduled to write one or both assessments in either grade 10 or 11.
Grade 12 Assessment
All students in grade 12 will need to write the Literacy 12 assessment in order to graduate. The assessment is designed to be completed by students in grade 12, regardless of whether they are taking or have passed English Studies 12. This mark will appear on your official transcript and some post-secondary schools may decide to use this score as a part of their selection process.
ENGLISH LANGUAGE ARTS
| Grade 9 | Grade 10 | Grade 11 | Grade 12 |
|---------|----------|----------|----------|
| Mandatory Course | One of the following 4 courses (4 credits each) | One or more of the following five courses (4 credits each) | One of the two mandatory courses (4 credits each) |
| English 9 | Literary Studies & Composition | Composition | English Studies 12 |
| | Literary Studies & Creative Writing | Creative Writing | or |
| | Literary Studies & New Media | Literary Studies | English First Peoples 12 |
| | Literary Studies & Spoken Language | New Media | As many of the 5 electives as desired (4 credits each). You may NOT select same course completed in Grade 11: |
| | | New Media Graphic Novels | Composition |
| | | Spoken Language | Creative Writing |
| | | | Literary Studies |
| | | | New Media |
| | | | New Media Graphic Novels |
| | | | Spoken Language |
**English 9**
The goals of English are the enjoyment of stories and the development of writing, speaking, listening, viewing, and reading skills while developing the communication, thinking, and personal and social core competencies. All English 9 classes will integrate aspects of Literary Studies, Composition, New Media, Creative Writing and Spoken Language electives to help shape critical, creative, and reflective thinkers.
All Grade 10 students must take one course that combines Literary Studies & another English focus:
**Literary Studies & Composition (4 Credits)**
Working both individually and with their peers, students will study, create, and write original pieces, exploring audience and purpose. They will also develop their craft through processes of drafting, reflecting, and revising. Students will read & study particular genres, authors and themes in literature and consider a variety of techniques as models & inspiration for the development of their own writing.
The following are possible areas of focus within Literary Studies & Composition 10:
- Narrative, expository, descriptive, persuasive, and opinion pieces
- Planning, drafting, and revision processes
- Writing for specific audiences and specific situations
- How to cite sources, consider the credibility of evidence and evaluate the quality & reliability of the source
- Genre-specific studies: poetry, short stories, novels, drama, graphic novels, children’s literature
- Canadian literature
- First Peoples’ texts
- Thematic studies
- Specific author studies
**Literary Studies & Creative Writing (4 Credits)**
Working both individually & with their peers, students will learn to express themselves as they experiment with, reflect on, and practise their creative expression through language. Students will explore identity, memory & story as they delve more deeply into a variety of types of literature, studying specific themes, authors & genres. Students will consider a variety of techniques as models & inspiration for the development of their own writing.
The following are possible areas of focus within Creative Writing 10:
- Genre-specific studies: poetry, short stories, novels, drama, graphic novels, children’s literature
- Canadian literature
- First Peoples’ texts
- Thematic studies
- Specific author studies
- Contemporary creative forms such as slam poetry, oratory, rap, drama, song, graphic novels, creative non-fiction, historical fiction
- Poetry, song lyrics
- Creative forms that combine visual, written, and oral texts
Literary Studies & New Media (4 Credits)
Working both individually & with their peers, students will reflect on the changing role of technology in today’s society & the increasing importance of digital media in communicating & exchanging ideas. Students will explore specific themes, authors & genres in a variety of media & consider a variety of techniques as models & inspiration for the development of their own skills vital for success in an increasingly complex digital world. Students will communicate ideas through a variety of digital & print media.
The following are possible areas of focus in Literary Studies and New Media 10:
- Genre-specific studies: poetry, short stories, novels, drama, graphic novels, children’s literature
- Canadian literature
- First Peoples’ texts
- Thematic studies
- Specific author studies
- Media and film studies
- Journalism and publishing
- Digital communication
Literary Studies & Spoken Language (4 Credits)
Working both individually & with their peers, students will develop their spoken communication skills through studying & creating varied structures, forms & styles of oral compositions. Students will have the opportunity to study, draft & use language to create original pieces in a variety of modes. Students will read & study particular genres, authors & themes in literature & consider a variety of techniques as models & inspiration for the development of their own oral compositions. This area of choice will also provide students with opportunities for performance, storytelling, and public speaking.
The following are possible areas of focus in Literary Studies and Spoken Language 10:
- Genre-specific studies: poetry, short stories, novels, drama, graphic novels, children’s literature
- Canadian literature
- First Peoples’ texts
- Thematic studies
- Specific author studies
- Performance: spoken word/slam poetry, poetry recitation, oral storytelling, readers’ theatre, radio/podcasts/video posts related to a specific topic or theme of study
- First Peoples themes
- Professional applications: speech writing/presenting, proposals, interviewing, event facilitation, radio/podcasts/video posts (information items) related to First Peoples themes.
Grade 11 students must choose **one** or more courses from the following 5 options. These options lead into the core English Studies 12 course. Students may take **more than one** English 11 course.
**Composition (4 Credits)**
This course focuses on developing students’ skills in written communication. Students think critically as they explore, extend & refine their writing. They work individually & collaboratively to explore, create & revise purposeful compositions that include narrative, expository, descriptive, persuasive & reflective pieces. Possible areas of focus: non-fiction genres, writing processes, writing for audiences & research.
**Creative Writing (4 Credits)**
This course lets students flex their imaginative muscles through a wide range of writing styles. Students experiment with creativity, push boundaries beyond typical thinking, and reflect upon personal & cultural identities. Possible areas of focus: contemporary creative forms, creative non-fiction, poetry & song lyrics, & creative forms that combine visual, written, and oral texts.
**Literary Studies (4 Credits)**
This course explores specific themes, time periods, authors, and/or areas of the world through literature & a variety of media texts. Literature such as world, feminist, Canadian or First Peoples may be explored through poetry, short stories, novels, drama, graphic novels & children’s literature. Possible areas of focus: genre-specific studies, Canadian literature, First Peoples’ texts, thematic studies & specific author studies.
**New Media (4 Credits)**
This course is designed to reflect the changing role of technology in today’s society & the increasing importance of digital media in communicating & exchanging ideas. New Media recognizes that digital literacy is an essential characteristic of the educated citizen, and students will refine skills vital for success in an increasingly complex digital world. Students will demonstrate understanding & communicate increasingly sophisticated ideas through a wide variety of digital & print media. This may include publishing, poetry, song lyrics, and blogging, writing for the web, social media, and podcasting. Possible areas of focus: media & film studies, journalism & publishing, and digital communication.
**New Media: An Exploration of Graphic Novels (4 Credits)**
Storytelling has always been part of being human, from prehistoric cave drawings to computer generated avatars living a SecondLifeTM. Graphic novels & comics are texts where we can explore ethnic, gender, and racial ideas; the study of them provides new perspectives on these issues. This course will use graphic novels to learn & understand the art of storytelling, providing an alternate way of looking at the world.
**Spoken Language (4 Credits)**
This course supports students in their development of spoken communication through exploring, drafting, reflecting & revising. The course introduces students to varied structures, forms & styles of oral compositions. The course provides opportunities for students to study, create, write & present original and authentic pieces for a range of purposes & real-world audiences. Students will perform, tell stories & speak publicly.
Grade 12 students must take English Studies 12 or English First Peoples 12. They may also take one or more English electives, choosing from Composition, Creative Writing, Literary Studies, New Media, and Spoken Language. A Grade 12 student cannot choose an English elective they completed in grade 11 - a new selection must be made.
**English Studies 12 (4 Credits)**
English Studies 12 is designed for all students and provides opportunities to refine communications, think critically and creatively about the uses of language, explore texts from a variety of sources, deepen understanding of ourselves and others, gain insight into the diverse factors that shape identity, appreciate the importance of self-representation through text, contribute to Reconciliation by building greater understanding of the knowledge and perspectives of First Peoples, and expand understanding of what it means to be educated Canadian and global citizens.
**English First Peoples 12 (4 Credits)**
English First Peoples 12 is grounded in the First Peoples’ Principles of Learning. It is designed for all students, Aboriginal and non-Aboriginal, who are interested in delving deeply into First Peoples’ oral and written literature and visual texts in a range of media. The course focuses on the experiences, values, beliefs, and lived realities of First Peoples as evidenced in various forms of text, including oral story, poetry, song, performance, film, and prose. A key feature of the course is its focus on authentic First Peoples’ voices (i.e. historical or contemporary texts created by or with First Peoples).
English First Peoples 12 is one of two courses offered at Tamanawis that will also fulfill the Indigenous Focused Graduation requirement of completing at least 4 credits in Indigenous-focused coursework.
A Grade 12 student cannot choose an English elective they completed in grade 11 - a new selection must be made.
**Composition (4 Credits)**
This course focuses on developing students’ skills in written communication. Students think critically as they explore, extend & refine their writing. They work individually & collaboratively to explore, create, and revise purposeful compositions that include narrative, expository, descriptive, persuasive & reflective pieces. Possible areas of focus: non-fiction genres, writing processes, writing for audiences & research.
**Creative Writing (4 Credits)**
This course lets students flex their imaginative muscles through a wide range of writing styles. Students experiment with creativity, push boundaries beyond typical thinking, and reflect upon personal and cultural identities. Possible areas of focus: contemporary creative forms, creative nonfiction, poetry & song lyrics, and creative forms that combine visual, written, and oral texts.
**Literary Studies (4 Credits)**
This course explores specific themes, time periods, authors, and/or areas of the world through literature & a variety of media texts. Literature such as world, feminist, Canadian or First Peoples may be explored through poetry, short stories, novels, drama, graphic novels & children’s literature. Possible areas of focus: genre-specific studies, Canadian literature, First Peoples’ texts, thematic studies & specific author studies.
**New Media (4 Credits)**
This course is designed to reflect the changing role of technology in today’s society and the increasing importance of digital media in communicating and exchanging ideas. New Media recognizes that digital literacy is an essential characteristic of the educated citizen, and students will refine skills vital for success in an increasingly complex digital world. Students will demonstrate understanding and communicate increasingly sophisticated ideas through a wide variety of digital and print media. This may include publishing, poetry, song lyrics, blogging, writing for the web, social media, and podcasting. Possible areas of focus: media and film studies, journalism and publishing, and digital communication.
**Spoken Language (4 Credits)**
This course supports students in their development of spoken communication through exploring, drafting, reflecting, and revising. The course introduces students to varied structures, forms, and styles of oral compositions. The course provides opportunities for students to study, create, write, and present original and authentic pieces for a range of purposes and real-world audiences. Students perform, tell stories, and speak publicly.
Note: It is important that students verify with their post-secondary institutions regarding pre-requisite courses and required grades.
MATHEMATICS 9
Grade 8 teachers will make a recommendation for the appropriate math placement for each student. The Math 9 curriculum is designed to encourage a deeper understanding of the following concepts: operations with rational numbers, operations with polynomials, exponents and exponent laws, two-variable linear relations, multi-step one-variable linear equations, spatial proportional reasoning, statistics in society & financial literacy (simple budgets & transactions). You will be evaluated on how well you know the content as well as what you can demonstrate in all 4 dimensions of the curricular competencies.
MATHEMATICS 9 CORE
Grade 8 teachers will make a recommendation for the appropriate math placement for each student. This course is specifically tailored for students seeking a more practical understanding of mathematics. It will encompass the initial concepts of Math 9 with a more concise exploration. The course is structured to prepare students for Workplace Mathematics 10 in the upcoming academic year. You will be evaluated on how well you know the content as well as what you can demonstrate in all 4 dimensions of the curricular competencies. Students planning to enroll in Foundations of Mathematics and Pre-calculus 10 (FMP 10) will be required to complete Mathematics 9 either during summer learning or within the school year, to gain a more complete understanding of Math 9 topics before proceeding to FMP 10.
WORKPLACE MATHEMATICS 10 (WPM 10)
This course is designed to provide students with the mathematical understandings & critical-thinking skills identified for entry into the majority of trades & for direct entry into the work force. Topics include puzzles & games for computational fluency, creating, interpreting, and critiquing graphs, primary trigonometric ratios, Metric & Imperial measurement & conversions, solving problems involving surface area & volume, angles, probability & statistics, and financial literacy (gross and net pay). You will be evaluated on how well you know the content as well as what you can demonstrate in all 4 dimensions of the curricular competencies.
BRIDGING 10
This linear course covers 2 subjects, Foundations & Pre-Calculus 10 (FMP 10) & Career Life Education (CLE 10). Entry into this course requires recommendation from the student’s Math 9 teacher. This course has the same curriculum & learning objectives as FMP10 & CLE10 but with more time & support with math over the year. This course leads to either Foundations of Math 11 or Workplace 11.
FOUNDATIONS OF MATHEMATICS AND PRE-CALCULUS 10 (FMP 10)
This course is designed to provide students with the mathematical understandings & critical-thinking skills identified for entry into post-secondary programs. This course leads to either Foundations of Mathematics 11 or Pre-Calculus 11. The following topics will be studied: operations with powers, relationships among data, graphs, and situations, linear relations, including slope & equations of lines, solving systems of linear relations, multiplication of polynomial expressions, polynomial factoring, primary trigonometric ratios, and financial literacy (gross & net pay). You will be evaluated on how well you know the content as well as what you can demonstrate in all 4 dimensions of the curricular competencies. Your current teacher will make a recommendation on the most appropriate math course for your skills and abilities.
FOUNDATIONS OF MATHEMATICS AND PRE-CALCULUS 10 PRE-AP (FMP 10 PRE-AP)
Entry into this course requires a recommendation from the student’s Math 9 teacher & a strong performance on the Pascal Mathematics Contest. This course has the same curriculum & learning objectives as FMP10 but with a greater emphasis on enrichment, depth, contest preparation & problem-solving skills. The goal is to enrich the student’s understanding by placing greater stress on critical thinking & the use of technology. All students will be required to participate in the Cayley Mathematics Contest. You’ll be evaluated on how well you know the content as well as what you can demonstrate in all 4 dimensions of the curricular competencies.
WORKPLACE MATHEMATICS 11 (WPM 11)
This course is specifically designed to provide students with the mathematical understandings & critical-thinking skills identified for entry into the majority of trades at post-secondary & for direct entry into the work force. Topics: financial literacy, rate of change (slopes of 3D objects, angles of elevation), contextualized problems, 3D object diagrams & interpreting graphs & their impact on our world. You’ll be evaluated on how well you know the content as well as what you can demonstrate in all 4 dimensions of the curricular competencies. Your current teacher will make a recommendation on the most appropriate math course for your skills and abilities.
FOUNDATIONS OF MATHEMATICS 11 (FOM 11)
This course builds on the skills acquired in Foundations & FMP10 and is designed for students going on to post-secondary programs where an academic math, but not Calculus, is required. Each student must check the requirements of their preferred post-secondary program to ensure that Foundations of Math 11 is the appropriate choice. Topics: measurement (rates & scales), geometric reasoning (angles & triangles), logical reasoning, spatial puzzles, statistics (normal distribution, interpretation of statistical data), 2-variable linear inequalities, quadratic functions & financial literacy. You will be evaluated on how well you know the content as well as what you can demonstrate in all 4 dimensions of the curricular competencies. Your current teacher will make a recommendation on the most appropriate math course for your skills and abilities.
PRE-CALCULUS 11 (PC 11)
This course builds on the skills acquired in Foundations & Pre-Calculus 10 and is particularly designed for those students going into post-secondary programs where Calculus is required. Topics: powers with rational exponents, expressions & equations (radical, rational), trigonometry (angles in standard position, non-right triangles), quadratic functions & equations (including quadratic) & financial literacy. You will be evaluated on how well you know the content as well as what you can demonstrate inequalities in all 4 dimensions of the curricular competencies. Your current teacher will make a recommendation on the most appropriate math course for your skills and abilities.
PRE-CALCULUS 11 PRE-AP (PC 11 PRE-AP)
Entry into this course requires a recommendation from the student’s FMP10 teacher & a strong performance on the Cayley Mathematics Contest. Pre-Calculus 11 Pre-AP has the same core content as Pre-Calculus 11, however extra time will be used for enrichment, to develop better problem-solving skills & prepare students for advanced mathematical concepts. All students will be required to participate in the Fermat Mathematics Contest. This course is also the most appropriate for students that wish to take PC-12 Honours/AP Calculus as part of their grade 12 year. You’ll be evaluated on how well you know the content as well as what you can demonstrate in all 4 dimensions of the curricular competencies.
FOUNDATIONS OF MATHEMATICS 12 (FOM 12)
This course is intended for students who will be pursuing post-secondary studies in the Arts or a subject in which Calculus will not be taken as part of the program. This course is not required for graduation but may be required for university admission depending on the faculty & program you choose. This course involves geometric explorations, graphical representations of polynomials, logarithmic exponential & sinusoidal functions, regression analysis, combinatorics, probability & financial planning. You’ll be evaluated on how well you know the content as well as what you can demonstrate in all 4 dimensions of the curricular competencies. Your current teacher will make a recommendation on the most appropriate math course for your skills and abilities.
PRE-CALCULUS 12 (PC 12)
This course is intended for students who’ll be studying Business, Science, Engineering, or other disciplines in which Calculus is a requirement. This course is not required for graduation but may be required for entry into the faculty or program you will pursue in university. It is also suggested that this course be followed up with one of our Calculus courses in order to prepare you for University (Calculus 12 or Advanced Placement Calculus). This course includes the following topics: transformations of functions & relations, exponential & logarithmic functions, geometric sequences & series, polynomial functions & equations, rational functions & trigonometric functions, equations & identities. You’ll be evaluated on how well you know the content as well as what you can demonstrate in all 4 dimensions of the curricular competencies. Your current teacher will make a recommendation on the most appropriate math course for your skills and abilities.
CALCULUS 12
This course is designed to prepare students for university mathematics & those wishing to enter the fields of Business/Commerce, Science, and Engineering. Topics: functions, limits, derivatives, anti-derivatives, and differential equations. Students should have at least a grade of B in Pre-Calculus 12 before attempting this course. You will be evaluated on how well you know the content as well as what you can demonstrate in all 4 dimensions of the curricular competencies. Your current teacher will make a recommendation on the most appropriate math course for your skills and abilities.
PRE-CALCULUS 12 & AP CALCULUS (PC 12 AP)
Entry into this course requires a strong recommendation from the student’s PC-11 teacher.
This course combines Pre-Calculus 12 & Advanced Placement (AP) Calculus in a year-long format to prepare students for the AP exam in May. This course is designed for highly motivated students who are intending to study math, engineering, commerce, or applied sciences at college or University. This course provides a solid foundation in Calculus & covers material equivalent to a first semester University Calculus course (e.g., UBC Mathematics 100, SFU Mathematics 154). This gives the student a tremendous advantage during their first semester at university. In this course, students receive a systematic introduction to aspects of Differential & Integral Calculus. Topics studied will include limits, continuity, the derivative and applications of the derivative, the definite integral & applications of the definite integral & the fundamental Theorem of Calculus. Due to the high level of difficulty & the intensive nature of this course, students must have a strong working knowledge of the concepts studied in FMP10 and PC-11 and must be willing to devote a serious amount of time for study on a daily basis, both in & out of class.
Students who are successful in the AP exam (with a score of 4 or 5) may receive advanced placement with their post-secondary institution & may be able to skip the first semester of Calculus if they choose.
We are proud to offer courses in three languages: French, Punjabi, and Spanish. In our classes, students engage in a variety of activities with the goal to enhance their skills in oral and written comprehension and production of the second language. As well, students learn to appreciate and value cultures through the exploration and study of the languages, their literatures, history, and traditions.
**Why learn another language?**
- to increase your employment opportunities
- to develop your problem-solving skills
- to enhance creative thinking
- to appreciate and participate in other cultures
- to improve literacy skills in first language
- to enhance self-esteem and pride
- for university entrance: a second language at the Grade 11 level is the minimum requirement for entrance to many programs at most universities. Many universities Bachelor of Arts programs require a second language at the Grade 12 level.
Evaluation for all language courses is based on your development in Oral Comprehension, Written Comprehension, Spoken Interaction, Spoken Production, and Written Production.
**Bienvenue dans la classe de français !**
**FRENCH 9**
French 9 continues your path to acquiring a second language. In this course, you will build on your strategies so that you can understand French, express yourself & have meaningful conversations in French. This year, you will also read and share various media. Finally, you will explore your own cultural identity & that of various Francophone communities.
**FRENCH 10**
In French 10, you will gain more of an appreciation for cultural diversity through the exploration of Francophone culture. You will deepen your ability to understand French and to express yourself and have meaningful conversations. You will continue to read and share various media in both oral and written form. Finally, you will be encouraged to take more risks to embrace the new language in a profound way.
**FRENCH 11**
Being able to speak French opens many opportunities! This course inspires students to deepen their appreciation & understanding of French. Students will continue to explore & understand the connection between Francophone culture & their own. Students will increase their ability to communicate both in oral & written form. As in previous years, students will read, interpret media, expand their writing & participate in meaningful, varied conversations.
**FRENCH 12**
Language acquisition is a lifelong process. In this course, students will have the opportunity to continue polishing their second language skills. They will be able to express themselves in oral and written form with more depth and clarity. Students will continue to explore, with greater awareness, Francophone culture and creative works. Finally, students will also examine travel, educational and career opportunities requiring proficiency in French. Students may have the opportunity to write the DELF exam.
INTRODUCTORY PUNJABI 9
Did you know that you can take Punjabi to meet language requirements for university entrance? If you did not, you should consider studying Punjabi! In this course, students will learn the Punjabi alphabet, and by the end of the course, students will be reading the language. This course will have video, music, and cultural projects for an enriching experience. Punjabi 9 is for students who do not know how to read or write Punjabi. Students who do not speak Punjabi can also take this course. Anyone who has taken Punjabi in Khalsa school, Sikh Academy, India, with family or any other method should speak to a counsellor & see one of our Punjabi teachers to determine their appropriate level.
INTRODUCTORY PUNJABI 10
In this course, students will learn the Punjabi alphabet, and by the end of the course, students will be reading the language. This course will have video, music, and cultural projects for an enriching experience. Punjabi 10 is for students who do not know how to read or write Punjabi. Students who do not speak Punjabi can also take this course. Anyone who has taken Punjabi in Khalsa school, Sikh Academy, India, with family or any other method should speak to a counsellor & see one of our Punjabi teachers to determine their appropriate level.
PUNJABI 10
Punjabi 10 offers a review of Intro Punjabi 9/10 and a continuation of Punjabi grammar. Themes of this course include places, clothing, restaurants, people, history, and music. Project topics include a Punjabi Newscast, skits, commentaries, videos, and music! At the end of the course, students will be able to read and write at a reasonable level while continuing to improve their Punjabi speaking.
PUNJABI 11
Punjabi 11 offers a review of Punjabi 10 and a continuation of Punjabi grammar and culture. Themes of this course include looking at cultural topics like music, history, and sports in more depth. Project topics include Punjabi cooking where you cook your own sabzi and a feature length Punjabi movie in which you are the star! At the end of the course, students will be able to read and write at a very high level while continuing to improve speaking skills.
PUNJABI 12
In this course, Punjabi will be spoken extensively, and the course will be cross curricular. Psychology, Law, and Social Justice will be incorporated in the program. It will be an engaging course to a student in the arts and there will be lots of fun units, for example, the Punjabi Wedding Album.
SPANISH COURSES
INTRO SPANISH 10/11
Picking Spanish up through listening, stories and reading is easy and fun. In this class, you will get comfortable in Spanish. By the end of the year, you will find it easy to read and write stories and to understand Spanish. Most beginning students can easily write 600–800-word stories by the end of the year and can read independently.
SPANISH 11
Continue acquiring Spanish by watching and reading stories and novels. Everything in class is 100% easy to understand. In Spanish 11, you will find it easy to start speaking and this course will get you into university second-year Spanish classes.
SPANISH 12
Spanish stories, movies and novels help you to become more and more fluent, and ready to visit Spain or Mexico.
INTRODUCTORY AMERICAN SIGN LANGUAGE 10/11
This course is an introduction to American Sign language class for any student in grade 10 – 12. American Sign Language (ASL) is the language that many Deaf Canadians use to communicate, but you do not have to be deaf to learn the language or about the Deaf Community. ASL is a visual language that uses a combination of signs (specific hand shapes/gestures) and facial expressions to communicate. This course will provide students with the tools to learn the basic components of ASL focusing on:
- Alphabet – finger spelling
- Numbers and counting
- Feelings
- Clothing
- Body parts
- Shapes
- Color
- Family
- Activity
- Living situation
- Basic words and Phrases
- ASL songs
Using these basic components, students will use activities to demonstrate their understanding of basic grammatical features and facial expressions. Students will have the opportunity to learn their favourite songs, games and stories in ASL as well. This course will also provide an understanding of Deaf Culture and history to help students develop the confidence to interact with people in the Deaf Community.
SCIENCE 9
Science 9 is a continuation of the junior Science program. The big ideas to be developed in this course include:
- Biology: Cells are derived from cells.
- Chemistry: The electron arrangement of atoms impacts their chemical nature.
- Physics: Electric current is the flow of electric charge.
- Earth Science: The biosphere, geosphere, hydrosphere, and atmosphere are interconnected.
The big ideas will be taught with an emphasis on developing critical thinking & scientific process skills.
SCIENCE 10
Science 10 is a continuation of the junior Science program. The big ideas to be developed in this course include:
- Biology: Genes are the foundation for the diversity of living things
- Chemistry: Chemical processes require energy change as atoms are rearranged
- Physics: Energy is conserved & its transformation can affect living things and the environment
- Earth Science: The formation of the universe can be explained by the big bang theory
The big ideas will be taught with an emphasis on developing critical thinking and scientific process skills.
SCIENCE 10 PRE-AP
*Recommended B or better in science 9 & Math 9 as well as a teacher recommendation*
Science 10 Pre-AP is a continuation of the junior Science program taught at an accelerated pace which allows more time for Inquiry.
The big ideas to be developed in this course include:
- Biology: Genes are the foundation for the diversity of living things
- Chemistry: Chemical processes require energy change as atoms are rearranged
- Physics: Energy is conserved & its transformation can affect living things & the environment
- Earth Science: The formation of the universe can be explained by the big bang theory
The big ideas will be taught with an emphasis on developing critical thinking & scientific process skills.
LIFE SCIENCES 11
Recommended C or better in Science 10
Life Sciences 11 lays the groundwork for first year biology courses at all major colleges and universities and is strongly recommended for students pursuing a career in the Sciences or Health Sciences.
Life Sciences 11 is a survey course of living organisms within the three domains. The course is woven around the central themes of identifying the characteristics and inter-relatedness of living things, the similarities within organisms (classification and taxonomy), and the processes of how organisms change over time (evolutionary theory). Students will perform laboratory experiments and investigations, including dissections, to examine a wide variety of organisms to explore the major themes of this course.
ANATOMY AND PHYSIOLOGY 12
Recommended C+ or better in Life Sciences 11 and Chemistry 11
Anatomy & Physiology 12 serves as a foundation for students continuing onto life sciences studies at the post-secondary level. Anatomy & Physiology 12 uses the principles learned in Life Sciences 11 with respect to the unity, diversity & organization of body systems. Students will focus on cellular biochemistry & metabolic processes & physiology of organ systems & their inter-relationships. Students’ theoretical understanding of the body’s ability to maintain homeostasis will be applied to various lab work, dissections, discussions & inquiry projects.
CHEMISTRY 11
Recommended C+ or better in Science 10 and Foundations of Math and Pre-Calculus 10
Chemistry 11 is strongly recommended for students pursuing a career in Engineering, Environmental Sciences, Health Sciences, and General Sciences. Chemistry 11 is an introductory course that will give students an understanding of the composition, classification, properties and behaviour of matter. Problem solving, critical thinking and experimentation are skills that will be used throughout this course.
The Big Ideas to be developed in this course are:
- Atoms & Molecules
- The Mole
- Chemical Reactions
- Solution Chemistry
Daily review, homework completion and strong study skills are required to be successful in Chemistry 11.
CHEMISTRY 11 PRE-AP
Recommended B or better in Science 10 and Foundations of Math and Pre-Calculus 10 as well as a teacher recommendation
Chemistry 11 Pre AP helps students to be more successful in their first-year chemistry courses at all major colleges and universities and is strongly recommended for students pursuing a career in Engineering, Environmental Sciences, Health Sciences, and General Sciences.
Chemistry 11 Pre-AP lays the foundation for AP Chemistry 12. Covering all the topics in the regular Chemistry 11 course, this honours class will extend upon several units in considerably more depth. An exploration of the structure of matter will include studies in quantum mechanics, intermolecular bonding forces, molecular bonding models, and spectroscopy.
This fast-paced course will require daily review, homework completion and strong study skills.
CHEMISTRY 12
Recommended C+ or better in Chemistry 11 and Pre-Calculus 11
Chemistry 12 is strongly recommended for students pursuing a career in Engineering, Environmental Sciences, Health Sciences, and General Sciences.
Chemistry 12 is an advanced course that will give students the foundation needed for Chemistry at the post-secondary level. This is a demanding course for those that have succeeded in Chemistry 11 and plan to pursue further studies in this field.
The Big Ideas to be developed in this course are:
- Reaction Kinetics
- Solubility Equilibrium
- Dynamic Equilibrium
- Acids and Bases
- Oxidation and Reduction
Daily review, homework completion and strong study skills are required to be successful in Chemistry 12.
PHYSICS 11
Recommended C+ or better in Science 10 and Foundations of Math and Pre-Calculus 10
Physics 11 is mandatory in several careers such as engineering, surveying, or technological programs and is an entrance requirement into any post-secondary Science program.
Physics 11 is an introductory course towards a deeper understanding of the physical world. It is a course that has an emphasis on analytical and critical thinking skills to interpret the complexities of physics. Physics 11 will help enlighten us to a better understanding of the world & how we as society interact with our surroundings.
The Big Ideas to be developed in this course are:
- Kinematics (motion)
- Dynamics (forces)
- Work and Energy
- Electrical Circuits
Daily review, homework completion & strong study skills are required to be successful in Physics 11.
PHYSICS 12
Recommended C+ or better in Physics 11 and Pre-Calculus 11
Physics 12 is mandatory in several careers such as engineering, surveying, or technological programs and is an entrance requirement into any post-secondary Science program.
Physics 12 is an advanced course towards a more thorough understanding of the physical world, particularly for those who are expecting to continue studying science at a post-secondary institution. It’s a course that has a strong emphasis on being able to think analytically & critically to interpret the complexities of Physics 12.
The Big Ideas to be developed in this course are:
- Momentum
- Circular Motion & Gravitation
- Equilibrium
- Electrostatics
- Electromagnetism
Daily review, homework completion & strong study skills are required to be successful in Physics 12.
EARTH SCIENCE 11
Recommended C or better in Science 10
Earth Science 11 is a survey course which explores the Earth and Space through theory & experimentation.
Topics to be studied in this course may include:
- Geology (materials, weathering, erosion, volcanos, earthquakes, plate tectonics)
- Oceanography (basins and currents)
- Astronomy (galaxies, stars, solar system, Earth, moon)
- Atmosphere (pressure, wind, weather, climate)
Course assessment & assignments are based on classroom lessons, discussions, projects & laboratory-based inquiry work.
ENVIRONMENTAL SCIENCE 12
Environmental Science 12 is recommended for students who are passionate about environmental issues & human impacts on the environment or who are interested in pursuing a career in environmental studies, earth sciences, or life sciences.
Environmental Science 12 is a course that explores the interconnectedness of systems and living things. Through research, projects, and analysis of global & local systems we will develop sustainable practices and action plans.
The Big Ideas to be developed in this course are:
- Global Water Systems
- Global Warming & Climate Change
- Land Use and Sustainability
- Global Environmental Changes
SCIENCE FOR CITIZENS 11
This course is intended primarily for students who do not intend to continue studies in Science beyond Grade 11.
Completion of Science for Citizens 11 allows students to complete their graduation plan, however post-secondary options are limited.
This course will cover the four branches of Science (Life Sciences, Chemistry, Physics and Earth Science) and will be composed of topics that are of particular interest to both the teacher and students. There is an emphasis on cooperative learning rather than focusing on content.
As this is course is based on the progression of a student’s process skills, attendance and participation are the two most important parts of this course.
What is it?
Social Studies is a course that draws on topics from disciplines within the humanities & social sciences - primarily history, geography, political science, and economics - with contributions from other disciplines such as sociology, psychology, and anthropology.
What will I learn? Through this curriculum, students will have opportunities to explore and better understand their own identity, perspectives, and values as well as develop the competencies that encourage active, informed citizenship. They will develop the ability to think critically, consider different perspectives and ideas with an open mind, and disagree respectfully with those who have different opinions or points of view. They will be empowered to stay informed about public policy and take action on issues important to them.
Why should I take Social Studies courses?
Students can apply the skills and content they learn in Social Studies to a wide range of post-secondary programs or in future careers. The disciplines within Social Studies develop students' abilities to think analytically and solve problems. Students will have opportunities to conduct research and learn how to collect and interpret data. They will learn to communicate their findings through a variety of methods such as written reports, oral presentations, and various visuals. Studying human interactions and the relationship between humans and the environment can lead to a variety of different careers, such as ones in research, marketing, law, and public service.
SOCIAL STUDIES 9
Social Studies 9 is a course in which students will build upon the content, inquiry methods & historical thinking skills learned in Humanities 8 to learn about significant moments between 1750 and 1914.
Areas of focus will include:
- Revolutions
- Continuity and change in Canadian society
- Imperialism and colonialism in Canada
- Migration and population growth in Canada
- The development of Canada
- Discriminatory policies, attitudes, and historical wrongs
- Physiographic features of Canada and geological processes
Evaluation will be based on a variety of activities that reflect the content and skills required of a Social Studies student.
SOCIAL STUDIES 10
Social Studies 10 is a course in which students will build upon the content, inquiry methods and historical thinking skills learned in Social Studies 9 to learn about significant developments in Canada & the world from 1914 to the present.
Areas of focus will include:
- Changing conceptions of Canadian identity, including the development of Canadian autonomy
- Domestic conflict, including discriminatory policies and injustices
- International conflicts and cooperation
- Function of Canada's political institutions, including First People's governance
- Political and economic ideologies, including Canada's role in a global economy
SENIOR SOCIAL STUDIES ELECTIVES
All students must take a minimum of one senior Social Studies course in their Grade 11 OR Grade 12 year.
20th CENTURY WORLD HISTORY
When is military action justified? Was the rise of totalitarian regimes inevitable? Does a country have a duty to listen to the wants & needs of its citizens? 20th Century World History is a course in which students will build upon the content, inquiry methods & historical thinking skills learned in Social Studies 9-10 to learn about the significant moments between 1919 & present day from an international affairs perspective. Major topics include:
• Global conflicts
• The rise and rule of totalitarian regimes
• Human rights
• Migration, movements & territorial boundary disputes
This is a perfect class for any student wishing to study in the Faculty of Arts at post-secondary as it will help students identify global trends.
BC First Peoples 12
Are you committed to Truth and Reconciliation? Are you curious to learn more about the First Peoples of B.C.? This is an ideal class for students looking to gain deeper understanding of the complex relationship between Indigenous and non-Indigenous peoples of B.C.
Topics may include but are not limited to:
• The exploration of pre-colonial Indigenous culture and identity
• First contact and the relationship between Indigenous and non-Indigenous peoples
• The impact of colonialism and it’s continuing legacy
• Investigation of various contemporary challenges facing B.C. First Peoples
• The resilience and resistance to colonialism by First Peoples
This class will utilize oral history, podcasts & storytelling, discussions, and a social justice framework to investigate these topics.
BC First Peoples 12 is one of two courses offered at Tamanawis that will also fulfill the Indigenous Focused Graduation requirement of completing at least 4 credits in Indigenous-Focused coursework.
GENOCIDE STUDIES
What makes it possible for neighbor to turn against neighbor? Genocide Studies is a course in which students learn about various genocides around the world to determine how genocide can be prevented in the future. Units include:
• Foundations - Identity and membership
• Case studies (includes information about causes, scope & sequence, resistance):
o The Holocaust
o Rwandan Genocide
• Judgement and memory
• Advocacy and action
This is a perfect class for any student interested in a cross-curricular look at history as we bring in ideas from psychology, sociology, political science, economics, literature, film etc. to help understand genocide.
SOCIAL STUDIES
HUMAN GEOGRAPHY
“What is where… why is it there… and why should I care?” Human Geography explores how human activity impacts & alters the earth and our environment.
Major topics include:
- Global population (where and how the world lives, growth rates, future projections)
- Global Development (How do people live globally? UN Sustainable Development Goals)
- Global Environment (Climate Change & climate solutions)
- Urbanization (Urban migration & how to build sustainable cities)
Students will analyze geographic data such as digital maps, infographics & G.I.S. (Geographic Information Systems) to better understand our globally connected world through a ‘geographic lens.’
LAW STUDIES
Have you ever dreamt about becoming a lawyer, a judge, or perhaps a prison guard? Perhaps you want to know what to say when you get pulled over for that 23rd speeding ticket? Maybe you are a future rock star and need a solid contract? Law Studies is the perfect course for you!
Major topics could include:
- The roots of the Canadian Justice System
- Canadian Criminal Law
- Canadian Civil Law
Students develop their critical thinking skills through discussion, group projects, individual assignments, mock trials & experiences such as a field trip to the Court House.
PHILOSOPHY
What is real? Does God exist? What is right & wrong? How do we know something is true?
Major topics include:
- Philosophy of religion
- Epistemology
- Ethics
- Ontology
Philosophy is useful preparation for law, politics, business, medicine and any other profession, as it teaches critical thinking and logic (while being super-interesting!)
POLITICAL STUDIES
How is power used and abused? How much say do I really have over political decisions? Political Studies builds upon the politics unit from Social Studies 10. Students will learn about where governments get their power.
Major topics of study include:
- Foundations of government and power
- Elections
- The Crown and parliament
- Political Parties, interest groups and the media
- Canadian issues (national, provincial and local)
- The international political system
Students develop their critical thinking skills through discussion, group projects, individual assignments, and experiences. This is a perfect class for any student interested in getting involved in any level of politics (municipal, provincial, federal).
SOCIAL JUSTICE
Are we all equal? What is unfair? Why are there still racism, sexism, classism & homophobia?
This course explores:
- Sexism
- Racism
- Homophobia
- Poverty
Because modern business and government work requires an understanding of diversity, this course is excellent preparation for anyone interested in education, medicine, law, law enforcement, teaching, politics and business. It is also now possible to study social justice at the University of Victoria and Capilano College.
PSYCHOLOGY 11*
Have you ever experienced a physical reaction to an emotional situation? Sweating, shaking or stomach discomfort before a big test, a game, a presentation, or performance? While we cannot always understand our feelings & behaviour, we can understand & manage them with awareness using psychological & neurological tools. In Psychology 11 we will look closely at human behaviour from the sociological perspective.
The following topics will be included:
- What is the field of Psychology?
- Research
- Infancy and Childhood Development
- Adolescence
- Sociocultural Influences: Attitudes and Beliefs
*Please note: Psychology 11 does not count as a senior Social Studies elective.*
PSYCHOLOGY 12*
Have you ever known someone was talking about you when you walked into a room even without anyone saying anything? Has a certain song or smell ever brought back a strong memory? Have your sleep patterns changed since you reached adolescence? All these situations have much to do with brain chemistry and illustrate the intrinsic connection between mind & body. While we cannot understand our feelings & behaviours, we can understand & manage them with awareness using psychological and neurobiological tools.
In Psychology 12 you will explore a range of topics including:
- The role of the brain & neurochemical processes in shaping behaviour
- Stress and health psychology
- Psychological disorders
- Learning, motivation, and emotion
Students will gain experience in designing and applying psychological research methods, develop critical thinking and research skills, and engage in independent inquiry on topics of personal interest. Psychology 12 is a different course from Psychology 11. Although it is helpful for better understanding of content, it is not mandatory to take Psychology 11 beforehand.
*Please note that Psychology 12 does not count as a senior Social Studies elective.*
ECONOMIC THEORY
Why do we have money? How do economic systems affect your life and the lives of others?
Economics is a course in which students learn about the nature of money.
Major topics of study include:
- The evolution of economics
- Entrepreneurship
- The Canadian market economy
- The business cycle
- Budgeting
- Globalization
*Economic Theory is useful preparation for economics, history, politics, business courses at post-secondary.*
BUSINESS EDUCATION
The Business Education department includes both Information Technology & Business Education elective courses. As a major component of Applied Design Skills and Technology (ADST), our courses teach students valuable skills for school and beyond. The design thinking process builds on students’ natural curiosity, inventiveness, and desire to create and work on hands-on projects. Students will learn valuable skills that are in high demand in today’s workforce and become well-rounded citizens who are informed creators and consumers.
DESKTOP PUBLISHING (MEDIA DESIGN) 9
We are constantly bombarded with visual images. Posters, lyric videos on YouTube, billboards, advertisements, and websites are part of our everyday lives. Have you ever noticed the creative elements or wondered what computer programs produce these pieces? In this course you will utilize a variety of programs (Photoshop, MS Publisher, Illustrator) to manipulate and enhance images as well as craft stunning documents, websites, and presentations both for school and business-related purposes. Using the computer, you will learn how to tap into the creative part of your brain that maybe you never knew existed!
COMPUTERS 9
Do you like playing games? Do you enjoy watching short, animated movies on YouTube? Do you find Photoshopped images interesting? Do you have a website you like to visit? Wouldn’t it be cool to be making your own? In Computers 9 you will increase your game making skills, make better short, animated movies, learn more programming & more! Using programs & technology like Photoshop, Animate, Illustrator, 3Dstudio max, Greenfoot, Construct 3 & Arduino you will learn to make some awesome digital media projects. Take Computers 9 and go from being a consumer of digital content to being a producer!
VIDEO AND FILM 10
The film industry is huge in Metro Vancouver, with many popular TV series & movies being filmed right here. Video and Film is a hands-on production class offered at the grades 10, 11 and 12 level that gives you the opportunity to go from concept to the big screen. You will learn how to record great-looking video for projects like music videos & short films, as well as learn scriptwriting & video editing techniques to make your ideas come alive. Whether you want to pursue a career in film, become the next YouTube star or just learn to make better home videos, this course will help you pursue your goals.
COMPUTERS 10
Do you like playing games? Do you enjoy watching short, animated movies on YouTube? Do you find Photoshopped images interesting? Do you have a website you like to visit? Wouldn’t it be cool to be making your own? In Computers 10 you will increase your game making skills, make better short, animated movies, learn more programming & more! Using programs & technology like Photoshop, Animate, Illustrator, 3Dstudio max, Greenfoot, Construct 3 & Arduino you will learn to make some awesome digital media projects. Take Computers 10 and go from being a consumer of digital content to being a producer!
DESKTOP PUBLISHING (MEDIA DESIGN) 10
We are constantly bombarded with visual images. Posters, lyric videos on YouTube, billboards, advertisements, and websites are part of our everyday lives. Have you ever noticed the creative elements or wondered what computer programs produce these pieces? In this course you will utilize a variety of programs (Photoshop, MS Publisher, Illustrator) to manipulate and enhance images as well as craft stunning documents, websites, and presentations both for school & business-related purposes. Using the computer, you will learn how to tap into the creative part of your brain that maybe you never knew existed!
ENTREPRENEURSHIP & MARKETING 10
Are you thinking of a career in business, marketing, finance, or management? Or do you see yourself inventing a new product or idea? This course will introduce you to several different avenues of business. You will learn how the most forward-thinking companies are managing their employees. You will study the financial “language of business”. The marketing strategies of the most successful products will also be analyzed. You will create a business of your own and learn how to work with a team to develop your idea. Overall, the focus will be to learn effective communication, collaboration, and technology skills to enhance your creative thinking abilities. Employers want people who can think outside the box to solve problems, who can work as a team, and who can communicate their ideas well. This course will help you develop these skills enabling success in high school, post-secondary & in the business work force.
ACCOUNTING 11
Do you want to know how to organize your personal finances? Are you planning to start your own company one day? Do you see yourself managing a business in the future? Perhaps you are thinking of a career in Marketing, Economics, Investing, or Banking? To do any of this, you must learn Accounting which is the “language of business”. Accounting 11 is a practical course that will help prepare you for the finance courses that are mandatory for any post-secondary business diploma or degree. You will also learn about investments, personal finance, and the stock market. Many students have great difficulty with Accounting in college/university due to the speed of the course. However, by taking Accounting 11, you will be well prepared for future accounting courses.
ACCOUNTING 12
Accounting 12 expands on the fundamentals of Accounting 11. If you are planning to start your own company one day or you see yourself as an accountant, Accounting 12 will give you a good head start if you are going to take Business, Commerce or Finance courses in college/university. Many students have great difficulty with Accounting in college/university due to the speed of the course. However, by taking Accounting 12, you will be very well prepared for future accounting courses and gain the problem-solving and logical skills needed to be successful in this field.
DESKTOP PUBLISHING (MEDIA DESIGN) 11/12
We are constantly bombarded with visual images. Posters, lyric videos on YouTube, billboards, advertisements, and websites are part of our everyday lives. Have you ever noticed the creative elements or wondered what computer programs produce these pieces? In this course you will utilize a variety of programs (Photoshop, MS Publisher, Illustrator) to manipulate and enhance images as well as craft stunning documents, websites, and presentations both for school & business-related purposes. Using the computer, you will learn how to tap into the creative part of your brain that maybe you never knew existed!
BUSINESS COMPUTER APPLICATIONS 12
These courses give the university & work bound students the skills necessary for success in senior courses as well as life after high school. You will learn how to:
- Communicate professionally and effectively in a business environment. (Verbal & Written)
- Learn how to network and position yourself for interviews
- Create visually arresting presentations with confidence
- Use valuable formatting techniques to design documents that will give you the professional edge
- Develop spreadsheets for business and personal reasons such as budgeting and financial planning
- Save time & work faster by improving your typing technique, speed, and accuracy
These courses have a step-by-step format that will guide you to mastery.
ICT PROGRAMMING 11/12
Programming 11 and 12 provides a solid foundation of basic programming skills through a variety of hands-on digital projects such as:
- Designing and programming a game
- Creating your own website
- Designing an app
- Programming in Python or JavaScript
Whether you are pursuing a career in computer technology or simply just interested in designing & playing video games, Programming 11/12 offers fun, engaging project-based learning using computers & useful skills for almost any career.
VIDEO AND FILM 11/12
The film industry is huge in Metro Vancouver, with many popular TV series & movies being filmed right here. Video & Film is a hands-on production class offered at the grades 10, 11 and 12 level that gives you the opportunity to go from concept to the big screen. You will learn how to record great-looking video for projects like music videos & short films, as well as learn scriptwriting and video editing techniques to make your ideas come alive. Whether you want to pursue a career in film, become the next YouTube star or just learn to make better home videos this course will help you pursue your goals.
MARKETING AND PROMOTION 11
What defines a successful product or service? How do consumers make their purchasing decisions? How can marketing knowledge help us achieve our own goals? In this course, we’ll delve into these questions by critically examining the strategies that set successful businesses, organizations, and individuals apart. Through case studies and collaborative projects, we’ll tackle real-world business challenges. Topics include market research, product development, pricing, distribution, and advertising. Additionally, we’ll explore technology’s role in marketing and its societal impact. The course emphasizes the evolving expectation for marketers to consider their impact on society and the planet beyond mere profits.
FOODS STUDIES 9
Prerequisite: none
Foods 9 is a performance-based course that teaches students the basics of cooking terms, techniques, equipment use, methods & preparation of ingredients that can be used to follow recipes. Grades are largely based upon lab performance and theory is emphasized to enhance the lab experience & to examine the nutrition of the ingredients. Units include muffins, breads, pastry, cakes, soups, breakfasts, lunches & dinners. Recipes are drawn from a wide variety of cultures & cooking techniques. Foods 9 is a beginning course that contributes to later, more complex courses at the senior level. There is no fee for this course.
FOODS STUDIES 10
Prerequisite: none
Foods 10 is a performance-based course that teaches students the basics of cooking terms, techniques, equipment use, methods & preparation of ingredients that can be used to follow recipes. Grades are largely based upon lab performance & theory is emphasized to enhance the lab experience & to examine the nutrition of the ingredients. Units include muffins, breads, pastry, cakes, soups, breakfasts, lunches & dinners. Recipes are drawn from a wide variety of cultures & cooking techniques. Foods 10 is an intermediate course that contributes to later, more complex courses at the senior level. There is no fee for this course.
FOODS STUDIES 11
Prerequisite: none but prior foods experience is an asset
Foods 11 is a performance-based course that concentrates on intermediate & advance levels of cooking skills & techniques to produce more complex dishes with an increasing difficulty level. Foods from many cultures are examined & many options are provided for student choice & interest. Assessment is primarily based upon lab evaluation & performance with theory provided for nutrition content & food safe knowledge. Experiences are geared towards preparation for chef programs, culinary arts training & jobs within the food industry. There is no fee for this course.
FOODS STUDIES 12
Prerequisite: none but prior foods experience is an asset
Foods 12 is a performance-based course that concentrates on intermediate and advance levels of cooking skills & techniques to produce more complex dishes with an increasing difficulty level. Foods from many cultures are examined & many options are provided for student choice & interest. Students must increase their repertoire of skills & techniques to complete difficult recipes & learn to create recipes of their own. Assessment is primarily based upon lab evaluation & performance with theory provided for nutrition content & food safe knowledge. Experiences are geared towards preparation for chef programs, culinary arts training & jobs within the food industry. There is no fee for this course.
TEXTILES 9
Prerequisite: none (recommended Textiles 8)
Textiles 9 is a skills-based course that teaches students the basics of sewing including hand-sewing, garment construction, fabric care, notions, machine techniques, reading patterns and fabric embellishments. Students sew a variety of projects that develop a variety of techniques & skills. Projects reflect a beginning level and provide the basis for more complicated skill and project development at the senior levels. There is no fee, but students must supply their own fabric, notions, and patterns.
TEXTILES 10
Prerequisite: none
Textiles 10 is a skills-based course that teaches students the basics of sewing including hand-sewing, garment construction, fabric care, notions, machine techniques, reading patterns & fabric embellishments. Students sew a variety of projects that build upon their techniques & skills on garment construction & hand-sewing. Projects reflect an intermediate level & provide the basis for more complicated skill & project development at the senior levels. There is no fee but students must supply their own fabric, notions & patterns.
TEXTILES 11
Prerequisite: none but Textiles 9 or 10 is recommended
This course continues upon the development of skills within construction, design and fabric selection and care. It is a project-based course that increases in skill level, difficulty and quality of workmanship and builds upon experiences at the junior levels. Students are required to produce several projects for assessment. There is no fee for this course however, fabric, notions & patterns are purchased by students for each project.
TEXTILES 12
Prerequisite: none but prior textiles experience is an asset
This course continues upon the development of skills within construction, design and fabric selection and care. It is a project-based course that increases in skill level, difficulty and quality of workmanship and builds upon experiences at the junior levels. Students are required to produce several projects for assessment. There is no fee for this course however, fabric, notions and patterns are purchased by students for each project. The emphasis in Textiles 12 is upon acquisition and advancement of skills and knowledge based upon the individual’s previous experiences.
FAMILY & SOCIETY 10/11/12
Family and Society 10/11/12 will work with student to enhance their understanding of how family relationships dynamics are impacted by various factors. Students will be exposed to different theories that impact child development and will learn how to nurture healthy relationships. The basis of this course will be on how to thrive and reciprocate in a variety of interpersonal relationships. After taking this course, students will be aware of societal influences and impacts on families, equipped with strategies to cultivate healthy relationships, and challenge their own bias and assumptions.
CULINARY ARTS 11 and CULINARY ARTS 12
Prerequisite: none but previous foods experience is an asset
As a program of choice, Culinary Arts offers all students important learning opportunities to:
- develop skills that can be applied in their daily lives, now and in the future
- enhance employability skills
- apply and reinforce learnings developed in other subject areas
- prepare for transition into adult roles in the family, community, workplace and/or further education
Duties:
Cooks prepare food that is served to our school population. Our program also creates food for catering events that happen in our school. Students may be involved in any combination of the following duties:
- studying menus to estimate food requirements and obtain the necessary food from storage
- washing, peeling, and cutting vegetables
- cleaning and cutting meats, fish, and poultry
- cleaning kitchen equipment and cooking utensils
- preparing, seasoning & cooking such foods as soups, salads, meats, fish, gravies, vegetables, desserts, sauces & casseroles
- carving meats, preparing portions on a plate and add gravies, sauces, and garnish to servings
- baking pastries
PHYSICAL AND HEALTH EDUCATION 9
Physical & Health Education 9 (PHE9) aims to empower students to develop a personalized understanding of what healthy living means to them as individuals & members of society in the 21st century. The PHE curriculum focuses on well-being - the connections between physical, intellectual, mental, and social health.
The following four areas are the focus of PHE:
1. **Physical Literacy**: Students will acquire the knowledge, skills & mindsets that will enable them to successfully participate in a wide range of physical activities.
2. **Healthy & Active Living**: Students will develop a healthy lifestyle, both in and out of school. Aspects of a healthy lifestyle include healthy eating, daily physical activity and choices that have a positive influence on health and well-being.
3. **Social & Community Health**: A student’s overall health & safety is directly influenced by our physical environment & our interpersonal relationships with others. Students will develop an understanding of how the health of others & the community can influence them as individuals.
4. **Mental well-being**: Students will explore factors that influence our mental well-being, including our sense of self, our relationship with others, and how we cope with the many changes we experience throughout life. Students will learn strategies to promote mental well-being for themselves and others.
The PHE 9 curriculum aims to develop students who have the knowledge & confidence to promote their own health & well-being by maintaining healthy habits. The goal is for students to recognize & change unhealthy behaviors and, at the same time, advocate for the safety, health & well-being of others. Students can apply the knowledge, processes & skills learned to their daily lives while engaging in an exploration of what healthy living means & looks like for them. The PHE9 builds on the knowledge, skill & understanding of the grade 8 PHE program.
**PHYSICAL AND HEALTH EDUCATION 9– Recreational**
This course is the same curriculum as the above PHYSICAL AND HEALTH EDUCATION 9, however, this curriculum will be delivered in a non-competitive environment and is best suited for those students who prefer to participate at a recreational level.
PHYSICAL AND HEALTH EDUCATION 10
Physical and Health Education 10 (PHE10) is a continuation of the 8 and 9 programs. It builds on the knowledge and understanding gained from the previous years of PHE. The PHE 10 curriculum focuses on well-being - the connections between physical, intellectual, mental, and social health.
The following four areas are the focus of PHE 10:
1. **Physical Literacy**: Students will acquire the knowledge, skills, and mindsets that will enable them to successfully participate in a wide range of physical activities.
2. **Healthy and Active Living**: Students will develop a healthy lifestyle, both in and out of school. Aspects of a healthy lifestyle include healthy eating, daily physical activity and choices that have a positive influence on health and well-being.
3. **Social and Community Health**: A student’s overall health and safety is directly influenced by our physical environment and our interpersonal relationships with others. Students will develop an understanding of how the health of others and the community can influence them as individuals.
4. **Mental well-being**: Students will explore factors that influence our mental well-being, including our sense of self, our relationship with others, and how we cope with the many changes we experience throughout life. Students will learn strategies to promote mental well-being for themselves and others.
The PHE 10 curriculum aims to develop students who have the knowledge & confidence to promote their own health and well-being by maintaining healthy habits. The goal is for students to recognize and change unhealthy behaviors and, at the same time, advocate for the safety, health, and well-being of others. Students can apply the knowledge, processes, and skills learned to their daily lives while engaging in an exploration of what healthy living means and looks like for them. The PHE10 builds on the knowledge, skill, and understanding of the grade 8/9 PHE program.
**PHYSICAL & HEALTH EDUCATION (FITNESS AND CONDITIONING) 11 & 12**
Through participation in a variety of activities, students will develop a positive attitude towards active living, demonstrate a functional level of activity-specific motor skills and develop career and occupational opportunities related to physical activities. Students will be introduced to available community recreational facilities & services.
Emphasis will be placed on the development of leadership skills through community service. This course fulfils the following objectives:
1. To participate and develop skills in a variety of athletic and recreational activities
2. To value physical activity as a necessary part of an active, healthy lifestyle
3. To be aware of community resources available for physical and recreational activities
4. To demonstrate responsibility by fulfilling leadership requirements
HIGH PERFORMANCE 10 – BASKETBALL COMPETITIVE CO-ED
High Performance 10 is a course designed for the individual who wants to improve their Basketball skill set and learn in depth concepts of Basketball. This high intensity course will help students learn how to physically train in the pre-season as well as in-season. The course will include visualization, sport physiology, mental training, and nutrition. The class will participate in field studies, as well as there will be guest instructors to deepen student’s knowledge of post-secondary athletics. The expectation for this course is that students will train at a high level, compete, and engage in all activities. Students considering this course must be highly self-motivated and prepared to work to their maximum potential in each class. There will also be an additional emphasis on leadership skills.
ACTIVE FOR LIFE 11/12 (Girls)
Active For Life 11/12 is a course designed to provide girls with the opportunity to engage in a variety of activities that are geared towards a healthy and active lifestyle. Students will acquire the knowledge and resources to continue engagement in physical activity outside of school and in the community. The class will participate in a variety of competitive and non-competitive activities, explore different areas of fitness, and engage in various recreational activities in different environments; potential activities could be: rock climbing, hiking, fitness classes and guest presenters. The goal of this course is for students to develop an open mind to learn and understand a variety of physical activities, build their confidence and knowledge regarding fitness, and have the motivation and ability to push outside their comfort zone to continue or improve a healthy active living lifestyle.
ATHLETIC LEADERSHIP 11/12
The Athletic Leadership class will be a driving force in creating a successful athletics program that will promote a strong sense of culture, spirit, and pride within the school. It is our goal then to instill these qualities within our fellow students and staff to create a sense of spirit that will make everyone proud to be a Wildcat!
The course is organized into these main units:
- Teambuilding
- Leadership Skills
- Event Planning
- Research and Action
This class is an ‘X’ block and runs outside of the school rotation in the morning. In addition, students will be required to log a minimum of 30 hours of volunteer work in the school through various events including score keeping, officiating, concessions, etc. This may include lunch times or after school hours. There will be times throughout the year that we will meet outside of school hours to cover the necessary criteria.
SUPERFIT (ACTIVE LIVING) 11 & SUPERFIT (ACTIVE LIVING) 12 (PE 12)
This course is designed for the elite athlete, athletes who would like to gain extra fitness for their sport, (i.e., hockey, basketball, soccer), triathletes and for those who would simply like to learn about fitness and training. There are two main areas of focus for this course: Fitness and Sports activities. The Fitness component is comprised of many practical conditioning sessions which incorporate aerobic and anaerobic training, muscular strength and endurance, and circuit training (includes core body strength, balance, agility, reaction time and speed). There is a major emphasis on cross training as well. Students will also study anatomy, athletic injuries and nutrition. Individuals must have a minimum of a B average in PHE 10 or PHE11 and permission from the instructor, to take this course. Students must be prepared to attend ALL classes.
COMMUNITY LEADERSHIP 9
This course will provide students with a variety of school-based leadership opportunities. It allows students to learn & understand a variety of leadership styles & provide students with skills to develop their own sense of leadership. Students will be supporting in a variety of school wide events, including the Community Dinner and Terry Fox Run. For acceptance into this course, students must complete an application, which is available in the Career Centre. Leadership 8 is not a pre-requisite for this course.
PE LEADERSHIP 10
In addition to meeting the goals of PHE 10, the Leadership 10 class will develop leadership skills with criteria specified through class activities & projects. This class will also provide students with opportunities to apply a variety of leadership skills & to develop interpersonal & communication skills. Students will also complete CLE 10 within this course as it runs all year, every day. Students will be planning and organizing a variety of school events including the Terry Fox Run, The Community Dinner, and Grade 7 Articulation. For acceptance into this course, students must complete an application, which is available in the Career Centre. Leadership 8 or 9 is not a pre-requisite for this course.
COMMUNITY LEADERSHIP 11 and COMMUNITY LEADERSHIP 12
This course will focus on developing community-based leadership initiatives. Students will be encouraged to work with community-based organizations to help make a difference beyond our school. Students will be working through a mentorship program with younger students as well as support our local community through a variety of student-initiated activities. For acceptance into this course, students must complete an application, which is available in the Career Centre. Leadership 10 is not a pre-requisite for this course.
SPORTS & RECREATION LEADERSHIP 11/12
The Sports and Recreation Leadership 11/12 course operates just like any other course in terms of mandatory attendance, assignments, and student-led activities. This class occurs outside of their timetable during lunch time every day. It's available to all 11th and 12th-grade students and offers them excellent opportunities to express their creativity while actively participating in the development of an inclusive array of physical activities suitable for students of all skill levels. Additionally, students in this program acquire essential leadership skills, such as organization and delegation, as they are responsible for equipment setup and schedule creation. They also develop mentorship and communication skills as they take on a coordinator/supervision role by developing and delivering a sports and recreation program to advocate for the health and well-being of others in the school’s community.
The technology education department is focused on the development of students’ abilities to design, develop, and fabricate products through hands on learning. Through research, ideation, prototyping, testing, and sharing students will gain a greater understanding for how to produce a product. In each course students will learn a different set of technologies, tools and skills but will always fall under the umbrella of the design thinking process.
**DRAFTING 9**
Do you enjoy creating your own inventions? Do you have a creative mind? In drafting, you won’t just learn how to model your creations, you will make them a reality through 3D printing & CNC mills. You will also learn orthographic projection, scale drawings, and architectural renderings.
**Evaluation:** project based
**DRAFTING 10**
Do you enjoy creating your own inventions? Do you have a creative mind? In drafting, you won’t just learn how to model your creations, you will make them a reality through 3D printing & CNC mills. You will also learn orthographic projection, scale drawings, and architectural renderings. In this course we will touch on both mechanical & architectural drafting. You will have the opportunity to solve mechanical problems and make 3D models and blueprints of your own building designs.
**Evaluation:** project based
**DRAFTING 11**
Drafting 11 is an exciting and engaging course focused on design and problem solving using mechanical and architectural drafting. Based on your skill level, labs and assignments will be chosen that expand and advance your skills. Students will have the opportunity to use 3D printers and CNC machines to prototype, test, and create design solutions.
**Evaluation:** project based
**DRAFTING 12**
If you are thinking about a career in the architectural or engineering field, this is the class for you. This course will go into a deeper understanding of architecture, including a look at the current BC Building Codes. You will ideate, prototype, and create a set of blueprints for your 1500 square foot dream home. There will also be a comprehensive exploration of mechanical and structural drafting.
**Evaluation:** project based
WOODWORKING 9
This course is designed as a hands-on introduction to woodworking. Through design, problem solving, and plan interpretation, students will ideate, prototype, and create their own woodworking projects.
WOODWORKING 10
This course is an introductory hands-on course in which the students learn & apply basic skills involving woodworking tools, portable power tools & machines. Students will be required to solve design problems, create & interpret plans, calculate cost, and fabricate projects using wood & wood composites as the primary construction medium. Students will design & build projects using skills acquired.
WOODWORKING 11
This course is an intermediate hands-on course in which the students apply previously learned woodworking skills and learn and apply new skills. Woodworking hand tools, portable power tools, and machines are used to build student designed projects. Students will be expected to solve design problems and construct their solutions. The major focus of this course is the construction of cabinets and furniture.
WOODWORKING 12
This is an advanced hands-on course in which students will build on previously learned woodworking skills to design and develop. Student-ownership and self-direction are keys to success in the woodworking area. Students enrolling in this course should be self-motivated and be prepared to choose a major project.
ROBOTICS 9
Students will be using Vex platforms to develop programming skills in C++. Microcontrollers will be used to program lights, motors & relays. Students will have the opportunity to design & fabricate add-ons for the Vex platform through 3D printing.
**Evaluation:** based on designs, projects & daily logs
ROBOTICS 10
Students will develop a deeper understanding of programming microcontrollers such as raspberry pi and Arduino. Students will develop several Arduino projects. No previous experience necessary.
**Evaluation:** based on designs, projects & daily logs
ROBOTICS 11
Students will develop text-based programming skills in C and C++ to control Vex platform robotics and microcontrollers. Students will ideate, prototype, and create their own robotic designs to tackle mechanical tasks as well as programming challenges. Previous experience is recommended, but not necessary.
ROBOTICS 12
Students will develop text-based programming skills in C and C++ to control Vex platform robotics and microcontrollers. Students will ideate, prototype, and create their own robotic designs to tackle mechanical tasks as well as programming challenges. Previous experience is recommended, but not necessary. If you are a repeating student, you should be self-motivated and prepared to do self-directed studies and projects based on your interest and skill-level.
**Evaluation:** based on theory designs, projects & daily logs
METALWORK 9
Metalwork 9 focuses on design, problem solving, and construction of metalwork projects. Students will be working with hand, power, and machine tools that are typically found in a metal fabrication shop. Student-ownership & self-direction are keys to success in the metalwork area.
METALWORK 10
Metalwork 10 focuses on design, problem solving, and construction of metalwork projects. Students will use more advanced fabrication techniques such as arc, mig and tig welding as well as mills and metal lathes. Students will have the opportunity to design and cast their own artifacts out of bronze, silver, or gold. Student-ownership and self-direction are keys to success in the metalwork area.
METALWORK 11
This course takes a more advanced look at metalworking machining, casting & welding. Parts of the course will be focused on metal art, jewelry fabrication, various casting methods, milling, and machining. There will also be welding projects that will allow students to gain experience using arc, mig, oxyacetylene & tig welders. Students will develop the skills necessary to advance themselves into the metal working trade through apprenticeship. Student-ownership & self-direction are keys to success in the metalwork area.
METALWORK 12
This course takes a more advanced look at metalworking machining, casting & welding. Parts of the course will be focused on metal art, jewelry fabrication, various casting methods, milling, and machining. There will also be welding projects that will allow students to gain experience using arc, mig, oxyacetylene and tig welders. Through these processes, students will have the opportunity to design, prototype, and create their own graduation ring. Student-ownership & self-direction are keys to success in the metalwork area.
ART METAL 12
This course focuses on design and production of Art Metal and jewelry projects. Students will be taught basic techniques which include enameling, casting, chain mail, and wire bending. A variety of materials will be used. As the students gain experience, they will complete more advanced projects.
DANCE 9
In this introductory to intermediate class, you will learn and perform a variety of dance styles. You will use elements of movement to learn dance technique, combinations, and choreography. This course will build self-confidence and develop teamwork and presentation skills. You will be expected to work in small groups to collaborate, communicate ideas and perspectives through dance. The types of dance that may be covered in this course include hip hop, ballet, jazz, multi-cultural, and break dance. Dancers will be expected to perform in one performance outside of class time. Dancers will receive the training required for Dance Company 10, 11 and 12. Evaluation is based on progress, attitude, and participation.
DANCE COMPANY 10
In this advanced class you will learn and perform a variety of dance styles. You will use elements of movement to learn dance technique, combinations, and choreography. This course will develop innovative thinking and will nurture creativity and collaboration. You will be expected to create your own choreography to communicate ideas and perspectives of culture and personal identity. The types of dances that may be covered in this course include hip hop, ballet, jazz, multi-cultural, and break dance. Dancers will be expected to perform in one performance outside of class time. Evaluation is based on progress, attitude, and participation. It is highly recommended that students have prior dance courses or experience.
DANCE COMPANY 11
In this advanced class you will learn and perform a variety of dance styles. You will use elements of movement to learn dance technique, combinations, and choreography. This course will develop innovative thinking and will nurture creativity and collaboration. You will be expected to create your own choreography to communicate ideas and perspectives of culture and personal identity. The types of dances that may be covered in this course include hip hop, ballet, jazz, multi-cultural, and break dance. Dancers will be expected to perform in one performance outside of class time. Evaluation is based on progress, attitude, and participation. It is highly recommended that students have prior dance courses or experience.
DANCE COMPANY 12
In this advanced class you will learn and perform a variety of dance styles. You will use elements of movement to learn dance technique, combinations, and choreography. This course will develop innovative thinking and will nurture creativity and collaboration. You will be expected to create your own choreography to communicate ideas and perspectives of culture and personal identity. The types of dances that may be covered in this course include hip hop, ballet, jazz, multi-cultural, and break dance. Dancers will be expected to perform in one performance outside of class time. Evaluation is based on progress, attitude, and participation. It is highly recommended that students have prior dance courses or experience.
ADVANCED DANCE COMPANY 9-12
In this advanced level course, you will learn and perform a variety of dance styles. This fast-paced course is for committed dancers that want a challenge and are ready to push creative boundaries. You will use elements of movement to learn dance technique, combinations, and choreography. This course will develop innovative thinking, creativity, and collaboration. You will be expected to create your own choreography to communicate ideas and perspectives of culture and personal identity. These works will be performed. Dancers will perform a variety of styles of dances learned in both festival and competitive settings. Success in this course is very much dependent on the students dance experience. Any interested students should speak to their dance instructor and receive their recommendation before selecting this course.
DRAMA 9
Drama 9 is a beginner level acting and performance course for students with no prior acting experience. Drama is an active class where you can expect to move, make noise, and play. The class will focus on building your confidence and creativity through drama games, improvisation, and scripted scenes. You will also explore your appreciation of acting and creativity by watching movies and plays. By providing opportunities to demonstrate cooperation, leadership, creativity, responsibility, and respect, the course aims to equip students with the confidence they need to be more successful public speakers, leaders, citizens, and artists. There are no prerequisites to Drama 9 although an enthusiasm for drama is highly recommended.
DRAMA 10
Drama 10 is an intermediate level acting and performance course for students who are familiar with the processes of Drama class. Drama is an active class where you can expect to move, make noise, and play. The class will focus on building your confidence and creativity through drama games, improvisation, scripted scenes, and plays. You will also explore your appreciation of acting and creativity by watching movies and plays. By providing opportunities to demonstrate cooperation, leadership, creativity, responsibility, and respect, the course aims to equip students with the confidence they need to be more successful public speakers, leaders, citizens, and artists. There are no prerequisites for Drama 10, though previous experience and success in drama is highly recommended.
ACTING 11/12
Acting 11/12 is an advanced level acting and performance course for students who are familiar with the processes of the Drama class. Acting 11/12 will provide an abundance of performance opportunities from plays, scenes, monologues, improvisation and a large collaborative unit with the Video & Film class that will put students in front of the camera and on to the silver screen. Acting 11/12 will emphasize leadership and creativity by providing opportunities create and devise their own performance works. The course will also offer a field trip to theatre festivals where students will have the opportunity to win awards for their performance skills. The course will also explore careers and opportunities in theatre and film post-graduation. There are no prerequisites for Acting 11/12 though previous experience and proficiency in drama and performance is anticipated.
DIRECTING & SCRIPT WRITING 11/12
Behind every great performance there is both a brilliant writer who worked to create and craft the story, and a visionary director who works to shape and enhance the narrative. If you think you might be one of those creatives, then Directing and Script Writing could be for you. You will learn how to write scripts for the stage and screenplays for film. In collaboration with acting students, you will have a chance to direct the scripts you write and see them come to life. You may also have your screenplay turned into a movie by the video and film class and shown on the big screen. There are no prerequisites for Directing and Script Writing 11/12, but please note that some collaborations will require additional time outside of the regular classroom hours.
THEATRE COMPANY is a community of students from grades 8 – 12 who come together to build productions and performances such as musicals, plays, short films, and more. You will also have the opportunity to join our leadership team and volunteer for fundraisers and events.
Students can choose from one of the following streams:
1. **Acting stream** – This is for those who want to be under the spotlight and in front of the camera. This stream will focus on developing your acting and performance skills.
2. **Tech stream** – This is for those who prefer to be working the magic behind the scenes. You will learn the technical side of theatre, experimenting with lighting, sound, stage management, and more.
In addition to productions, both streams will attend and compete in Theatre festivals meant for both actors and technicians, and possibly attend a professional theatre production. *Theatre Company is an X-block, meaning it’s offered outside of the normal timetable on Mondays and Wednesdays from 3PM – 4:30PM.*
**CONCERT BAND 9**
Concert Band 9 is designed to further develop skills & concepts learned in Concert Band 8. Concepts emphasized include theory, technique, tone production, and rhythm. Students will receive instruction on their instrument and will listen & perform music in a wide variety of styles. Students will perform at Tamanawis Band Concerts, the District Concert Band Revue & on extra-curricular band trips. Students who have successfully completed Concert Band 8 or Beginning Band 8 are eligible to take this course. Students who have not participated in Concert Band grade 8 are recommended to choose “Beginning Band 9”.
**CONCERT BAND 10**
Concert Band 10 is designed to further develop skills & concepts learned in Concert Band 9. Concepts emphasized include theory, technique, tone production & rhythm. Students will receive instruction on their instrument & will listen to and perform music in a wide variety of styles. Students will perform at Tamanawis Band Concerts, the District Concert Band Revue & on extra-curricular band trips. Students who enroll in Concert Band 10 must have 1-2 years experience in a music course at Tamanawis, or they must have a consultation with the Music Director.
**CONCERT BAND 11**
This course is part of our most senior level wind ensemble. Course content includes advanced development of all music skills developed in previous years of band. Students in this ensemble are committed to participate in all this ensembles’ performance endeavors. The goal of lifelong music enjoyment will be explored through participation in music festivals, competitions & trips. Students must have successfully completed Concert Band 10 or have had a consultation with the Music Director prior to registering for this course.
**CONCERT BAND 12**
This course is part of our most senior level wind ensemble. Course content includes advanced development of all music skills developed in previous years of band. Students in this ensemble are committed to participate in all this ensembles’ performance endeavors. The goal of lifelong music enjoyment will be explored through participation in music festivals, competitions & trips. Students must have successfully completed Concert Band 11 or have had a consultation with the Music Director prior to registering for this course.
BEGINNING BAND 9
Beginning Band 9 is a course that is ideal for students who would like to enter the Band program. This course is catered to students who did not or were not able to join Concert Band in Grade 8. Emphasis will be on basic technique, note reading & ear training. Evaluation will be based on progress, attitude & participation during rehearsals & performance opportunities. Everyone is welcome to register for this course, regardless of experience level.
BEGINNING BAND 10
Beginning Band 10 is a course that is ideal for students who would like to enter the Band program. This course is catered to students who did not join Band in previous years and do not have previous experience. Emphasis will be on basic technique, note reading and ear training. Evaluation will be based on progress, attitude & participation during rehearsals & performance opportunities. The goal is to be integrated into the Grade 10 Concert Band by second semester. Everyone is welcome to register for this course, regardless of experience level.
JAZZ BAND 9
Jazz Band 9 is offered as an X-block & runs on Mondays & Wednesdays afterschool 3:00-4:30pm. (times may vary at discretion of the Director). The Junior Jazz 9 course undertakes the study of jazz style in a big band setting. Instruments included are saxophone, trombone, trumpet, drum set, bass, guitar & piano. As Junior Jazz 9 is a full-credit course, enrolling students will have an extra course on their transcript. Evaluation will be based on progress, participation, & attitude during rehearsals & performances. It is expected that students who choose to join Jazz Band are enrolled in Concert Band 9 & must have a consultation with the Music Director prior to registering for this course.
JAZZ BAND 10
Jazz Band 10 is offered as an X-block & runs on Mondays & Wednesdays afterschool 3:00-4:30pm. (times may vary at discretion of the Director). The Junior Jazz 10 course undertakes the study of jazz style in a big band setting. Instruments included are saxophone, trombone, trumpet, drum set, bass, guitar & piano. As Junior Jazz 10 is a full-credit course, enrolling students will have an extra course on their transcript. Evaluation will be based on progress, participation & attitude during rehearsals & performances. It is expected that students who choose to join Jazz Band are enrolled in Concert Band 10 & must have a consultation with the Music Director prior to registering for this course.
JAZZ BAND 11
Jazz Band 11 is offered as an X-block & runs on Mondays & Wednesdays before school 7:00-8:30am. (times may vary at discretion of the Director). Jazz Band 11 undertakes the study of jazz style in a big band setting. Instruments included are saxophone, trombone, trumpet, drum set, bass, guitar & piano. As Jazz Band 11 is a full-credit course, enrolling students will have an extra course on their transcript. Evaluation: based on progress, participation, & attitude during rehearsals & performances.
JAZZ BAND 12
Jazz Band 12 is offered as an X-block & runs on Mondays & Wednesdays before school 7:00-8:30am. (times may vary at discretion of the Director). Jazz Band 12 undertakes the study of jazz style in a big band setting. Instruments included are saxophone, trombone, trumpet, drum set, bass, guitar & piano. As Jazz Band 12 is a full-credit course, enrolling students will have an extra course on their transcript. Evaluation: based on progress, participation, & attitude during rehearsals & performances.
GUITAR 9
GUITAR 10
GUITAR 11
GUITAR 12
This Guitar 9-12 course is designed to cater to budding guitar players of all levels. As guitar ability varies widely, students will be guided in setting their own learning goals pertaining to guitar technique. Assessment will be centred on the student’s play as it relates to their progress towards learning goals. Learning goals will be set collaboratively between the teacher & student. Secondary areas of focus will be on learning the basics of music theory & gaining an appreciation of the role of the guitar in the progression of popular music history. Students who prefer to play electric guitar, bass, or ukulele are invited to continue their learning on those instruments if they wish. Finally, students will have the opportunity to learn & apply basic recording & production techniques to a recording of themselves playing guitar.
DRUMLINE 9
This exciting course is for students who are interested in being involved in a high energy group of percussion instruments. Students are welcome regardless of their present skill set, whether it be beginner to advanced. Students will learn to read rhythm patterns, techniques to playing each drum and will have the opportunity to perform in a team-based ensemble.
DRUMLINE 10
This exciting course is for students who are interested in being involved in a high energy group of percussion instruments. Students are welcome regardless of their present skill set, whether it be beginner to advanced. Students will learn to read rhythm patterns, techniques to playing each drum and will have the opportunity to perform in a team-based ensemble.
DRUMLINE 11
This exciting course is for students who are interested in being involved in a high energy group of percussion instruments. Students are welcome regardless of their present skill set, whether it be beginner to advanced. Students will learn to read rhythm patterns, techniques to playing each drum and will have the opportunity to perform in a team-based ensemble.
DRUMLINE 12
This exciting course is for students who are interested in being involved in a high energy group of percussion instruments. Students are welcome regardless of their present skill set, whether it be beginner to advanced. Students will learn to read rhythm patterns, techniques to playing each drum and will have the opportunity to perform in a team-based ensemble.
VOCAL PERFORMANCE 8
This course is designed to introduce students to the elements of singing in a choral setting. Students will sing a wide variety of music and will receive instruction in correct vocal technique, microphone technique, music reading and performance skills. Students will perform at numerous Tamanawis Music concerts, a choral revue and will have the opportunity to participate in various extra-curricular tours. This class will meet twice a week outside of the regular timetable, likely Tuesday & Thursday afternoons 3:00-4:30pm. (times may vary at discretion of the Director). As Vocals 8 is a full-credit course, enrolling students will have an extra course on their transcript. Evaluation will be based on progress, participation, and attitude during rehearsals and performances.
VOCAL PERFORMANCE 9
This course is designed to introduce students to the elements of singing in a choral setting. Students will sing a wide variety of music and will receive instruction in correct vocal technique, microphone technique, music reading and performance skills. Students will perform at numerous Tamanawis Music concerts, a choral revue and will have the opportunity to participate in various extra-curricular tours. This class will meet twice a week outside of the regular timetable, likely Tuesday & Thursday afternoons 3:00-4:30pm. (times may vary at discretion of the Director). As Vocals 9 is a full-credit course, enrolling students will have an extra course on their transcript. Evaluation will be based on progress, participation, and attitude during rehearsals and performances.
VOCAL PERFORMANCE 10
This course is designed to introduce students to the elements of singing in a choral setting. Students will sing a wide variety of music and will receive instruction in correct vocal technique, microphone technique, music reading and performance skills. Students will perform at numerous Tamanawis Music concerts, a choral revue and will have the opportunity to participate in various extra-curricular tours. This class will meet twice a week outside of the regular timetable, likely Tuesday & Thursday afternoons 3:00-4:30pm. (times may vary at discretion of the Director). As Vocals 10 is a full-credit course, enrolling students will have an extra course on their transcript. Evaluation will be based on progress, participation, and attitude during rehearsals and performances.
VOCAL PERFORMANCE 11
This course is designed to introduce students to the elements of singing in a choral setting. Students will sing a wide variety of music and will receive instruction in correct vocal technique, microphone technique, music reading & will have the opportunity to participate in various extra-curricular tours. This class will meet twice a week outside of the regular timetable, likely Tuesday & Thursday afternoons 3:00-4:30pm. (times may vary at discretion of the Director). As Vocals 11 is a full-credit course, enrolling students will have an extra course on their transcript. Evaluation will be based on progress, participation, and attitude during rehearsals and performances.
VOCAL PERFORMANCE 12
This course is designed to introduce students to the elements of singing in a choral setting. Students will sing a wide variety of music and will receive instruction in correct vocal technique, microphone technique, music reading & will have the opportunity to participate in various extra-curricular tours. This class will meet twice a week outside of the regular timetable, likely Tuesday & Thursday afternoons 3:00-4:30pm. (times may vary at discretion of the Director). As Vocals 12 is a full-credit course, enrolling students will have an extra course on their transcript. Evaluation will be based on progress, participation, and attitude during rehearsals and performances.
VISUAL ART 9
Visual Art 9 is a foundations course designed for beginning art students and for those who would like to continue exploring multi-dimensional art. They will become familiar with a studio setting and will experiment with a variety of techniques and materials to help them gain skills and confidence using design strategies. In addition to skill development, the emphasis will be on self-expression and visual communication through mediums such as drawing, painting, collage, and printmaking. We will seek inspiration from a variety of art styles, both traditional and contemporary.
ART STUDIO 10
Art Studio 10 is designed for students who love to draw, paint, and create using a variety of techniques. It is a continuation of the practical and theoretical work begun in previous grades, meant for further exploration and experimentation based on learning, trialling, and working with new art mediums. Students are given more independence in choosing themes and imagery for projects, which are designed to stimulate the imagination, encourage interpretation, expression, and development of personal imagery. They will also learn to critically reflect on and interpret art within personal, contemporary, and historical contexts.
ART STUDIO 11
Art Studio 11 provides an opportunity to experiment with a variety of techniques and mediums in art. The elements and principles of design will be the basis of our learning. Students will have opportunities to explore ideas, techniques, and areas of individual interest. They will be encouraged to take it to the next level in creating personally meaningful images and exploring socially relevant issues through their artwork. Further emphasis will be on process and self-reflection, looking to the work of others, historically and culturally, for inspiration. A more creative and independent approach is emphasized.
ART STUDIO 12
This senior level course, and students will explore and create with a variety of techniques and mediums. Students will be encouraged to experiment with ideas, techniques, and areas of individual interest and reflect on their own processes and image development strategies as well as those of their peers. Students will build upon their knowledge of historical and contemporary art, while venturing beyond foundational concepts and ideas. There will be an emphasis on paying particular attention to personal expression and self-discovery through the artistic process. Students in this class will enter with a broad range of art experience and abilities. Success in this course, regardless of experience, will depend on a positive, mature attitude and a willingness to take risks so that they may learn and grow as artists. Throughout the course, students will be creating artwork for a personalized portfolio that can be a perfect addition to your Capstone project or application for post-secondary education.
3D ART STUDIO 9
This is an exciting course where you will work with a variety of materials, such as papier mâché, clay, plaster, cardboard, and textiles, among others. You will create functional pieces in addition to unique sculptural artwork. You will examine and apply the elements and principles of design as you create art, and respond to contemporary and historical works of art. You will explore and visually communicate your perspectives on personal identity and community in this class. Topics, approaches, and mediums in this course change every year. All experience levels are welcome.
3D ART STUDIO 10
This course provides an opportunity for purposeful play, where students can experiment with a variety of techniques and mediums in 3-dimensional (3D) art. Students will learn about basic procedures, methods and tools used in the creation of 3D artwork. Students will create artistic works using sensory inspiration, imagination, and inquiry that demonstrate personal, cultural, and historical works. They will develop and refine artistic skills and techniques in a range of styles and movements, exploring the relationships between 3D artistic works, cultures, and society. Topics, approaches, and mediums in this course change every year.
3D ART STUDIO 11
If you enjoy expressing ideas and building/constructing in 3D, this is the course for you. Students will create structural artwork using such materials as papier mâché, wire, clay, and found objects, among others. Through their artwork, students will reflect personal voice to address social, cultural, and environmental issues. This is a truly hands-on experience. *This course is ideal for those who are considering careers in fields like visual arts, graphic design, animation, architecture, engineering, interior design, game and web design/development, Animation, film/special effects, marketing/advertising.* Throughout the course, students will be creating artwork for a personalized portfolio that can be a perfect addition to your Capstone project or application for post-secondary education. Topics, approaches, and mediums in this course change every year.
STUDIO ARTS 3D 12
This senior course builds on previous sculptural experiences in using materials and techniques to make exciting 3D artwork. Students will be encouraged to explore ideas, techniques, and areas of individual interest. Senior students are invited to challenge themselves, to try new techniques, and to self-direct some of their own exploration. Students will be encouraged to reflect and critique artwork and processes. *This course is ideal for those who are considering careers in fields like visual arts, graphic design, animation, architecture, engineering, interior design, game and web design/development, Animation, film/special effects, marketing/advertising.* Topics, approaches, and mediums in this course change every year.
PHOTOGRAPHY 10
Wondering if you can take cool photos or capture a great selfie? This class is for you. In Photography 10 you will learn the fundamentals of mobile & digital photography by using a DSLR camera. You will explore photographic possibilities, creative photo effects & work with photo editing software. Throughout the course, you will be building a personalized creative portfolio that can be displayed as part of your personal accomplishments for your Capstone project. Students will also be provided with opportunities to display their work at local community centers and art galleries.
PHOTOGRAPHY 11
Wondering if you can take cool photos or capture a great selfie? This class is for you. In Photography 11 you will learn the fundamentals of mobile photography & digital photography using the DSLR camera. You will explore photographic possibilities, creative photo effects & work with image editing using Adobe Photoshop. Students will be provided with opportunities to display their work at local community centers and art galleries. Levels 1 and 2 will be applied to each student as the course may be repeated. Throughout the course, you will be building a personalized creative portfolio that can be displayed as part of your personal accomplishments for your Capstone project.
PHOTOGRAPHY 12
In digital Photography 12 you will explore photographic possibilities, creative photo effects and work with image editing using Adobe Photoshop. Emphasis will be given on the proper use of DSLR camera settings to create image quality in the context of the digital revolution. Students will be provided with opportunities to display their work at local community centers and art galleries. Levels 1, 2 and 3 will be applied to each student as the course may be repeated. Throughout the course, you will be building a personalized creative portfolio that can be a great addition to your application for post secondary and for career related opportunities.
YEARBOOK 10
Why take yearbook? In this course students will gain skills in photography, Photoshop, advanced graphic design, publishing, copy writing and editing while producing a creative, innovative yearbook which records school memories and events. While producing a real product that everyone will keep for years to come, students will gain useful, real-world skills in time management, marketing, teamwork, and principles of design.
YEARBOOK 11/12
This is a year-long course that introduces students to all phases of yearbook production. Students will learn the skills of Journalism, Graphic Design, Photography, Marketing, Advertising and Sales. Along the way, students will learn or improve on their use of Adobe Photoshop and the art of digital photography. Classroom activities and expectations are closely related to the real world of interviewing, reporting, meeting deadlines and producing a widely viewed publication. Students who complete applications for this course will be given priority to register. Please see your councillor to pick up your application.
The Learning Support Program is available for students who need support and assistance in their academics. The program consists of enrolled tutorials/skill building classes for designated students and non-enrolled drop-in opportunities for all other learners.
**TUTORIALS**
The Learning Support program provides students with a tutorial block to support them in their education. In a tutorial block, students receive assistance and support in areas of need and build fundamental academic skills in a supportive environment. Please note that LST courses are zero credits unless otherwise stated.
**SKILLS FOR SUCCESS (GRADES 10-12)**
This course provides direct & specific instruction to develop student knowledge, self-awareness & skills to engage learning. The course is designed to offer opportunities for cross-curricular connections & focuses on core competency development that will help learners demonstrate independence in use of skills & strategies that support learning & personal goal setting. This course is worth 4 credits.
**INTRODUCTION TO ACADEMIC LANGUAGE - ELL 10**
This course is designed for English Language Learners (ELLs) who have made some progress in developing their Basic Interpersonal Communication Skills (BICS) already and are ready to more intently and explicitly begin developing academic English (Cognitive Academic Language Proficiency, or CALPS). In this course, students grow their knowledge and skills for academic communication in English through explicit vocabulary, reading, writing, speaking, listening, and viewing instruction in a sheltered environment. This course builds a bridge between students’ previous learning, their personal and social identities and relationships, and the new cultural setting within which they are now interacting.
**ACADEMIC LANGUAGE - ELL (GRADES 10-12)**
In this course, students will develop their academic English within a sheltered environment which meets the specific cultural adjustment needs of English Language Learners (ELLs). This course continues to expand upon the skills acquired in Introduction to Academic Language ELL10 which are needed in order to be successful in writing, speaking, listening, and reading competencies through a variety of text genres, registers, structures, forms, and styles. This course includes elements of Canadian culture (cultural identity and First Peoples culture).
**THE LANGUAGE OF MATH/SCIENCE**
In this course, students will be introduced more advanced English terms and concepts related to math and science. Science units and math concepts will be explored once vocabulary is introduced. Within this context, students will grow their knowledge and skills through explicit vocabulary, reading, writing, speaking, listening, and viewing instruction in a sheltered environment.
ELL LANGUAGE DEVELOPMENT – HUMANITIES (BEGINNERS)
In this course, students will be introduced to English terms and concepts related to Humanities. Basic Social Studies and English units and concepts will be explored once vocabulary is introduced. Within this context, students will grow their knowledge and skills through explicit vocabulary, reading, writing, speaking, listening, and viewing instruction in a sheltered environment.
ELL LANGUAGE DEVELOPMENT – HUMANITIES (INTERMEDIATE)
In this course, students will build on their fundamental skills to further develop their knowledge of English terminology and concepts related to Humanities. Social Studies and English content and skills will be explored with increasing complexity. Within this context, students will be exposed to explicit instruction in vocabulary, reading, writing, speaking, and listening to ease their transition to mainstream English and Social Studies courses.
ELL BRIDGE
This course is designed to meet the needs of ELL students who have very limited knowledge of English. In this course students receive group and one-to-one support in a sheltered environment to strengthen literacy, numeracy, and social skills to ease their transition in the school. The course builds a bridge between students’ previous learning, their personal and social identities and relationships, and the new cultural setting within which they are now interacting.
PEER TUTORING 11
This course provides students with an opportunity to help peers who are experiencing difficulty with their academic subjects, organizational skills, study skills, and/or work habits. Peer tutors undergo training and develop knowledge and skills related to the variety of teaching and learning styles that exist and other factors that may impact student learning and achievement. Peer tutors are then assigned to assist in academic classes and specialized programs such as Learning Support.
PEER TUTORING 12
This course is a continuation of Peer Tutoring 11. It provides students with further opportunities to help peers who are experiencing difficulty with their academic subjects, organizational skills, study skills, and/or work habits. Peer tutors expand their knowledge and skills related to teaching and learning. Peer tutors are then assigned to assist in academic classes and specialized programs such as Learning Support.
CAREER DEVELOPMENT
CAREER CENTRE SERVICES
- CAREER EXPLORATION
- CAREER PREPARATION (RESUMES, COVER LETTERS, INTERVIEW SKILLS)
- SCHOLARSHIP OPPORTUNITIES
- POST-SECONDARY INFORMATION, APPLICATIONS & PSI REGISTRATION
- WORK EXPERIENCE OPPORTUNITIES
- VOLUNTEER OPPORTUNITIES
- APPRENTICESHIPS & WORK PROGRAM
- GUEST SPEAKERS
CAREER PROGRAMS
CAREER LIFE EDUCATION (MANDATORY COURSE)
- CAREER LIFE CONNECTIONS (NEW MANDATORY COURSE REPLACES GTP)
- TRANSITION PROGRAM
- TRADES DISCOVERY
- CO-OP PROGRAMS (CAREER LIFE CONNECTIONS CO-OP)
- DISTRICT APPRENTICESHIP TRAINING (PARTNERSHIP PROGRAMS)
- YOUTH WORK IN TRADES PROGRAM
- WORK EXPERIENCE
SPECIALTY PLACEMENTS
- RCMP YOUTH ACADEMY & CAREER PREP PROGRAM
- BCIT BIOTECHNOLOGY CAREER AWARENESS
- RESEARCH OPEN HOUSE
- SCIENCE WORLD & VANCOUVER AQUARIUM
- SKILLS CANADA COMPETITIONS
- JUMP START; DREAM ACADEMY; STICKS & STARS
- PLAY ON PROGRAM
- REACH PROGRAM (Surrey Community Schools)
- MINI-MED SCHOOL, GAIRDNER SYMPOSIUM AND DISCOVERY DAYS
- BIG BROTHERS TEAM MENTORING PROGRAM
CAREER EDUCATION 8 and 9
Career development is an ongoing process that requires a variety of explorations & experiences both within & outside the school environment. Students in grade 8 explore concepts such as identity, leadership, personal planning & transferable skills. During the grade 8 Career Education rotation, students will be introduced to *My Blueprint*, a comprehensive platform for career & personal exploration where they will build portfolios that they will continue to develop through to graduation. In grade 9, students will begin to explore in greater depth their skills & passions and begin to determine possible pathways to their goals. *Take Our Kids to Work Day* in November allows grade 9 students to experience first-hand a day at work with an adult in their life. Other career education activities, including ongoing exploration within *My Blueprint*, will take place within other subjects in grade 9, as well as through the Grade 9 TEAMS account.
CAREER LIFE EDUCATION 10
This course replaces Planning 10 as a Ministry-mandated course to meet graduation requirements. Options for students after high school are becoming increasingly varied & complex, and successful transition to post-secondary life requires lifelong planning & learning. The Career Education curriculum involves students in research, problem solving & decision making relevant to their life journey.
Curricular competencies (what students are expected to be able to do) include:
- Consider the impact of personal & career choices on themselves & others
- Recognize the need for a healthy balance between school & other life activities
- Recognize the influence of their communication skills & digital footprint on job-seeking
- Consider the need for **ethical behavior, equality & equity** within the work environment
- Appreciate the importance of safety skills & workplace safety in specific careers/occupations & technologies
- Locate & apply local & global career & labour market information to make potential career & life decisions
- Appreciate the role of personal networks in choosing & advancing career paths
- Create an initial career & education plan, considering financial implications
CAREER LIFE CONNECTIONS 11/12
This Ministry-mandated course can be completed in grade 11 or 12 & replaces the former Graduation Transitions Plan (GTP). The need for a senior dedicated course is based on the understanding that career & education paths require ongoing exploration, planning, evaluation, and adaptation.
Curricular competencies (what students are expected to be able to do) include:
- Explore & articulate career opportunities based on research and **ways of knowing**
- Complete a minimum of 30 hours of work experience or volunteering
- Cultivate & engage personal networks as a **post-graduation** resource
- Critically assess & interpret career related information including labour market trends
- Demonstrate an awareness of employment standards & various workplace safety standards
- Apply local & global sustainability & economic trends to personal career & life choices as an **educated citizen**
- Demonstrate a degree of self-assessment & preparation needed to reach post-graduation goals & plans
- Design, assemble & present a culminating (capstone) project to an audience
Co-operative Education (Co-op) integrates academic studies with related work experience. Students will have the opportunity to:
- Experience hands-on learning
- “Test-drive” career options
- See the relevance of their classroom learning
- Develop the essential skills and habits required in the workplace
- Gain valuable work experience to help build a resumé for post-secondary programs, scholarships & future employment
Co-op students spend one semester with the same class of students and one or two teachers. They will spend two 3-week sessions in the community in an unpaid work experience placement. Co-op students will complete the requirements for Career Life Connections during the classroom component, including the Capstone project.
**HUMANITIES CO-OP (Teachers TBA)**
Welcome to the Humanities Co-op. This is a one-semester co-op where students will have the opportunity to take courses that focus on the area of English Language Arts, Law, and Careers. This program would be an excellent stepping-stone for students who are interested in a career in the Creative Language Arts as well as Business, Law, Policing, and/or the CBSA. Students will receive credit for 6 courses in the time that other students are taking 4. The 24 credits received will include English 11 Spoken Language, English First Persons 12, Law Studies 12, and Career Life Connections 12, all Graduation requirements, as well as Work Experience 12A and Work Experience 12B. The work experience component will be comprised of a 6-week experience in total (2 experience that will last for 3 weeks each) in a field that matches your area of interest as best as possible. The benefits of a program like this allow for cross-curricular education and allow both the teachers and students to share ideas from one area that are directly related to another.
| Credits: | Benefits: |
|----------|-----------|
| - English 11 - Spoken Language
- Law Studies 12
- Career Life Connections 11/12
- English First Persons 12
- Work Experience 12A & 12B | - Earn 24 credits instead of 16 with a 6-week work experience instead of school!
- Merge English, Law, and Career projects for better time management.
- Fulfill multiple Graduation Requirements in one semester! (English 11 and 12, Socials Elective, CLC 12, Capstone, and an Indigenous Studies Credit)
- Gain work experience & references for your resume |
LEADERSHIP CO-OP (Teachers TBA)
Welcome to Leadership Co-op. This single semester Co-op will give you credit for 6 courses and has many courses required for graduation and/or entering university. Along with work experience 12A and 12B credits you will also take English 11-Written Composition, Career Life Connections 11/12, French 11, and Leadership 11/12. The Work experience program will have you working in a job of your choice for approximately 200 hours. This Leadership program will provide students with the opportunity to make a difference in your community. The program is designed to allow like-minded students to learn leadership skills through their course work. The scheduling of the Co-op allows for experiential learning outside the classroom walls. Please see Ms. Mackenzie or Mr. Paille for more information.
| Credits: | Benefits: |
|-----------------------------------------------|------------------------------------------------|
| • English 11- Written Composition | • 200 hours of work experience |
| • Career Life Connections 11/12 | • Merge English Leadership and Careers projects|
| • French 11 | • Gain valuable work experience and references for your future |
| • Leadership 11/12 | • Earn 24 credits instead of 16 in a semester |
| • Work Experience 12A & 12B | |
SPORT SCIENCE CO-OP (Teachers TBA)
Welcome to the Sports Science Co-op. This single semester Co-op will give you credit for 6 courses and has many courses required for graduation and/or entering university. Along with Work experience 12A and 12B credits you will also take Biology 12, Sports Medicine 11/12 Career Life Connections 11/12 and Super Fit 11/12. The Work experience program will have you working in a job of your choice for approximately 200 hours. The Sports Science program will be of benefit to any students interested in a career in the health sciences, nursing, nutrition, physiotherapy, and exercise psychology. This program merges Physical Education with Human Biology and Sports Physiology. The Co-ops unique structure allows for field experiences and visits to various sports related medical clinics. Please see Ms. Mackenzie or Mr. Paille for more information.
| Credits: | Benefits: |
|-----------------------------------------------|------------------------------------------------|
| • Anatomy and Physiology 12 | • 200 hours of work experience |
| • Fitness & Conditioning 11/12 | • Merges Human Anatomy with sports Physiology |
| • Career Life Connections 11/12 | • Gain valuable work experience and references for your future |
| • Super Fit 12 | • Earn 24 credits instead of 16 in a semester |
| • Work Experience 12A | |
| • Work Experience 12B | |
BUSINESS EDUCATION CO-OP (Teachers TBA)
Welcome to Business Education Co-op. This single semester Co-op will give you credit for 6 courses and has many courses required for graduation and/or entering university. Along with work experience 12A and 12B credits you will also take Business Computer Applications 11/12, Career Life Connections 11/12, Marketing 11/12 and Accounting 11/12. The Work experience program will have you working in a job of your choice for approximately 200 hours. This Business program will provide students with the opportunity to gain valuable experience and networking opportunities. The program is designed to allow like-minded students to learn about Business in the unique Co-op setting. The scheduling of the Co-op allows for experiential learning outside the classroom walls. Please see Ms. Mackenzie or Mr. Paille for more information.
| Credits: | Benefits: |
|-----------------------------------------------|---------------------------------------------------------------------------|
| • Business Computer Applications 11/12 | • 200 hours of work experience |
| • Career Life Connections 11/12 | • Merge Business skills and practices with Careers |
| • Marketing 11/12 | • Gain valuable work experience and references for your future |
| • Accounting 11/12 | • Earn 24 credits instead of 16 in a semester |
| • Work Experience 12A & 12B | |
WORK EXPERIENCE 12A & WORK EXPERIENCE 12B
An integral component of co-op programs, these two Ministry approved courses can also be taken as stand-alone courses or backed with Career Life Connections 12 to enable students to complete a work experience opportunity in the community within the school timetable.
Community based work experience is intended to help prepare students for the transition from secondary school to the world of work or post-secondary education. Experiential learning in the community can provide a frame of reference to review or revise a student’s career goals. Work experience provides students with an opportunity to apply classroom learning in a context outside of school and bring back to the classroom new concepts about their learning. Work experience also provides students with the chance to gain new skills that can be used in future employment opportunities. If you are interested in ‘TEST DRIVING’ a career after school hours, drop by the Career Centre for more information. The classroom component of Work Experience 12A and Work Experience 12B includes units on employment standards, workplace safety, workplace etiquette, and employability skills.
Goals for Work Experience courses include:
- Connect what students learn in the classroom with the knowledge, skills and attitudes needed in the workplace
- Gain the knowledge, skills and attitudes needed to be successful in the world of work
- Develop job readiness skills for specific occupations and careers
- Understand the similarities and differences in behavior standards between the workplace and school
Whenever possible, work placements will reflect a student’s career and personal goals, as well as their interests, abilities, and aptitudes. These are the main factors that form the basis of career planning. Work experience can be paid or unpaid and arranged by the school or the student.
FOCUS AREAS:
Students who participate in career programs (co-ops, work experience, partnership programs, SSA program) will graduate with a designation in one of the following Focus Areas:
- Business & Applied Business
- Fine Arts, Design & Media
- Fitness & Recreation
- Health & Human Services
- Liberal Arts / Humanities
- Science & Applied Science
- Tourism, Hospitality & Foods
- Trades & Technology
Partnership programs allow qualified students to complete foundation level skilled trades training while still in high school. Students apply through the career centre in March of their grade 10 or grade 11 year, and complete training during one semester the following year. (The Hairstylist program requires two semesters to complete)
Also known as REMOVE ACE IT YOUTH TRAIN in TRADES programs. At present, Surrey offers 19 District Partnership Programs:
- Automotive Service Technician (KPU)
- Baking and Pastry Arts (VCC)
- Carpentry (KPU)
- Collision and Refinishing Common Core (VCC)
- Culinary Arts (Professional Cook 1) (Tamanawis Secondary School)
- Drafting (CADD) (KPU)
- Early Childhood Education (ECE) Program (Douglas College)
- Electrical (BCIT)
- Explorations in Aviation Careers (BCIT)
- Hairstylist (SD36)
- Heavy Mechanical Trades (VCC)
- Horticulture (KPU)
- Introduction Nursing Prep (KPU) (NEW)
- Metal Fabrication (KPU)
- Millwright (KPU)
- Painter (FTI)
- Piping (KPU)
- Tah-tul-ut Indigenous Education Pathway (SFU)
- Welding (KPU)
DUAL CREDIT COURSES
Dual credit courses enable students to receive credit for post-secondary courses while, at the same time, earning high school credit towards their graduation. Kwantlen Polytechnic University, Douglas College and Nicola Valley Institute of Technology provide Surrey School District students with the opportunity to take post-secondary courses, tuition-free, while they are still in high school. However, please note students are responsible for the Emily Carr Headstart in Art course.
Contact your school-based facilitator for additional information and to obtain an application package.
| • Community and Public Safety | • Introduction to Health Science |
| • Graphic Design (NEW) | • Introduction to Legal Office Procedures |
| • Headstart in Art | • Introduction to Practice for Child and Youth Care Counsellors |
| • High School on Campus | |
BENEFITS FOR PARTICIPANTS:
➢ Dual Credits (both High School & Post-Secondary)
➢ Get a head start in an apprenticeship
➢ Tuition-free post-secondary training
➢ Avoid long waitlists for skilled trades programs at BCIT and VCC
➢ May qualify for $1000 WRK award (Youth Work in Trades)
The Youth Work in Trades program provides students 15 years of age or older with the opportunity to start an apprenticeship while still in high school. Students can enroll in the WRK program who:
- Work in a skilled trades area during weekends and/or summers
- Gain Work Based Training hours through a District Partnership program
Skilled trades that qualify for participation in the WRK program include:
Automotive Trades, Baking & Pastry, Carpentry, Cook, Drywall & Plastering, Electrician, Flooring Installer, Glazier, Hairstylist, Heavy Mechanical, Horticulturist, Painting & Decorating, Plumbing, Roofing, Welding and more!
See the ITA website for a complete list of apprenticeship skilled trades: https://www.itabc.ca/discover-apprenticeship-programs/search-programs
**BENEFITS FOR PARTICIPANTS:**
- Earn 16 extra credits toward graduation
- Accumulate hours towards skilled trade certification
- Earn money while acquiring a skill
- Avoid long waitlists for skilled trades programs at BCIT and VCC
- Win a $1000 Youth Work In Trades award (must accumulate 900 work-based training hours by December 31 of the year the student turns 19)
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Animals map
Russia
China
India
Egypt
Australia
Lesson 1 Vocabulary
1 Listen and say. Then listen and number.
bear □ camel □ crocodile □ kangaroo 1
panda □ wolf □ Australia □ India □
2 Look at the map. Find the animals in Activity 1. Which countries are they from?
3 Which animals are from more than one country? Which animals are from only one country?
4 Sing and act out. Be a star!
Zoom around the world
Zoom! Around the world!
Count the countries 1, 2, 3!
Zoom! Around the world!
What animals can you see?
Welcome to Australia!
Can you see a kangaroo?
Listen! Snap, snap!
There are crocodiles, too.
India, Russia, China.
I can hear wolves and bears.
And look! I think there’s
A camel over there!
But my favourite is in China.
Listen! Crunch, crunch!
I can see a panda.
Mmm. It’s having lunch.
1 Listen and read. What animals can they see?
Look! This is the India Zone. There are some crocodiles.
This is the China Zone. There are some pandas.
There aren’t any tigers.
Where are we now?
I don’t know. There aren’t any animals!
Yes, there are! Look! There are some kangaroos! Hurray!
2 Read and match. Listen again and check.
There are some …
There aren’t any …
3 Work in groups. Act out the story. Be a star!
1 Look and read.
There are some crocodiles.
There aren’t any pandas.
aren’t → are not
2 Look and complete the sentences.
1 There ___are___ ___some___ foxes.
2 There ___aren’t___ ___any___ pandas.
3 There _______ _______ crocodiles.
4 There _______ _______ camels.
5 _______ _______ _______ wolves.
6 _______ _______ _______ kangaroos.
7 _______ _______ _______ bears.
8 _______ _______ _______ tigers.
3 Look at the story on page 10. Talk about the animals.
There are some crocodiles.
There aren’t any wolves.
Wolves can be grey, black, white or brown. There are wolves in sixty countries. There are wolves in Russia, Canada, India and China. There aren’t any wolves in Australia.
Wolves are big. Lots of wolves are a hundred centimetres (cm) long. They’ve got a long tail. Some are fifty cm long. They’ve got forty-two teeth. A wolf can run at sixty-five kilometres per hour (kph)!
A wolf family is called a ‘pack’. There are four to nine wolves in a pack. Wolves eat birds and fish.
Lesson 5 Sounds and letters
1 Listen and say. Complete.
cat pen fig dog cub
2 Listen and say the chant. Then write the letters.
The black cat is
Under the red bed.
My mom has got
A funny wig.
The frog and the dog
Are on the log.
Learning to learn
Look at the pattern in these words:
thirty forty fifty sixty seventy
Underline the pattern in these words:
ruler rubber sister brother teacher
1 Listen and say.
Are there any birds?
Yes, there are!
How many are there?
Let’s see. There are … twenty birds!
Are there any flowers?
Yes, there are. There are … forty flowers.
Are there any foxes?
No, there aren’t. But look! There’s a spider.
2 Work in pairs. Ask and answer.
Student A
| Insects | Trees | Turtles |
|---------|-------|---------|
| 60 | 30 | 0 |
Student B
| Fish | Worms | Crocodiles |
|------|-------|------------|
| 50 | 40 | 0 |
Student A Are there any insects?
Student B Yes, there are!
Student A How many are there?
3 Now it’s your turn.
Draw a nature picture. Play a game. Be a star!
1 1.13 Look at the photos. What animal is this? Listen and check.
2 1.13 Listen again. Circle the correct words.
1 There are some / aren’t any sun bears in China.
2 There are some sun bears in India / Russia.
3 They like cold / hot forests.
4 They can / can’t climb trees.
5 They’ve got long / short tongues.
6 There are / aren’t lots of sun bears.
3 1.14 Listen and repeat. Then ask and answer about you.
What’s your favourite animal?
My favourite animal is a panda.
Are there any pandas in your country?
No, there aren’t.
Values
Is it important to respect wild animals?
1 Read and follow.
Use capital letters at the beginning of a sentence and for countries (India).
Use a full stop (.) at the end of a sentence.
2 Complete with capital letters and full stops.
Tigers
1 This is a tiger. 2 There are tigers in 3 China and 4 India. 5 There aren’t any tigers in 6 Australia. 7 Tigers are orange, black and white. 8 They’ve got long tails. 9 They can jump and swim.
3 Read the facts and complete the text. Be a star!
Crocodiles
This is ___________a crocodile.
__________ are ________________________________
There ________________________________
Crocodiles ________________________________
They ________________________________
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Econ@uj Investigational Report
Yellowfish
Prepared for:
Quest Magazine
Gordon O'Brien
26-02-2006
Figure: Yellowfish are important indicator species which can tell us allot about the ecological state or health of rivers in South Africa.
Have you ever thought of how many fish species from South Africa you would be able to identify? Most of you have probably heard of fishes such as Trout, Carp or Bass but, what is quite sad about so many people knowing of these fishes is that none of these fishes are indigenous. They are all exotic and in many ways considered to be unwelcome. Very few exotic species do not negatively impact our systems, although if these populations can be managed the impact can be limited.
In Southern Africa we have over 300 indigenous species of freshwater fishes. Indigenous species are those which naturally occur in our aquatic systems in South Africa. Today there may be as many as 30 species of fishes in our freshwater aquatic ecosystems which did not naturally occur in Southern Africa and these species are referred to as exotic species.
So what about our indigenous species of fishes? Have you ever heard of the Common Sharptooth Catfish, widely known as a Barber? The miraculous fish that can “walk” over land when it needs to find suitable new habitat, especially if the river it is in, is drying up. How about some of our Chichlid species, including the Banded Tilapia (Vliekurper), or the Mozambique Tilapia (Bloukurper)? Surely you must have heard about our ferocious Tigerfish? Now how about our Yellowfish? I’m hoping that you have heard of at least our Yellowfish, and if you have, have you considered this:
Do you know that there are six species of Yellowfish in South Africa?
Do you know that some of them can grow as big as 22 kilograms?
Do you know that many people spend a lot of money every year to angle specifically for Yellowfish?
Do you know that in South Africa we use Yellowfish as representative species to conserve large parts of aquatic ecosystems?
Do you know that Yellowfish are often used in South Africa to establish management plans for the use of aquatic ecosystems, specifically in terms of the volume of water which can be used?
And, do you know that Yellowfish can tell us a lot about how healthy an aquatic ecosystem is?
In this article I’m going to give you an overview of the Yellowfish species which occur in South Africa, how widely distributed these species are, some interesting things about Yellowfish biology that you might not know about and how we can use Yellowfish in South Africa to facilitate the management of aquatic ecosystems.
Figure: Distribution of Yellowfish in South Africa (new pic coming)
Figure: Yellowfish on fly. One of the most exciting freshwater fish which can be caught on fly.
Most people may call them all Yellowfishes but now let me introduce you to how we refer to this special group of fishes. Scientists always refer to the Latin what we call scientific names of fishes and Yellowfish all belong to the Genus Labeobarbus. So if we now consider the species which occur in South Africa they include: *Labeobarbus kimberleyensis* (Vaal-Orange Largemouth Yellowfish), *L. aeneus* (Vaal-Orange Smallmouth Yellowfish), *L. polylepis* (Bushveld Smallscale Yellowfish), *L. marequensis* (Lowveld Largescale Yellowfish), *L. natalensis* (KwaZulu-Natal Yellowfish), and *L. capensis* (Clanwilliam Yellowfish). In addition to these species one other occurs in Southern Africa and is *L. codringtonii* the Upper Zambezi Yellowfish.
These Yellowfish can be grouped into two large dissimilar groups, including the broader large-scale and small-scale group of species. The small-scale group dominates Southern Africa and as a result the majority of species which occur here belong to this group. Of the species which occur in Southern Africa excluding the Lowveld Largescale and the Upper Zambezie Yellowfishes the remaining five species belong to the small-scale group. Species from these broad groups are quite different and easily distinguished from one another, but within each group individual species can be difficult to separate. What we use is a combination of; the number of lateral line scales, the size of the fishes head and month in proportion to its body size and the relative position of the pelvic and dorsal fin, for example.
Within the small-scale group individuals readily interbreed, especially if facilitated by human intervention. Why then may you ask have these species separated to the extent that there are five species which occur here, which can readily interbreed, but have not? Well the answer is simple, they have all been geographically separated or they have been isolated from each other by occurring in different river systems. In some cases where a large geographical barrier such as a waterfall separates two populations of an individual species the population above the barrier can develop into a genetically different species over a long period of time. Yellowfish have a remarkable ability to adapt to their environments and when some species are forced to adapt to specific ecosystems which are unique, after a period of time they begin too become unique. This is specifically the case of a population of Bushveld Smallscale Yellowfish (L. polylepis) in the Elands River (Mpumalanga). This population has been isolated by a 40m waterfall, and has been identified to be genetically unique and have a specific biology which differs from similar populations, even the population downstream of the waterfall.
Figure: Sampling of Yellowfish in the Assegai River, Mpumalanga. In one seine net haul over 160 individuals were collected.
In another case two species occur together (the Orange-Vaal Largemouth and Smallmouth Yellowfishes – *L. kimberleyensis* and *L. aeneus*) in the Orange-Vaal River system. It has widely been believed that these species are genetically different and as a result do not interbreed. But, what we’ve just discovered is that they have been interbreeding due to what scientists broadly believe to be man’s interference with this aquatic ecosystem. These two species probably remained different due to very specific, different ecological cues or ecosystem conditions. These cues have caused them to carry out different biological actions such as breeding and migration activities. In the case of these two species, they have ecological cues in the form of water temperature and to a lesser degree the day length and an increase in flow in the system. So after
winter, for example, when the water temperatures increase to about 17°C all Smallmouth Yellowfish begin to move into suitable breeding areas or spawning areas which just happen to be the same spawning areas for the Largemouth Yellowfish. Largemouth Yellowfish begin to move into breeding areas when water temperatures increase to about 19 or 20°C. By this time all of the Smallmouth Yellowfish should have completed their breeding and the spawning areas would now be available for the Largemouth Yellowfish. This would be the case under natural conditions but these days we don’t allow natural flow regimes to occur in the Orange-Vaal River system. Over the last 10 to 20 years or so, the environmental cues may have either not been available in combination as is required (right flows, day length and water temperature) or the conditions required by both species have been made available at the same time, which causes the two species to spawn together. We don’t have enough information to say exactly what is happening to these species but in any case, we think that this type of problem has caused allot of inbreeding, which is making it very difficult for us to find any “pure” populations. As a result, Largemouth Yellowfish are in a bit of trouble as they are more susceptible to changes in environmental conditions and hybridization with Smallmouth Yellowfish. This species is now considered to be in danger of extinction and has been awarded with threatened status on the International Union for the Conservation of Nature (IUCN) species listing system.
Figure: Golden, Clanwilliam Yellowfish from the Rondegat River, Cape Floral Kingdom. Our rivers do run wild with gold.
This brings us onto two important components of Yellowfish biology. They are sensitive to ecosystem conditions which we can use to manage ecosystems, and Yellowfish are important components of our biodiversity in that they occupy very important ecological niches (components or functions in an ecosystem).
Firstly, Yellowfish are good indicators of ecosystem state. This relates to the understanding of their biology, of which, we have spent some time researching to clearly characterize. Yellowfish need specific environmental components (including physical habitat types, clean water quality, flow regimes, and substrate types through out different times of their life cycle) food sources (they can be herbivorous during certain parts of their life cycles and then carnivorous during others) and even sometimes large reaches of river systems for migration purposes. Because we know so much about what these fishes need to be successful, we know that river systems need to have certain types of environmental components at certain states of health. They need a range of food types and need to be free of barriers over large segments of river. Knowing this, if we provide these specific conditions then the Yellowfish populations remain stable and there is good recruitment of new offspring (they breed and grow successfully). If this is the case and in some systems we find good healthy populations, we can assume that these ecosystem requirements are being provided, and as a result, we know the general overall state the entire ecosystem. Taking this understanding a step further we can make water users, or activities who are impacting on these systems, maintain the ecosystem state to ensure Yellowfish population stability and as a result protect the rest of the ecosystem.
Figure: Bushveld Smallscale Yellowfish from the Elands River in rare breeding condition. Males sometimes develop turbecules, predominantly on their heads during breeding periods.
Figure: Houtbosloop River, a tributary of the Crocodile River in Mpumalanga. For decades Yellowfish have been migrating up and down these rapids in large numbers. This scene provides an awesome display of the wonder of nature, seldom seen in South Africa.
Why do you think that we should look after Yellowfish above other species? Or why do you think that we spend so much time focusing on Yellowfish and not on other species such as extremely sensitive fish or aquatic invertebrates? Well, Yellowfish have been
identified as aquatic organisms which have vast ecological, social and economic value. They are ecologically important as indicated in terms of the biodiversity of our country, and Yellowfish occupy positions in ecosystems which are important to keep the ecosystem in equilibrium. They occupy ecologically important niches and as a result are ecologically important to the whole ecosystem. They are socially important in that many people in South Africa know of these fishes, and often many have grown up on the banks of rivers trying to catch one. I can also illustrate this point by referring to this article. I’m using Yellowfish to show you a few things about the management and ecology of aquatic ecosystems. Finally, Yellowfish are also ecologically important in that they bring in allot of revenue to angling outfitters and fulltime fly-fishing guides who focus on offering clients with a unique “African experience” by catching one of the world’s best fighting freshwater fish on fly. Based on these reasons we can argue that Yellowfish are good candidates to use as indicator and even flagship species in conserving, managing and the focusing the sustainable use of aquatic ecosystems.
This approach has been widely used in South Africa in specific conservation, management and/or Yellowfish utilization endeavors which are aimed at protecting these aquatic ecosystems. Two examples include the Elands River Yellowfish Conservation Area in Mpumalanga and the Orange-Vaal River Yellowfish Conservation and Management Association. These endeavors are focused on promoting the sustainable use of Yellowfish populations in the form of “eco-friendly” catch and release fly-fishing activities which target Yellowfish. These endeavors use Yellowfish to get clients to come into the areas of these endeavors and pay for accommodation and guiding fees to angle for Yellowfish, to educate schools and local stakeholders on the importance of managing and protecting aquatic ecosystems and most importantly to monitor the state of aquatic ecosystems.
If you’re interested in more information on Yellowfish or how you can get involved in these conservation endeavors or even how you can make a career out of aquatic ecology then contact us.
Figure: Fly-fishing for Yellowfish in the Vaal River, this 4kg specimen proved to be a phenomenal challenge which is back in the river. | 982f9197-2a16-4375-b04a-3facd379e924 | CC-MAIN-2021-25 | http://www.flyfishingsouthafrica.com/resources/elandsriver%20yellowfish%20report%20gordon.pdf | 2021-06-25T12:37:15+00:00 | crawl-data/CC-MAIN-2021-25/segments/1623487630175.17/warc/CC-MAIN-20210625115905-20210625145905-00205.warc.gz | 59,919,769 | 2,602 | eng_Latn | eng_Latn | 0.914994 | eng_Latn | 0.995432 | [
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Title: Energy balance calculation in recycling one PET bottle: Estimation and Qualitative Analysis
Background: In the related ImpEE resource on the Recycling of Plastics\(^1\), it is suggested that of the 3 million tonnes of waste plastic produced in the UK each year, only 7% gets recycled. Aside from issues of land-filling and non-renewable petrochemicals which are the raw materials for plastics, significant energy goes into actually producing these products, a portion of which can be recovered by recycling.
Overview and motivation for this exercise: This examples question prompts the student to calculate the approximate energy that goes into recycling a typical Polyethylene Terephthalate (PET) drink bottle. This will involve not only practicing specific technical skills (materials, thermodynamics, physics, A-level chemistry) but also transferable skills (estimation and qualitative analysis, modelling, analysis with uncertainty, system thinking, and independent research). When put into context, quantifying the amount of energy that can be saved from recycling one such bottle will help the students to develop ESD awareness (impact of engineering on society, developing a global perspective, awareness of ESD issues, role of engineerings in making our society sustainable).
General and Specific Resources: The ImpEE resource on the Recycling of Plastics\(^1\) can provide the general background for setting this problem into a larger context. It also describes the recycling process which involves transport, shredding, and melting.
The student is expected to have a knowledge of A-Level chemistry and First-year Materials.
The energy required to make a PET bottle from scratch is 8.42 MJ. This can be calculated from the formation enthalpy of polyethylene from naptha. The calculation\(^2\) is shown on the DoITPoMS website.
The main parameters required for completing the question are given. Optionally, the lecturer can withhold some or all of these to encourage the student to engage in their own independent research.
This examples paper was based on the work of the DoITPoMS TLP\(^3\) available online.
Links:
1. “Recycling of Plastics”, ImpEE Resource,
http://www-g.eng.cam.ac.uk/impee/paul?section=topics&topic=RecyclePlastics
2. “Calculating the formation enthalpy of polyethylene from naptha”, DoITPoMS TLP,
http://www.doitpoms.ac.uk/tplib/recycling-polymer/formation_enthalpy.php
3. “Calculation of energy to recycle one PET bottle”, DoITPoMS TLP,
http://www.doitpoms.ac.uk/msm-impee-dev/recycling-polymer/energy_recycle.php
Example Question:
Estimate the amount of energy required to recycle a single PET bottle. Include all stages of the recycling process from transport and shredding to melting. Compare this approximate energy expenditure to the energy required to make the PET bottle in the first place which is 8.42 MJ. Attempt to quantify the potential energy savings in everyday terms. How much would this be if we increased our national plastic recycling rate from 7% to 30%? What are some of the problems associated with recycling PET bottles?
You need to know the following: the density of PET is around 1345 kg m\(^{-3}\), a typical lorry has a fuel economy of 7.8 miles per gallon, the energy density of diesel is 34.62 MJ per litre, a typical bottle washer runs at 110W and can process 60 bottles per minute, a bottle shredder uses a 7.5 kW motor and outputs 150 kg/h, the specific heat, \(C_p\), of PET is around 1446 kg\(^{-1}\) K\(^{-1}\) and its melting point is around 512 K.
Example Solution:
We are told to account for energy expenditure throughout the recycling process. The bottles first need to be transported to the recycling factory. A typical transporter lorry is shown above, with dimensions in metres, and it has a maximum payload of 26,089 kg. Assuming the width is approximately 2m, the volume of the hold is:
\[
\text{Volume} = (1.8 \times 3.5 \times 2) + (2.95 \times 10 \times 2) = 71.6 m^3
\]
Considering the density of PET (1345 kg m\(^{-3}\)) the plastic needs only be compacted to around 28% to fill the truck to its maximum load (26,089kg) which is reasonable.
Assuming that the distance the plastic would have to travel to the recycling plant is 100km, we can calculate the energy required to transport one plastic bottle. At a fuel economy of 7.8 miles per US gallon, it would take 30.3 litres of fuel to travel 100 km. If a single plastic bottle has a mass of 0.1 kg then the payload could take 260,890 bottles. There are 34.62 MJ in a litre of diesel, so the energy required to transport one bottle to the recycling centre is:
\[
E_{transport} = \frac{30.3 \times (34.62 \times 10^6)}{260890} \approx 4kJ
\]
Once at the recycling facility, the bottles must first be washed in an automatic bottle washer, which runs at a power of 110 W and can process 60 bottles per minute:
\[
E_{washing} = 110 \text{ J/s} \times \frac{60}{60} \text{ Bottles/seconds} = 110 \text{ J}
\]
After washing, the bottles are shredded by a machine operating a 7.5kW motor and an output of 150kg/h. The energy used by the machine is thus 27MJ/h and it processes 1500 bottles per hour:
We can also calculate the energy required to melt down one plastic bottle. The specific heat, $C_P$, of PET is around 1446 kg$^{-1}$ K$^{-1}$ and its melting point is around 512 K. Therefore the energy to heat one PET bottle to its melting temperature would be:
$$E_{melting} = \Delta T \times C_P \times m = 219 \times 1446 \times 0.1 = 31.7 \text{ kJ}$$
The heat of melting one bottle is 125 J so the total energy to melt down one PET bottle is:
$$E_{melting} = 31700 + 125 = 31.8 \text{ kJ}$$
Thus, the **total energy** used in recycling the bottle into pellet form is:
$$E_{recycling} \approx 4000 + 110 + 18000 + 31800 \approx 53.91 \text{ kJ}$$
In comparison, the energy required to make an equivalent bottle, 8.42 MJ, is on the order of 100 times as great! In other words, recycling reduced the energy expenditure of a PET bottle to around 1%.
To put the energy saving into context, a 60 W lightbulb consumes around 216 kJ per hour. Thus, recycling just one PET bottle saves enough electricity to power a lightbulb for almost 38 hours!
We are told that annually about 9.2 billion PET bottles are consumed around the world, of which only 7% are recycled. If this were increased to 30%, this would be an additional 2 billion bottles that are recycled instead of manufactured. If each recycled bottle saved around 8 MJ, that would a total global energy savings of around $1.7 \times 10^{16}$ J. This is the entire annual production of a typical 600MWe nuclear power station!
The biggest disadvantage of recycling PET is that the process is intolerant of impurities which typically means that a PET bottle can only be recycled once. Other disadvantages are that the sorting and recycling process is rather labour intensive, and that the market for recycled plastics is not fully developed.
Developing a novel material and/or recycling solution to replace PET bottles would have a dramatic impact on the global environment.
**Transferable Skills:**
**Estimation and qualitative analysis (2.1.3)/Analysis with Uncertainty (2.1.4)** In this calculation, the students are expected to make estimations to come up with approximate answers. Although this is reflective of the real world, it is quite different from what is done in the standard curriculum so many students feel uncomfortable. The lecturer should stress to the students that the objective of the question is to qualify the relative impact of recycling a PET bottle, not to get an exact scientific value for the energy involved. This concept is embodied in the concluding answer “The energy required to recycle a PET bottle is in the tens of kilojoules, but the energy to make one from scratch is several megajoules.” This difference of several orders of magnitude should reassure the student that any estimation errors are likely to have no impact. For example, if the distance required to transport the bottles was instead 500km, the extra 16 kJ expended would not change the conclusion in any qualitative sense whatsoever.
**System Thinking (2.3)** A perceptive student might notice that the energy required to shred the bottles is the same order of magnitude as the energy required to melt the bottles. Since the energy expended on shredding the bottles mostly becomes waste heat energy dumped into the system, this would suggest that the bottles come close to melting during the shredding process. Indeed, this is a real world problem with the shredding stage of the recycling process; the plastic starts melting and gumming up the shredding equipment. This is a good example of “broad-perspective systems thinking”.
**ESD Skills Developed:**
**Awareness of ESD Issues.** The students are made aware of some of the issues involved in recycling PET. For example, most people consider the recycling process to be one about reusing materials, but clearly it is just as much about reducing energy use.
**Impact of Engineering on the Environment.** The amount of energy saved in recycling one PET bottle was calculated to be the order of several Megajoules. To place this otherwise abstract value into context, the students are asked to relate this to the operation of a lightbulb. This helps them to appreciate the scale of the energy saved. Finally, they are made aware that only 7% of bottles are recycled and what impact it would be if this were increased to 30%.
The labels used to describe the transferable skills refer to the CDIO Syllabus. See www.cdio.org for more details. | <urn:uuid:9582fbc7-e840-48b3-ba17-0b69944a5564> | CC-MAIN-2019-13 | http://www-g.eng.cam.ac.uk/impee/topics/RecyclePlastics/files/RecyclingEnergyBalance.pdf | 2019-03-26T12:17:06Z | crawl-data/CC-MAIN-2019-13/segments/1552912205163.72/warc/CC-MAIN-20190326115319-20190326141319-00199.warc.gz | 236,120,051 | 2,231 | eng_Latn | eng_Latn | 0.995966 | eng_Latn | 0.996789 | [
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The native bee is the world’s most ardent cupid, nuzzling intimately among the flowers to carry messages of love from one blossom to another—pollen that is pregnant with nature’s essential reproductive spark.
It is the bee’s amorous work that creates the ecosystem as we know it. Without bees, 85% of all trees and flowers will not produce the flowers, fruit and seeds needed to create the next generation of plant life.
Native bees are the world’s bedrock species. They are essential to the way an ecosystem functions. Should bees disappear, other species in the habitat will become extinct.
Once abundant throughout North America, the 50 species of native American bees are disappearing. Native bees labor under these ominous labels: critically endangered, threatened, vulnerable, precipitously declining.
The effects of climate change will further exacerbate their peril.
We must take action for the bees and for the balance of the ecosystems that support all life.
Help us Save Oregon’s Bees!
Not just bees, not just birds—but an entire ecosystem is at risk
Neonicotinoid insecticides (neonics for short) are getting worldwide scientific scrutiny. The recognition of their toxicity is leading to bans and restrictions in many states and countries. The best scientific studies identify neonics as a prime culprit in mass bee die-offs. Neonics are particularly harsh on native bees that live in forests, meadows and our gardens.
Scientific research confirms that exposure to even the lowest level of neonic pesticides is sufficient to harm native bees. When exposed to “legal” levels of neonics, amounts typically measured after a spray, bees’ brains show cellular damage. The poison renders them unable to remember and navigate. The mother bumble bee may fail to nurture the brood cells holding her baby bees.
Further disrupting nature’s balance, neonics also kill beneficial insects, including lady beetles that control aphids. When the good bugs are poisoned, damaging insects quickly take over. The result is the disturbance of ecosystems large and small, where the destructive insects outnumber the helpful ones that once kept them in check.
What makes neonics so particularly harmful? Neonics are systemic chemicals that travel through the plant’s entire vascular system and concentrate in its nectar, blossoms, pollen, leaves, and stems. Bees are then exposed to lethal doses during their visit to gather pollen and take a sip from the plant’s tainted nectar and dew.
Slick marketing and visible shelf placement have made neonics the #1 insecticide sold to home gardeners, touted to solve all garden and lawn problems. It’s nearly impossible to avoid them, as they are hidden in all sorts of brand names and packaging. Even the most well-intentioned gardener can be fooled into using neonics.
Restricting the general public from buying ultra-hazardous chemicals is the necessary and precautionary action we must take. Consumers mistakenly assume that finding these pesticides on local store shelves means they’re safe in the environment – in the case of neonics, that is a dangerous notion.
It’s time to take neonic pesticides completely off store shelves. Maryland recently passed a law to prevent stores from selling these poisons to the general public. Oregon too can take necessary and precautionary action to protect bees. For the sake of pollinators and beneficial insects, for the sake of food security and for the sake of ecosystem balance, we must demand that bee-killing pesticides be restricted.
The Neonicotinoid Pathway
Neonicotinoids are chemicals that travel through a plant’s vascular system and are stored in the plant’s tissue, including nectar and pollen. Neonicotinoids remain in streams and soils for several years.
1. Neonics are used to kill insects on gardens, orchards and lawns.
2. Neonics travel though plant cells and into soils where they runoff into water.
3. Once these poisons get into water, they build up and are taken into many aquatic plants and animals.
4. Birds and fish are harmed when they eat insects and plants contaminated with neonicotinoids.
Created by K. Abrams and J. Jordan-Cascade
What can you do to create native pollinator habitat?
In the wild, native flowers typically drop seeds into the soil during the autumn, making fall the best time to plant native wildflowers. Over the winter these seeds freeze then thaw in the spring so that they can better germinate. Fall planting can result in earlier spring blooms—a great way to reduce weed growth. Earlier blooms also provide valuable early nectar sources for pollinators struggling to find food at the beginning of the gardening season. A good rule of thumb is: any time you can provide early or late food for bees, butterflies and birds…
Bees and the Endangered Species Act
There’s no doubt that 2016 will be remembered as the first year native bees were added to the Endangered Species List. Recently, the U.S. Fish and Wildlife Service granted protected status to seven species of bumble bees native to the Hawaiian Islands. However, pollinators around the planet are currently facing similar threats and could also benefit from special protections.
A recent United Nations sponsored report stated that “about 40 percent of pollinator species (such as bees and butterflies) are facing extinction.”
It’s highly likely that some of Oregon’s native bees are threatened to the point of extinction. One of Oregon’s native bees, the Franklin’s bumble bee, once common to the upland prairies along the southern Oregon Coast Range, hasn’t been sighted since 2006. Habitat loss, pesticides, climate change and diseases are all part of a complex mix of threats. These keystone species need strong protections.
One of our successful projects is making Oregon the first state to declare an annual Native Bee Conservation Day (August 15th). Our efforts are raising awareness about the need for precautionary measures to ensure the survival of rapidly declining native pollinators, such as Franklin’s bumble bee.
The disappearance of even a fraction of these endangered species could devastate the world’s food supply and disrupt already faltering ecosystems. Sadly, Franklin’s bumble bee, an Oregon native, may be the next species to be listed under the Endangered Species Act.
Take Action Now!
Let’s make Oregon the 2nd state to take neonicos off store shelves!
We rely on bees to pollinate everything from apples grown along the Columbia River Gorge to berries grown in the Willamette Valley, from onions grown in Eastern Oregon to the alfalfa used to feed dairy cows along the Oregon Coast. It’s drastic: No bees, no food. The solution starts with protecting bees from neonicotinoid pesticides known to kill bees and decimate hives.
Go to www.SaveOregonBees.org to take action now. Sign our petition to stop bee-killing pesticides from being sold from store shelves to unsuspecting consumers. Help us encourage the use of alternatives to neonicotinoids.
Please support Beyond Toxics to do this work with a tax-deductible donation. Your donation creates a future safe from toxic pesticides that kill pollinators, endanger our food supply and harm communities. See our web site for more details: www.SaveOregonBees.org.
Just do it!
Unlike hives of honeybees working together to provide enough food to survive through winter, our native bumble bees are mostly solitary bees, a mother and her young, helpless brood living by themselves in a hole in the ground. The young queens emerge in spring with very little energy and literally cling to unopened flowers as early as February.
Flowers native to the Pacific Northwest and native bee species evolved together to provide nourishment at just the right time. Without that early source of food, native bees are more likely to die.
This autumn, focus on planting native flowers, such as yarrow, lupine, camas, self-heal, clarkia, cinquefoil, and buttercup. Late-summer blooming flowers are less common in the Willamette Valley, making them even more important for foraging bumblebees. Canada goldenrod, Douglas aster, and giant hyssop are all great choices for late blooming nectar-rich flowers. | <urn:uuid:6a53e0cb-2b5b-4275-a89d-e0bb492f03f5> | CC-MAIN-2019-22 | https://www.beyondtoxics.org/wp-content/uploads/ResizedEW_insert4WebPRINT_FINAL.pdf | 2019-05-24T02:09:02Z | crawl-data/CC-MAIN-2019-22/segments/1558232257481.39/warc/CC-MAIN-20190524004222-20190524030222-00018.warc.gz | 721,484,327 | 1,670 | eng_Latn | eng_Latn | 0.997539 | eng_Latn | 0.997595 | [
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Ethno-Racial Series: Aboriginal Students Report
Aboriginal, Black, East Asian, Latin American, Middle Eastern, South Asian, Southeast Asian, White
Toronto District School Board 2011–12 Student and Parent Census
Research & Information Services
Toronto District School Board
June 2015
Report No. 14/15-14
TDSB’s 2011-12 Student & Parent Census
Having recognized the value of the Board’s very first *Student Census* (2006) and *Parent Census* (2008), the TDSB conducted its second *Student and Parent Census* in 2011-12.
The Census data has offered the Board hard evidence for:
- **Needs identification**
identifying achievement gaps and determining barriers to achievement;
- **Programming and intervention**
reviewing and implementing effective systems, supports, and initiatives across the system; and
- **Accountability**
establishing a baseline of data to measure improvement over time.
**Data Sources**
The findings generated in this series of *Census Portraits* are based on data combined from three sources – *TDSB’s 2011 Student Census* (103,000 students in Grades 7-12), *TDSB’s 2012 Parent Census* (90,000 Kindergarten-Grade 6 parents), and the Board’s central academic achievement databases.
Information on students’ cultural backgrounds is based mainly on their parents’ country of birth derived from the Board’s Census data. For more details about *TDSB’s 2011-12 Student Census and Parent Census*, refer to the TDSB website: [www.tdsb.on.ca/Census](http://www.tdsb.on.ca/Census)
**Report Authors:**
Maria Yau, Research Coordinator
Lisa Rosolen, Research & Information Analyst
Bryce Archer, Research & Information Analyst
*Research & Information Services*
The authors would like to acknowledge the assistance of Pascal Huang, Research & Information Analyst, and Sarah Walter, Research Assistant.
**Cite as:** Yau, M., Rosolen, L., & Archer, B. (2015). *Census portraits, understanding our students’ backgrounds: Aboriginal students report* (Report No. 14/15-14). Toronto, Ontario, Canada: Toronto District School Board.
---
**About the Census Portraits**
The Toronto District School Board (TDSB) has one of the world’s most culturally and demographically diverse student populations. While earlier TDSB studies have shown diversity *among* student identities and family backgrounds, there is also great diversity *within* these groups. Each group is made up of sub-groups from varied ethno-racial backgrounds (cultural, linguistic and/or religious backgrounds or countries of origin), gender identities, sexual orientation, and family socio-economic status. Additionally, differences are explored among students with Special Education Needs.
The *Census Portraits* examine the unique characteristics of these sub-groups.
The purpose is:
- to provide a better understanding of the similarities and differences within each sub-group; and
- to target interventions to ensure the needs of all students are addressed effectively and equitably.
**Content**
Each *Census Portrait* describes and compares the background, experiences, and achievement levels of the students of each sub-group under the following sections:
- Context (including group description or historical factors)
- Family Background
- Life in School
- Life Outside of School
- Student Health and Wellness
- Self-Perceived Abilities and Academic Achievement
Historical Context
The First Nation, Métis, and Inuit population in Toronto is very diverse with many cultures, languages, customs, and traditions represented within these Aboriginal communities. The Aboriginal population in urban centres has grown substantially in recent decades, and Toronto has one of the largest populations of Aboriginal people of any community in Canada.
- School-aged children make up a larger share of the urban Aboriginal population in Canada compared to the rest of the population. In 2006, 28% of the urban Aboriginal population was under 15 years of age compared to 17% of the non-Aboriginal population.
- As well, First Nation, Métis, and Inuit urban populations are very mobile. This high rate of mobility can create some challenges in educational systems in ensuring continuity of learning experiences. Frequently, links to First Nation, Métis, and Inuit communities remain, as Aboriginal people continue to visit family and friends in these environments. On the other hand, many Aboriginal people in Toronto, who have always lived in urban contexts, may have few such ties and an urban Aboriginal identity is their only experience.
- Aboriginal people are much less visibly different from others in a very diverse city like Toronto, and are often “hidden in plain view”. This cultural anonymity can act as a shield against racism as many Aboriginal people choose not to self-identify in order to avoid the risk of racial stereotyping and discrimination. Accordingly, the number of Aboriginal people in Toronto who identify as First Nation, Métis, or Inuit is quite likely a substantial under-representation of the total population. It is estimated that as many as 80,000 Aboriginal people live in the Greater Toronto Area.
It is important to understand that First Nation, Métis, and Inuit perspectives about the school system have been strongly affected by residential school experiences and have resulted in intergenerational mistrust of the education system.
Ethno-Racial and Family Background
Aboriginal students were one of the smallest visible minority groups (0.3%) in the TDSB. Only about a quarter (26%) of Aboriginal students had parents with university degrees, while more than half (59%) of their families were in the two lowest income brackets.
- Students who self-identified as Aboriginal made up 0.3% (about 850 students) of the Toronto District School Board’s (TDSB) population.
- Almost all (99%) of students with Aboriginal parents were born in Canada.
Compared to the overall TDSB student population:
- approximately half of Aboriginal students reported living with two parents (54%) (this includes those living with step-parents or living half-time with each parent);
- Aboriginal students were as likely (32%) to have multiple siblings;
- parents of Aboriginal students were half as likely to have university degrees (26% compared to 51%);
- over half of Aboriginal students (59%) come from families in the two lowest income groups (i.e., with annual household incomes of less than $30,000 or between $30,000-$49,999).
Learning about One’s Culture (Gr. 7-12 Students)
Compared to the TDSB general student population, Aboriginal students were more likely to agree that learning more about their own culture would make their learning more interesting (75%), help them enjoy school more (64%), and help them do better in school (59%).
Student Perceptions of School
Aboriginal students’ perceptions of their overall school experience and school support were mixed.
Compared to the overall TDSB student population:
- Aboriginal students were as likely to report their sense of belonging in school, that school was a friendly place, and that they received the support they needed from school;
- however, fewer Aboriginal students agreed that they enjoyed school, and that their school offered the extra-curricular activities they were interested in.
| Overall School Experience (% All the time/Often) | School Support (% All the time/Often) |
|-----------------------------------------------|-------------------------------------|
| Enjoy school (58%) | Get the support needed (73%) |
| Feel I belong (69%) | Extra-curricular activities I'm interested in (60%) |
| School is friendly (68%) | |
Student Participation at School
Aboriginal students felt less comfortable participating in class discussion or answering questions compared to others, although they were as likely to speak up in class. They were as or more actively involved than others in various extra-curricular activities but less in school clubs.
Compared to the overall TDSB student population:
- Aboriginal students felt less comfortable participating in class discussions and answering questions in class, but were as likely to report speaking up in class;
- they were equally involved in extra-curricular activities related to sports or music and were more involved in the arts;
- Aboriginal students were much less likely to join school clubs.
| Class Participation (% All the time/Often) | Extra-curricular Activities at School (% Weekly/Monthly) |
|-------------------------------------------|--------------------------------------------------------|
| Participating in class discussions (54%) | Sports (39%) |
| Answering questions in class (54%) | Music (32%) |
| Speaking up in class (52%) | Arts (36%) |
| | School clubs (19%) |
Safety at School
Aboriginal students felt as safe as others in school, but they were more likely to report experiencing incidents of theft, physical bullying, or threats.
Compared to the overall TDSB student population:
- Aboriginal students felt as safe as others inside the school building and outside on school property;
- Aboriginal students did not experience more bullying incidents than others in terms of insults, exclusion or cyber-bullying, but they did report higher incidence of theft, physical bullying, and particularly threats.
| Sense of Safety at School * | Bullying Incidents (% All the time/Often/Sometimes) |
|-----------------------------|-----------------------------------------------------|
| In school building (83%) | Insults (34%) |
| Outside on school property (75%) | Exclusion (19%) |
| | Theft (20%) |
| | Physical bullying (15%) |
| | Threats (23%) |
| | Cyberbullying (10%) |
* (% All the time/Often)
Relationships with School Adults
Aboriginal students were as or more positive than others about their school adults. However, they were less likely to have more than one school adult who they could turn to for personal support.
Compared to the overall TDSB student population:
- Aboriginal students felt equally positive about their school adults in terms of how they were treated, their background being respected, and feeling accepted;
- they were more likely to report feeling supported by their teachers and that they were satisfied with the ways they were taught;
- Aboriginal students felt as comfortable as others discussing problems with their teachers.
Compared to the overall TDSB student population:
- nearly half (47%) of Aboriginal students reported having no school adults who they could turn to for personal support, help, or advice;
- only about a fifth (21%) reported having more than one adult who they felt comfortable turning to.
Turning to School Adults for Personal Support
| | Aboriginal | TDSB |
|----------------------|------------|------|
| More than one adult | 21% | 26% |
| One adult | 32% | 32% |
| No adults | 47% | 42% |
Relationships with Peers
Aboriginal students reported having less positive peer relationships at school than the general population, but they did feel as comfortable as others discussing problems with their friends. They were less likely than others to have three or more close friends at school.
Compared to the overall TDSB student population:
- Aboriginal students did not feel as positive about their relationships with other students in terms of getting along well and feeling accepted by their peers;
- they felt as comfortable discussing problems with friends as others;
- they were as likely to have one or two close friends at school, but less likely to have three or more friends.
Number of Close Friends at School
| | Aboriginal | TDSB |
|----------------------|------------|------|
| Three or more | 72% | 78% |
| Two | 15% | 12% |
| One | 8% | 5% |
| None | 6% | 5% |
**Census Portraits: Aboriginal Students**
### Life Outside of School
#### Relationships with Parents
*Aboriginal students reported having positive relationships with their parents, and were more likely than the general population to talk with parents about relationship problems.*
Compared to the overall TDSB student population:
- Aboriginal students were as likely to report that their parents often praised them when they had done well, showed interest in what they had to say, and helped them make plans or set goals;
- while they were as likely to talk to their parents about their school work, they were more likely to talk about relationships and problems with their parents.
![Graph showing percentages for "Praise me when I have done something well", "Show interest in what I have to say", "Help me to set goals and make plans", "My school work", and "Relationships and problems".]
#### Parent Involvement and Expectations
*Aboriginal parents were as or more involved at their child’s school than others. Considerably fewer Aboriginal parents expected their child to attend university.*
Compared to the overall TDSB student population:
- Aboriginal parents were more likely to communicate with teachers and were as likely to attend parent/teacher interviews and meetings or events at school;
- less than a third of Aboriginal parents expected their child to attend university, and a quarter expected their child to attend college.
![Graph showing percentages for "Communicate with teachers", "Attend parent/teacher interviews", "Attend meetings and events at school", "Attend University", and "Attend College".]
#### Activities and Opportunities Outside of School
*Aboriginal students spent more time on screen activities compared to others. Fewer Aboriginal students attended pre-school programs when they were young, but they were much more likely to have attended a child-care centre.*
Compared to the overall TDSB student population:
- Aboriginal students were more likely to spend over 2 hours per day watching TV or playing computer or video games;
- they were as likely to participate in arts and sports activities outside of school, but were much less likely to be involved in music activities;
- more Aboriginal students attended a child-care centre when they were young, but they were less likely to have attended pre-school programs.
![Graph showing percentages for "TV or Videos", "Computer/video games", "Arts (Weekly/Monthly)", "Music (Weekly/Monthly)", "Sports/recreation (More than 2 hrs/day)", "Child-care centre", and "Pre-school program".]
Census Portraits: Aboriginal Students
Student Health and Wellness
Physical Health
Aboriginal students reported being less physically healthy but more physically active than other students. In terms of eating habits, fewer Aboriginal students than the general population ate breakfast, lunch, or dairy products on a daily basis.
Compared to the overall TDSB student population:
- Aboriginal students reported lower levels of physical health, but higher levels of daily physical activities;
- they were considerably less likely to eat breakfast or lunch five days a week or to have dairy products regularly;
- Aboriginal students were as likely to have daily intake of fruits and vegetables.
Social and Emotional Well-being
Aboriginal students were as or less likely to feel positive about themselves and were as likely to experience emotional challenges as others. They particularly felt less happy and confident about themselves, and more worried about family matters and relationship issues than the general population.
Compared to the overall TDSB student population:
- Aboriginal students were less likely to feel good about themselves, to enjoy daily activities, or to feel happy;
- but they were as likely as others to feel hopeful about the future and to like the way they look.
Compared to the overall TDSB student population:
- Aboriginal students were much more likely to report losing confidence in themselves;
- they were as likely to report feeling stressed, nervous or anxious, or feeling down or lonely.
Compared to the overall TDSB student population:
- considerably fewer Aboriginal students reported worrying about their future or school work;
- but they were more likely to worry about family matters and relationship issues.
Self-Perceived Abilities: Social Skills and Life Skills
Aboriginal students rated themselves lower than others in socially-related skills, as well as in money- and time-management skills. However, they rated themselves more highly in their hands-on and basic life skills.
Compared to the overall TDSB student population:
- Aboriginal students were much less likely to rate themselves excellent or good at social skills, oral communication, conflict mediation, leadership skills, money- and time-management skills;
- but they rated themselves higher than others in hands-on and basic life skills.
Self-Perceived Abilities: Academic Skills
Aboriginal students were as confident as others in reading, computer use, and creativity, but less confident in other academically related skill areas.
Compared to the overall TDSB student population:
- Aboriginal students were much less confident about their writing, mathematics, research ability, critical thinking, and problem-solving skills;
- they were as likely to rate themselves highly in reading, computer use, and creativity.
Academic Achievement (2011-12)
Aboriginal students generally underperformed academically.
Compared to the overall TDSB student population:
- much fewer Aboriginal students achieved at Level 3 or 4 on the Education Quality and Accountability Office (EQAO) Grade 6 tests in Reading, Writing, and Mathematics;
- less than half of Aboriginal students were successful on the Ontario Secondary School Literacy Test (OSSLT);
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TEACHING THE LAW AND JUSTICE CURRICULUM
lawandjustice.edc.org
Welcome to the Law and Justice curriculum! Developed by Education Development Center, Inc. (EDC), with support from The James Irvine Foundation, the Law and Justice curriculum comprises two yearlong courses:
- Foundations in Law
- Foundations in Criminal Justice
It is designed for teachers working with grades 9–12 and beyond. Both courses are recommended for use in social studies, legal studies, criminal justice, and U.S. government classes in public schools, career academies, and postsecondary institutions.
This document describes how the curriculum is designed, provides detailed information about the curriculum materials, and offers suggestions for effectively using the materials in your classroom. It also describes additional resources available to help you implement this program. As you read, it will be helpful to refer to a copy of one of the Teacher Guides of the Foundations courses.
The curriculum is available online from EDC’s Law and Justice Web site at http://lawandjustice.edc.org. It is also distributed by ConnectEd: The California Center for College and Career at http://www.connectedstudios.org/. Both courses are designed similarly and include downloadable files of the Teacher Guides and student handouts.
Contents
A. The Law and Justice Curriculum
B. Curriculum Materials
C. Assessments
D. Other Key Components of the Curriculum
E. Suggestions for Law and Justice Teachers
F. Support for Teaching the Law and Justice Curriculum
A. The Law and Justice Curriculum
Essential Questions, Framing Questions, and Understandings
The Foundations courses each include six units. They are designed around several essential questions that address major concepts related to the study of law and may have more than one right answer. These questions engage students in issues that professionals in the legal system also grapple with. At the same time, the questions often lend themselves to multidisciplinary investigations.
The units’ framing questions revolve around key knowledge that students explore throughout each unit. These questions stimulate and guide ongoing student discussion, debate, analysis, research, and reflection. Unit understandings are tied to the framing questions and seek to move students’ knowledge beyond discrete facts.
| Examples of Essential Questions | Examples of Framing Questions |
|---------------------------------|-------------------------------|
| • What is the role of law in society?
• What are justice and injustice? | • What are some of the purposes behind criminal and civil laws?
• How is power divided in the U.S. legal system? |
Inquiry- and Project-Based Approaches to Teaching and Learning
The curriculum design reflects inquiry- and project-based approaches to teaching and learning. The curriculum revolves around essential questions that guide the course and framing questions that guide each unit. Activities are scaffolded so that students learn knowledge and skills that they use in carrying out the unit project. Students engage in ongoing inquiry using prior knowledge and experiences, evidence based on research and investigation, and documents that reflect different perspectives. Through this inquiry, students come to question their opinions and the basis for their reasoning, thereby constructing new knowledge and understanding. The curriculum design includes instructional strategies and tools, but teachers are encouraged to draw on their own expertise to foster inquiring attitudes and habits of mind in the classroom.
Distinctive Features of the Curriculum
Law and Justice is distinctive in that it does the following:
1. Enables students to develop foundational knowledge of the U.S. and international legal systems through different lenses and perspectives:
- **U.S. Law and Law Enforcement**: How existing laws (civil and criminal) and their sources, including the U.S. Constitution and the Bill of Rights, are made, enforced, and interpreted.
• **Career Exploration:** What career paths exist for entering a range of professions.
• **Philosophical and Historical Foundations:** How and why a social contract, document, or law evolved.
• **Power and Fairness:** How the law and legal systems can be used to protect as well as oppress individuals and groups, and how power is allocated within society.
• **Advocacy and Policy:** How individuals and groups, including young people, can take actions to influence our legal system and achieve justice.
• **Comparative Systems:** How the U.S. legal system compares with widely varying systems of law, philosophy, and practice in other countries.
2. Provides students with an understanding of the *legal landscape* and the relationship between law, law enforcement, and advocacy.
While journalists, policymakers, lawyers, and legal scholars use the term *legal landscape* in multiple ways, in this course the term *legal landscape* refers to both the different ways that the legal system addresses an issue (legislatively, administratively, and judicially) and the different levels at which this response occurs (local, state, federal, and sometimes international). The legal landscape also includes efforts to influence law and public policy through advocacy and civic engagement. The curriculum defines the legal landscape in these ways in order to help students better understand how laws are created, interpreted, enforced, and changed.
| LEGAL LANDSCAPE |
|-----------------|
| **Branches of Government** |
| Legislative | Executive | Judicial |
| (Local, State, and Federal Levels) |
| **The Fourth Branch** |
| Public Advocacy by Individuals and Groups |
**Emphasis on Key Skills**
Professionals emphasize the need for students to develop key skills that are essential for success in a range of careers. The six key skills are critical thinking/problem-solving, research, reading, writing, speaking/presenting, and teamwork, and include subsets of these skills, such as analyzing, reasoning, negotiating, and questioning. The Foundations courses enable students to learn and apply these skills over time. Through unit projects, journal assignments, and unit exams, students demonstrate their achievement and growth.
B. Curriculum Materials
The Teacher Guide
The Teacher Guide for each unit contains an overview that includes a unit project description, framing questions, understandings, law and justice content and skills addressed, a list of formative and summative assessments, and an explanation of where the unit fits in the context of either *Foundations in Law* or *Foundations in Criminal Justice*. The Teacher Guide also includes images of the student handouts for each unit activity along with suggested student responses. At the end of each unit are lists of materials, teacher resources, media resources, and references:
- **Teacher Resources** include additional background information about key content, guidelines for selected activities, images or other materials that accompany activities, sample instructional techniques, materials for role-play activities, and discussion guidelines.
- **Media Resources** are annotated links to Web sites for in-class use or for student research.
- **Assessments: Skills and Understandings** correlate standards to the knowledge and skills learned and applied in each unit.
- **References** identify sources of materials used to develop the curriculum.
Structure of the Units
- **Parts and Activities**: Each unit has four to six parts, and each activity in a part represents one 50-minute class session. Each part and activity contains a short overview. The instructions for each activity are divided into numbered steps.
---
**Part 2: Making, Enforcing, and Interpreting Rules and Laws (8 sessions)**
Students explore the meaning of rights and how they are protected in the U.S. Constitution and the Bill of Rights. They analyze their school rules and the values represented in those rules, and discuss the relationship between rights, rules, and power. To build their understanding of the context for the rules of their school community, students compare the structure of the U.S. government to the legal structure in their school. Students learn how professionals contribute to creating, enforcing, and interpreting rules and laws.
**Activity 2A: What’s a Right?**
Students consider what it means to have rights. Students analyze and discuss several scenarios in which rights conflict with the public good, and then identify ways in which a social contract defines and limits personal liberties.
**Activity 2B: To Codify a Right**
Students explore the purpose and content of the Constitution and the Bill of Rights and identify where and how specific rights are protected.
**Activity 2C: Codifying Rules and Laws**
Students identify people and careers involved in writing laws, analyze the purpose of written laws, identify ways that specific values and assumptions can be embedded in laws, and look closely at laws from other times and places.
**Activity 2D: Making School Rules**
Students identify the individuals who make rules for the school community. Using school rules as a model, students analyze the specific values and assumptions embedded in a set of rules and laws.
**Activity 2E: Enforcing the Rules of a Nation**
After identifying different types of
• **Student Handouts** for each unit include a student-friendly course overview, a unit overview, a unit project description, vocabulary, journal assignments, readings, forms and templates, writing samples, and a unit exam. Note that student handouts are available as a separate file on the Law and Justice Web site for printing and copying for classroom use.
• **Advance Preparation**: Before teaching the unit, refer to the Advance Preparation section in the unit overview. Also, the introduction to each part of the unit lists any pre-teaching preparation required by activity.
• **Vocabulary**: A vocabulary list with definitions appears in the unit overview student handout. Vocabulary words also appear in the Teacher Guide at the beginning of each part, where the words are introduced. The vocabulary listed in the Teacher Guide are words that are essential for students to know in order to demonstrate their understanding of content taught in each unit. There is a master list of vocabulary for each unit that includes potentially difficult words that are appropriate to their grade level; this list resides on the Law and Justice Web site.
• **Materials Needed**: All required and optional materials are listed for each class session. A master list of these items is in Appendix A: Materials List.
• **Teacher’s Notes**: Located within activities, Teacher’s Notes include additional information on instructional strategies or suggestions for ways to adapt an activity.
• **Homework and Assessments** are indicated by small icons at the point of reference.
• **Extensions—Did You Know?** At your discretion, assign the extensions for students to work on independently. These extensions provide students with additional assignments that deepen their understanding of topics and concepts. They may also be used as alternative or additional class assignments.
### C. Assessments
The Teacher Guide includes an Assessment Checklist, which provides criteria for grading student work and suggestions for formative and summative assessments. Teachers determine each assessment’s point value for grading purposes. Formative assessments provide opportunities to monitor and evaluate student progress in order to identify concepts or skills that need reinforcement. Ongoing formative assessments include journal assignments, which pose questions that help students reflect on their research, new ideas, and class discussions.
Both the unit project and exam can be used as summative assessments. The project allows students to demonstrate their learning through authentic and relevant applications. Throughout the course, students develop projects that are informational, persuasive, technical, creative, and analytical. Examples of
assessments include a persuasive letter, theory of a case, civil rights narrative, research summary, and predisposition report. The unit exam enables students to illustrate their understandings of key concepts and ideas they have learned. Exams involve short-answer, essay, and problem-solving questions that require students to reflect on the framing questions, synthesize information, and provide written responses. Almost all units require one take-home essay as part of the exam. In many cases, questions have more than one answer or interpretation, and the Teacher Guide provides several possible answers.
Students conduct self-assessments of six key skills in critical thinking, reading, writing, research, speaking/presenting, and teamwork. Students revisit their self-assessments mid-year and at the end of the course and reflect on their personal growth. See the Teacher Toolkit for additional information about assessment.
---
**Handout 38: Research Self-Assessment**
Use this assessment to help you assess and improve your research skills. Read the skill descriptions and assess your current level according to the rating scale. Think about how you can improve, and answer the questions.
**Rating Scale**
- **4** Excellent—I understand and use this skill well enough that I could teach or explain it to someone else.
- **3** Competent—I use this skill successfully whenever it is needed in my work.
- **2** Developing—I am gaining competence in using this skill, although I am not always sure I have used it successfully.
- **1** Learning—I am learning this skill, and I require help to use it successfully.
| Criteria | Rating |
|----------|--------|
| When I conduct research, I . . . |
| a. Formulate a clear research question | |
| b. Find and select relevant information | |
| c. Analyze the credibility and reliability of my sources | |
| d. Synthesize different types of information (text, visual, audio) | |
| e. Document my research accurately, according to required guidelines, and cite my sources | |
| f. Use a variety of sources to find relevant information, such as newspapers, journals, Web sites, and textbooks | |
D. Other Key Components of the Curriculum
Opportunities for Integration
Integrated units, taught in the other academic disciplines, help students integrate what they are learning in *Foundations in Law* with what they are learning in core academic classes. Throughout the course, Opportunities for Integration identifies how the material connects with other academic subjects. Each unit includes several suggestions for working with other academic teachers.
2. **Conduct primary text analysis.**
Introduce students to strategies to better comprehend primary text. Point out that the Bill of Rights is composed of amendments (additions to a written constitution passed by the legislature and, in some cases, ratified by the people).
**Teacher’s Note: Amendments to the Constitution**
The process for amending the U.S. Constitution involves two steps. First, an amendment must be proposed by a two-thirds “super majority” of both houses of Congress or two-thirds of the state legislatures. Second, the proposed amendment must be ratified by three-fourths of the states either by their state legislature or through special conventions. In practice, all ratified amendments were proposed by Congress. The Bill of Rights refers to the first 10 amendments to the Constitution, which were all ratified in 1791. Only 17 additional amendments have been ratified since then.
Read aloud the First Amendment:
*Congress shall make no law respecting an establishment of religion, or prohibiting the free exercise thereof; or abridging the freedom of speech, or of the press; or the right of the people peaceably to assemble, and to petition the Government for a redress of grievances.*
ConnectEd: The California Center for College and Career has developed integrated lessons in English language arts, math, and science that link to *Foundations in Law* and *Foundations in Criminal Justice*. Visit the ConnectEd Studios Web site to obtain these lessons.
Career Connections
Career Connections are central to the Law and Justice curriculum. Throughout the course, students gain knowledge and skills that are relevant to a range of careers. They learn about the roles, responsibilities, and career paths of specific professions through unit activities and *People and Careers Profiles*. Ideas for Involvement with Professionals, either in the classroom or through workplace visits, appear throughout each unit. In addition, students collect exemplary work for their *Career Portfolios*.
Assistant General Counsel
Quick Profile
Name: Sandra T. M. Chong
Profession: Attorney
Location: San Diego, California
Education: B.A. University of California, San Diego
J.D. University of California, Davis, School of Law
Former jobs: Law clerk and associate at private law firms, legal instructor at community and state colleges, staff attorney at the San Diego Unified School District
Brief Bio
Sandra Chong was born in Honolulu, Hawaii. When she was 10 years old, she wanted to be a teacher. Sandra “taught” the youngest of her three sisters, using a real desk and chalkboard and writing homework assignments on the board. She got her first real job, as a store cashier, at 16. Sandra has traveled to Asia, Africa, and Australia and hopes to do more traveling. Other goals on her “to do” list include becoming proficient in martial arts, surfing, and ballroom dancing. Sandra has served on various community boards and has been recognized as one of the “40 under 40” outstanding business and civic leaders of the San Diego community.
Job Description
As the Assistant General Counsel to the San Diego Unified School District, Sandra Chong gives legal advice to the second-largest school district in California.
Career Connections: Ideas for Involvement with Professionals
- Invite a local or state legislator or other elected official to discuss the factors in a community that led to a bill’s introduction in the state legislature or city council.
- Invite professionals working in the field of advocacy to talk about the professional path they took, and have them speak about how they see their work connecting to the work of others in the legal system.
- Invite legal professionals to discuss how they use the skills of informational writing, public speaking, and data analysis in their work.
- Invite a legislator or policy advocate to discuss the current debate over the status of felon voting rights in your state.
Career Portfolio
The Career Portfolio enables students to gather information about a range of careers, collect exemplary work that demonstrates their knowledge and skills relevant to careers, and reflect on their learning and career interests. Throughout the course, students have opportunities to work on their Career Portfolio, which includes unit projects, skill self-assessments, journal assignments, and People and Careers Profiles. At the end of the school year, students revisit the work they collected and reflect on the knowledge and skills they gained, the careers they explored, and how or if their interests have grown or changed.
Eye on the Law
A key goal of the Foundations courses is for students to be knowledgeable and reflective about current careers, events, issues, and developments in the legal system. One way the curriculum promotes development of these skills is by asking students to look for examples of the law in action in daily life. You are encouraged to incorporate Eye on the Law activities wherever possible in conjunction with the Foundations courses, and to monitor news media in order to find appropriate items to connect to these activities. The curriculum provides templates and guidance for carrying out Eye on the Law activities. Occasions when Eye on the Law activities might be appropriate include the announcement of an important court decision; a change in a federal, state, or local law; or the organization of a public protest. Through the Eye on the Law activities, students also strengthen their media literacy skills.
E. Suggestions for Law and Justice Teachers
Introducing the Foundations Courses to Students
The curriculum provides course syllabi for both *Foundations in Law* and *Foundations in Criminal Justice* that you can distribute to students. You can decide how you want to use these documents and how else you might want to introduce each course to your students. You may have students review the essential questions and various parts for each course. However you decide to introduce each course, setting common expectations and a tone that encourages students to share their responses to, concerns about, and hopes for the course is as important as the information you share about its content and activities.
Supporting Students with Limited Reading or English Proficiency
Providing support for students with reading or language challenges is essential, because the Law and Justice curriculum is academically rigorous, and the language of the materials is appropriate to the targeted grade levels. The curriculum includes literacy strategies that are embedded in each unit, and the Teacher Toolkit includes additional materials on literacy. Preview these resources before teaching the course to determine how you can use them to meet the needs of your students. The following are examples of literacy strategies in the curriculum:
- K-W-L
- Annotating & Paraphrasing
- Think Aloud
- Word Wall
- Context Clues
- Preview Text
- Mind Map
- Generating Questions
There are a number of other ways to provide this support, and, depending on your student population, you can take a more systemic approach by identifying other school-based interventions or support services. Finally, you may want to collaborate with an English language arts teacher on some of the reading and writing assignments. Suggestions are provided in each unit as Opportunities for Integration.
**Involving the Community**
Each unit of the Law and Justice curriculum includes ideas for ways to engage institutions, local practitioners, and community-based organizations to support students’ learning. Plan ahead to take students to workplaces, have professionals visit your classroom, or engage parents and the community in relevant issues. As you involve outside experts and institutions, communicate with them beforehand to ensure that they know what to expect and are prepared to make direct connections to what students are learning in the classroom.
**Integrating Technology**
Reliable access to computers, the Internet, and necessary software for teachers and students is essential for full implementation of the Foundations courses, and proficiency with technology is important for students to succeed in college and careers. Law and Justice courses use technology as students conduct research on the Web, take part in online youth forums, and communicate information through online tools and presentation software. At the same time, the curriculum acknowledges the reality of inconsistent or unreliable Internet access in some classrooms and communities. Where possible, the Teacher Guide suggests alternatives or options, or you may want to download and copy documents or resources ahead of time to use in the classroom.
**Adapting the Curriculum**
As a teacher of the Law and Justice curriculum, you will bring your own expertise and familiarity with your school and community. You are encouraged to adapt or enhance the curriculum through the development of additional resources and extensions, and the use of technology. At the same time, the structure and content of the units have been designed to reflect research findings about how students learn, the classroom experience of the developers and teachers who piloted the units, and the advice of educators and legal professionals. Features of the curriculum that are essential to maintaining its integrity include academic rigor and inquiry- and project-based pedagogy, comprising strategies such as critical questioning, self-reflection, and collaborative learning. These decisions were intended to maximize the opportunity for students who experience the Foundations courses to prepare for future academic and career success. Adaptations of the curriculum should therefore retain fidelity to its core principles and its approach to teaching and learning.
F. Support for Teaching the Law and Justice Curriculum
The Law and Justice curriculum provides support to teachers in a number of ways. The Foundations courses integrate instructional techniques and tools throughout each unit. Teacher’s Notes provide additional tips, strategies, and alternatives. In addition, the curriculum includes a Teacher Toolkit that offers additional materials in the areas of literacy, assessment, teaching controversial issues, and teamwork.
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Adaptations for Minimum Course of Study (MCOS)
Instructions for Special Services and/or Adaptations: If the student has a documented disability (as identified on Form B, or other similar documentation), include any special services and/or adaptations specific to each content area. The goal of implementing adaptations is to enable the student to progress as closely to his/her age and ability as can reasonably be expected within the course of a school year. **This is required every year, regardless of the MCOS exemption.**
Examples for special services include: counseling, speech/language pathology services, and/or reading comprehension services from the local school district. The special services may be through a school district, an outside agency or an independent provider.
Examples of adaptations include: using a calculator, books on tape, speech-to-text software, oral tests, pre-teaching vocabulary words, stretch/movement breaks or other adaptive practices.
| Student Name: | School Year: |
List any Special Services and/or Adaptations the student will receive through the home study program in each of the following areas as needed. Please note, depending on the area/s of disability, not every content area may need to include special services/adaptations.
If the student has a disability that requires the same adaptations in each area in the MCOS, list them here instead of in each section (i.e. the student will take frequent breaks, all materials will be read to the student, the student will be given oral and written directions):
1. Basic Communication skills, including reading, and writing, (i.e. phonics, speaking/listening, vocabulary, spelling, grammar, types of writing):
2. Basic Communication skills mathematics (i.e. addition, fractions, time, measurement, algebraic/geometric concepts):
3. Citizenship, History, and Government in Vermont and the United States (i.e. community action and local government, specific eras in history of VT, the US)
4. **English, American and other literature**: (i.e. genres of books, plot, responses to reading):
5. **Natural Sciences** (i.e. the scientific method, discoveries and inventions, Physical Science, Life Science, Earth and Space Science, and Engineering):
*Topic Areas 6, 7 and 8 are only required if the student is 12 or younger at the time of enrollment.
6. *Physical Education* (i.e. team sports, dance, martial arts, yoga, skiing)
7. *Comprehensive Health Education including the effects of tobacco, alcoholic drinks, and drugs on the human system and on society* (i.e. first aid, human growth and development, and nutrition)
8. *Fine Arts* (i.e. visual arts, media arts, music, dance, attend performing arts events)
For questions, please contact the Home Study Office.
Home Study Office
1 National Life Drive, Davis 5
Montpelier 05620-2501
(P)802-828-6225
(F)802-828-6433
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1. Why was the old high school torn down?
Old Mooresville High School was torn down during the Summer of 1971. The building was old, and it would have cost too much money to make all of the necessary repairs. The school board felt that the structure would eventually become unsafe to use as a school because of its age.
The old high school was built between 1907-1910. Construction was near enough to completion in the Winter of 1909 that classes were held inside. The building cost $26,000 to build.
[Source: Hardin, Becky. “Old Mooresville High School Building to Fall This Summer; Memories Stand,” Martinsville Daily Reporter, March 4, 1971, p. 6.]
2. Questions about Samuel Moore
a. When and where was he born?
Samuel Moore was born January 21, 1799 near Albermarle Sound in Perquimons County, North Carolina.
b. When and where did he die? How old was he when he died?
Samuel Moore died March 1, 1889 in his home just outside of Mooresville in Madison Township, Indiana, at the age of 90. He is buried in the Old Methodist Episcopal (M.E.) Cemetery on West Washington Street in Mooresville.
c. Where did he come from? Why did he move here?
Samuel Moore lived in Perquimons County, North Carolina for the first 19 years of his life. His parents, Joseph and Mary Moore, were farmers who also had a fishery. Most of the fish they caught were herring and shad fish. In 1818, Joseph Moore and his family, including Samuel, moved to a farm near Salem, Indiana, in Washington County. Samuel remained to help with the family farming until August, 1822, when Samuel decided to move out “on his own.” He settled here in Brown Township, Morgan County, and, in 1824, he founded the Town of Mooresville.
d. Did Samuel Moore have any children?
On April 15, 1828, Samuel Moore married Eliza Worthington (born June 18, 1808; died Dec. 10, 1873), who lived in Madison, Indiana, along the Ohio River. Samuel visited Madison while trading with riverboats that brought goods up the Mississippi River from New Orleans and then up the Ohio River to Madison. Samuel also sold goods that were shipped down river to the eastern states.
Samuel and Eliza had four daughters and one son:
- Jane Moore (born Aug. 24, 1829; died Aug. 24, 1852), who married Robert Newby;
- Mary M. Moore (born Jan. 15, 1831; died Oct. 13, 1853), who married Washington Conduitt.
- Margaret Worthington Moore (born May 22, 1833; died Aug. 12, 1907), who married David Fogleman on Dec. 30, 1869;
- Joseph W. Moore (born Aug. 16, 1835; died July 24, 1836); and
- Elizabeth (“Lizzie”) Moore (born Jan. 10, 1839; died Nov. 10, 1843).
e. Where did Samuel Moore live in Mooresville?
During his life, Samuel Moore owned several houses in Mooresville and in Brown and Madison Townships. There is one home still standing, at 35 West High Street.
f. Is there a statue of Samuel Moore in town?
There is no statue, but there is a plaque commemorating the location of Samuel Moore’s general store, which was located on the northeast corner of the intersection of Main and Indiana Streets in downtown Mooresville. This store, which was built in 1824, was the first wooden frame building constructed in town. Prior to that time, Samuel had a log cabin trading post located “on the brow of the hill” (where Kroger Grocery and the Village Shopping Center now stand).
3. When was the Academy School built?
The Mooresville Friends Academy School was built in 1860-1861 at a cost of $1,625, which was funded through private donations. Initial enrollment was 78 pupils, but by 1867, 150 students attended. High school students began attending there in 1869, making the Academy one of the first secondary schools in Central Indiana. Students travelled from across the center of the state to attend classes there. In 1883, the Town of Mooresville assumed responsibility for the school. It was used for classes from 1861 through 1971. Until 1908, both elementary and high school students attended classes there. Many famous local citizens, including artist Robert Indiana, took classes at the Academy. Today, the building houses the Academy of Hoosier Heritage, a museum showcasing state and local 19th century history.
4. I’m interested in learning more about the designers of the Indiana State Flag and the Mooresville Town Banner.
Paul Hadley
Paul Hadley of Mooresville designed the Indiana State Banner for the state’s Centennial Celebration (1916), and the Indiana General Assembly adopted it in 1917, choosing Hadley’s design out of 200 proposals. It was renamed the Indiana State Flag in 1955. The flag’s flaming torch and six radiating beams symbolized the expansion of liberty and enlightenment. The 13 stars represent the original 13 American colonies; the five inner stars represent the next five states admitted to the Union. Indiana is the largest star atop the torch.
Modest … Soft-spoken … Dignified … Witty … These descriptions of Paul Hadley, designer of the Indiana State Flag, reflected the community and state in which he was raised. Born in Indianapolis on Aug. 6, 1880, Paul was one of four sons of Dr. Evan Hadley, M.D., and Ella Quinn Hadley. In high school, he switched from Shortridge to Manual to study art under Otto Stark. Paul then studied at the Philadelphia Academy of Fine Arts & the PA Museum & Industrial Arts School. He first specialized in stained glass and interior designs, working for Philadelphia and Chicago firms. Paul helped design the Kennebunkport, Maine residence of Hoosier writer Booth Tarkington. Paul was named “most popular artist” at the 1922 Indiana State Fair. He did not drive a car; instead, he hiked cross-country to paint the scenic views. His ability to capture the essence of his subjects was matched by superb use of color and realism, softened with impressionistic tones.
As an art instructor at the Herron School of Art (1922-1933), he specialized in watercolors and outdoor sketches. Paul became Assistant Curator of the Art Association (1935-36). He travelled the country, capturing distinctively local scenes that defined mid-20th century Hoosier and American culture. He lived in Mooresville, Plainfield, and finally, Richmond, Indiana, where he died on Jan. 31, 1971.
**Bonita C. Marley**
Bonita C. Marley (1906-2002) designed Mooresville’s emblem and banner to commemorate the town’s 150th anniversary in 1974. The date (1824) commemorates the year that Samuel Moore founded Mooresville. The cross represents Indiana’s role as the Crossroads of America. The large star in the southwest quadrant of the cross represents Mooresville’s position relative to Indianapolis, the state capitol. The 19 stars, which are also included in Paul Hadley’s design of the Indiana State Flag (1916), represents the 19 states of the Union in 1816, with the largest star at the top representing the 19th state, Indiana.
Bonita Conduitt was born in Mooresville on Feb. 11, 1906. Her parents, Henry C. and Florence Shepherd Conduitt, lived at 130 North Indiana Street, in what was commonly known as the Henry Conduitt House. The home became Comer Sanitarium in 1936, which later became Kendrick Hospital (1962-1971). The structure was demolished in 1981 following a fire.
There was quite an age difference between Bonita’s parents. Henry Conduitt (age 53) and Florence Shepherd (age 19) married on April 27, 1898. Florence developed tuberculosis. Both parents died in 1919. In 1922, Bonita, at age 16, married Justin “Jud” Marley, a real estate developer, who passed away in 1963. The couple had two children, Suzanne and Bruce.
When Bonita was young, her family moved to a farm just east of town where she grew up. She began driving motor vehicles at age 11, because her father chose not to drive. Her uncle, who owned Conduitt Motors in Indianapolis, sold the family a 1914 Chalmers car, which could reach speeds of 25 m.p.h.
Bonita obtained her first library card in 1912 or 1913 when the town’s public library operated in a second-story room in a building on East Main Street. In 1916, thanks to a $10,000 Carnegie Foundation grant, Mooresville Public Library constructed the building that still stands at 30 West Main Street. Bonita became assistant librarian there in 1957 and was promoted to director in 1961. In 1968, she was named “Mooresvillian of the Year.” She retired in 1984 but continued to volunteer her time to help at the library.
[Sources: (1) Mooresville Public Library bibliographic materials and vertical files for Paul Hadley and Bonita C. Marley; (2) Perry, Rachel Berenson. “Paul Hadley: Artist and Designer of the Indiana Flag.” *Traces of Indiana and Midwestern History* 15, (1), pp. 20-29 (2003); (3) Asher, Jim. “Bonita Marley’s Life at the Library Only Part of the Story,” *The Mooresville Times*, June 29, 1988.]
A 1909 picture postcard shows the newly constructed Mooresville High School (completed in 1910; demolished in 1971), which was situated next to the Academy School building. Later, a gymnasium (1920) and William & Milton Newby Memorial Elementary School (1936) would be constructed nearby.
[Source: Stuttgen, Joanne Raetz & Tomak, Curtis. *Morgan County (Postcard History Series).* (2007), p. 44. Charleston, S.C.: Arcadia Publishing.]
“Old” Mooresville High School building (1910-1971), which was used as the high school until 1959; thereafter, it was used as the junior high school and as “overflow” for Newby classes, due to an increasing student population in the 1960s. (ca. 1912 photo by J. P. Calvert.)
Types of Fish that Samuel Moore caught as a boy in North Carolina: herring (left) and shad (right).
Plaque commemorating Samuel Moore’s general store (built in 1824) on the northeast corner of the intersection of Main and Indiana Streets in downtown Mooresville.
IN MEMORY OF
SAMUEL MOORE
FOUNDER OF MOORESVILLE.
FIRST TRADING POST 1822-23
AND
FIRST STORE ON THIS SITE
1824 — 1924
Samuel Moore’s house at 35 West High Street, Mooresville, Indiana, built by his son-in-law, Washington Conduitt, around 1852.
Paul Hadley (left) and art student Ralph E. Priest (right) create a replica of the original Indiana State Flag for display at the Indiana State House (ca. 1923) [reprinted from *Traces of Indiana and Midwestern History*, p. 20 (Winter 2003)].
*Paul Hadley looks on as Ralph E. Priest, a student at the John Herron Art Institute in Indianapolis, applies gold leaf to an Indiana state flag, circa 1923. When faculty and students at Herron learned that no state flag was on display in the Hoosier capitol, they created the one seen here and presented it to the state. The Indiana Historical Bureau now safeguards the flag, also pictured on the opposite page in a current photograph.*
Bonita C. Marley (left) and Wanda Potts (right) are shown working at the circulation desk of the “new” Mooresville Public Library (built in 1987 and opened Jan. 27, 1988). Mrs. Marley was MPL Director (1961-1984), and Mrs. Potts, the town’s historian, was Indiana Room Librarian (1966-2002).
Students and staff pose outside the Friend’s Academy School during the 1880s. Notice the school bell on the roof.
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Lesbian, Gay, Bi-sexual, Trans, Queer, Intersex, 2-Spirit (LGBTQI2S) Awareness
Compiled by Simcoe/Muskoka Literacy Network
August 2017
Introduction
This information in this resource has been compiled from a variety of workshops, webinars and other sources over the past few years to help agencies create welcoming, safe spaces for lesbian, gay, bi-sexual, trans, queer, intersex, two-spirit people. It seems that community and service agencies are seeing more people who are questioning their gender identity and more who are coming “out”. This resource can be used not only for staff and volunteer training, but also to help learners and clients find the information and help they may need.
This resource is by no means exhaustive. It includes
- basic information
- a short list of vocabulary
- some tips for teaching
- guides to creating safe spaces
- a best practices checklist created by the Ontario Human Rights Commission
- an overview of programs for the Gilbert Centre in Barrie
- links to programming and services at other centres serving the LGBTQI2S communities
Please note that while we use “LGBTQI2S” for these communities, we are aware that some people would add additional designations or use different terminology.
Lesbian, Gay, Bi-sexual, Transgender, Transsexual, Queer, Intersex, 2-Spirited
Tip Sheet for Educators
(from: Lesbian Gay Bi Transgender Queer Awareness LBS; Online Community of Practice webinar, March 2017 - reformatted)
Vocabulary
1. Sexual orientation
Refers to a person's emotional and sexual attraction. It means who we desire sexually, with whom we want to become intimate, and with whom we want to form emotional relationships. May be lesbian, gay, bisexual or heterosexual.
2. Gender Expression
Refers to the ways in which we each manifest masculinity or femininity.
3. Gender Identity
Refers to a person’s internal, deeply-felt sense of being either male, female, something other, or in between.
4. LGBTQI2S
Lesbian, Gay, Bisexual, Transgender, Transsexual, Queer, Intersex, Two-Spirit
5. Lesbian
A woman who forms sexual and loving relationships with other women
6. Gay
A person who forms sexual and loving relationships with those of the same gender; often used to refer to men only, but many women also use this term to identify themselves.
7. Bisexual
An individual, male or female, who is attracted to and may form sexual and loving relationships with both men and women; does not usually mean non-monogamy.
8. Transgender
A person whose gender identity, gender presentation or expression, and/or physical appearance or anatomy do not fit into conventional expectations of male and female. If a person transitions from male to female, or from female to male with the help of hormones and/or surgery, she or he may self-identify as **Transsexual**. **Transx**, **Trans***, **Non-binary**, and **Gender Queer** are other terms that are currently being embraced as forms of gender expression.
[Editor’s note: Please note that according to information from The 519 and the Gilbert Centre, the term Transgender is a disputed term in the trans community – more often they use the term Trans.]
9. Queer
Sometimes used as an umbrella term for LGBTTQI2S people. Sometimes embraced by those who do not feel like a single category within LGBTTQI2S accurately describes them. Sometimes spoken as an insult against LGBTTQI2S people.
10. Intersex
A general term used for a variety of conditions in which a person is born with a reproductive or sexual anatomy that doesn’t seem to fit the typical definitions of female or male.
11. Two-Spirit
An umbrella term sometimes used for Indigenous North Americans who fulfill one of many mixed gender roles.
[Editor’s note: It is our understanding from The 519 that this term has been historically used by Indigenous peoples.]
12. Heterosexism
A system of attitudes, bias, and discrimination in favour of opposite-sex sexuality and relationships. It
can include the presumption that everyone is heterosexual or that opposite-sex attractions and relationships are the only norm and therefore superior. It may be an unconscious act or one that is actively practiced.
13. Homophobia Fear and hatred of lesbian and gay people, often exhibited by prejudice, discrimination, harassment, and acts of violence
14. Transphobia An irrational fear of, and/or hostility towards, people who are transgender or who otherwise transgress traditional gender norms.
15. Cisgender A term for people who have a gender identity that matches the sex that they were assigned at birth.
Rationale: Why is it important to educate against homophobia?
1. It is an act of care to your students.
Care is central to the teaching profession.
2. It's the law.
Students, staff and community members enjoy equality, rights as well as protection against discrimination and harassment related to a number of areas, including sexual orientation. Legal protection also calls on us to be responsible to one another to be able to identify, address and prevent instances of exclusion that are related to homophobia and heterosexism. (see The Ontario Human Rights Code and The Accepting Schools Act)
Tips for Classrooms and Schools
a) Don’t wait until a homophobic incident occurs; ensure course content reflects a balanced approach to family structures, and diversity within LGBTTQI2S communities.
b) Lay some ground rules when approaching discussions involving family structure, homophobia, heterosexism and/or LGBTTQI2S experiences. Such issues can harbour sensitivity and can consequently be very difficult.
c) Don’t let a gay joke, the word “fag” or describing something as, “That’s so gay,” go unchecked/unchallenged.
d) Remember humility; many of us have used such words before we learned more.
e) If teaching about famous LGBTTQI2S people and their work, include their sexual orientation in the autobiographical information you provide (e.g. Shakespeare, Michelangelo, Alan Turing, Sally Ride, Mark Tewksbury etc.).
f) Organize anti-homophobia workshops for faculty and students.
g) Bring in guest speakers that reflect diverse perspectives and experiences within the LGBTTQI2S communities.
h) Provide literary and visual representations of LGBTTQI2S people and culture in your classroom and college.
i) Seek out and make friends with other faculty and administrators who are interested in social justice and equity.
j) Laughing in relation to sexuality does not necessarily mean students are being hurtful. It could mean they’re nervous. Talking about sexuality often makes people nervous. However, such laughter can feel hurtful. Is there a way you can ask about the laughter and open a discussion?
k) Incorporate case studies, examples and scenarios that reflect various family structures and that draw on LGBTTQI2S experiences, in ways that are age-appropriate.
Selected Internet Resources
www.mygsa.ca Resources for Canadian LGBT education
www.glsen.org Gay, Lesbian and Straight Education Network
(AIDS but also offers anti-homophobia resources & school workshops)
triangleprogram.ca high school for LGBT students in Toronto area
www.the519.org The 519, Church Street Community Centre (Toronto-based community centre servicing many LGBT organizations)
www.queensu.ca/positivespace how to set up a positive space program at your school or agency
www.gsannetwork.org Gay Straight Alliance
www.egale.ca Canadian LGBT Rights Organization
www.pflagcanada.ca Parents & Friends of Lesbians & Gays
Creating Safe Spaces Toolbox
The 519 in Toronto has created a Toolbox of information sheets that help people create an affirming and safe space (authentic spaces) for working with and providing services for transgendered specifically, but for all ideally. It focuses on affirming and inclusive practices and answers questions that people may have with regard to how to become an ally or how to create a welcoming and supportive environment.
English language toolkit
http://www.the519.org/education-training/training-resources/trans-inclusion-matters/creating-authentic-spaces
French language toolkit
http://www.the519.org/education-training/creer-des-milieux-authentiques
The toolkit includes a number of tip sheets that provide a brief overview of information on a variety of topics:
a) Gender-Specific and Gender-Neutral Pronouns
b) Starting Conversations
c) Being an Effective Trans Ally
d) Being a Supportive Peer or Co-worker
e) Supporting an Employee in Transition
f) If You Are Transitioning on the Job
g) Washrooms and Change Rooms
h) Creating a Welcoming Environment
i) Your Rights as a Trans Person
The Gilbert Centre
The [Gilbert Centre](#) is a community-based, not-for-profit, charitable organization located in Barrie. It provides programs and services for people living with and affected by HIV and the individuals and families from the lesbian, gay, bisexual, transgender, queer (LGBTQ) communities.
The following pages contain brief outline of the various programs offered at the Centre and an LGBTQI2-S information sheet about terms and spectrum.
The Gilbert Centre also provides awareness training to organizations at no charge. Please contact: Dale Boyle, Co-ordinator, Community Development at 705-722-6778 x 105 or e-mail [email@example.com](mailto:firstname.lastname@example.org)
Gilbert Centre LGBTQ Programs
The Gilbert Centre provides social and support services to empower, promote health, and celebrate the lives of people living with and affected by HIV and other sexually transmitted infections (STI) and the individuals and families from the lesbian, gay, bisexual, transgender, queer (LGBTQ) communities of Simcoe Muskoka. For more information, check us out at www.gilbertcentre.ca, or contact us at email@example.com and 705-722-6778.
Our Programs
Gender Diverse & Trans Programming – Life Skills & Employability Training and Support Services/Case Management for trans clients. Working with employers to create trans-inclusive spaces. Servicing trans clients and employers of Simcoe County.
Welcoming the LGBTQ Community – A capacity building program to work with service providers to create more inclusive and accessible services for LGBTQ individuals and families.
Gay/Bi/MSM Sexual Health Program – Responding to the health needs of gay, bisexual and other men who have sex with men, through education, online outreach, and community events.
Gender Journeys – An eight week program that explores gender identity, gender roles, and sexual orientation.
LGBT Youth Connection – Social and peer support group for LGBTQ youth aged 16-23, running in Barrie, Orillia, and Midland.
LGBT Youth Connection Jr. – Social and peer support group for LGBTQ youth aged 15 and younger, running in Barrie.
Sports & Recreation – A program designed to get LGBTQ youth connected to sports and recreation, and help remove homophobia from sport. Operates in Barrie.
Men’s Social Group – Social and peer support group for gay/bi/queer men in Barrie.
Women’s Group – Social and peer support group for lesbian/bi/queer women in Barrie.
Trans* Q Men Group – Social and peer support group for trans-masculine people in Barrie.
Trans* Q Women Group – Social and peer support group for trans-feminine people in Barrie.
Parenting Groups – Social and peer support group for parents, friends, and family members of LGBTQ youth, runs every other week in Barrie.
LGBTQ Info Sheet
Terms
Biological Sex: Your physical body/anatomical sex
Gender Identity: Your self-identification as a man, woman, neither, or mixture.
Gender Expression: How you express your identity in a masculine, feminine, or androgynous way.
Sexual Orientation: The type of people you’re sexually attracted to (ie. men, women, neither, both, etc).
History
1969 - Homosexuality is decriminalized in Canada.
1995 - Ontario becomes the first province to legalize same-sex adoption.
1996 - Sexual orientation added to the Canadian Human Rights.
2005 - The federal Civil Marriage Act, legalizing same-sex marriage across Canada, is given royal assent.
2012 - Gender identity and gender expression added to the Ontario Human Rights Code - Discrimination.
Spectrum Map
Acceptance Continuum
Community Resources
Youth Line - 1-800-268-9688 - youthline.ca
PFLAG Canada - 1-888-530-6777 - firstname.lastname@example.org
Gilbert Centre
gilbertcentre.ca
705-722-6778
80 Bradford Street
Legal Information
People who are transgendered often confront discrimination and harassment in many situations. To help better protect the transgendered community and ensure an inclusive environment the Ontario Human Rights Commission developed a policy preventing discrimination because of gender identity and gender expression. There are both HTML and PDF versions. Starting on page 58 of the policy is a useful checklist that deals with
- privacy and confidentiality
- identification and documentation
- collecting data on gender and sex
- dress code policies
- washrooms and change facilities
- transition guideline
Please find a copy of the checklist below.
Appendix C: Best practices checklist
Privacy and confidentiality
- Maximize privacy and confidentiality of any information related to a trans person’s gender identity, or to the extent the trans persons wishes. This includes information that directly or indirectly identifies that a person’s sex is different from their gender identity.
- Keep a person’s transgender history and medical information private and confidential, and limited to only relevant information and people directly involved in helping to meet the person’s needs.
- All information should remain exclusively with designated personnel (such as the human resources person) in a secure filing system to protect the person’s confidentiality.
Identification documentation and records
- Recognize a trans person’s preferred name and gender in all administrative systems and documents (including hard copies and electronic).
- Show how any requirement for a person’s “legal” name and gender is legitimate (reasonable and *bona fide*) in the circumstances.
- Undertake system reviews to identify how electronic databases, IT systems and other relevant information processes can be modified to recognize a person’s chosen name and gender when it does not match legal documents.
Collecting data on sex and gender
- Consider whether there is a legitimate need to ask for and collect information about sex/gender. If yes, provide options beyond the binary of male/female or man/woman.\(^{184}\)
- To the greatest extent possible, allow people to self-identify their sex or gender identity.\(^{185}\) The option of a blank box, for example, is the most inclusive.
- Protect any information indicating transgender status as confidential.
\(^{184}\) See ACT Law Reform Advisory Council, *Beyond the Binary: Legal recognition of sex and gender diversity in the ACT, Report 2* (2012) online: ACT Law Reform Advisory Council www.justice.act.gov.au/resources/attachments/LRAC_Report_7_June.pdf, at 48. See also Human Rights Campaign Foundation, *Transgender Inclusion in the Workplace, 2nd ed.* (2008), online: Human Rights Campaign Foundation www.fs.fed.us/crl/HRC_Foundation_-_Transgender_Inclusion_in_the_Workplace_2nd_Edition_-_2008.pdf.
\(^{185}\) Human Rights Campaign Foundation, *ibid*. For more detailed information on data collection methods that are inclusive and respectful of diverse gender identities, see also Rainbow Health Ontario, *RHO Fact Sheet: Designing Surveys and Questionnaires*, online: Rainbow Health Ontario www.rainbowhealthontario.ca/resources/searchResults.cfm?mode=3&resourceID=9901094e-d737-dde8-0d8c-8166b3780517.
Policy on preventing discrimination because of gender identity and gender expression
Dress code policy
- Do not base it on gender stereotypes, and apply it consistently to all people, regardless of their gender identity or expression.
- Make it inclusive of trans people, and identify that everyone may dress in accordance with their lived gender identity or gender expression.
Washrooms and change facilities policy
- Recognize the right of trans people to access facilities based on their lived gender identity.
- Communicate that a trans person will not be required to use a separate facility because of the preferences or negative attitudes of others.
- Make clear that accommodation options will be provided on an individualized basis, if a trans person requests.
- Provide privacy options that anyone in a change room may choose to use.
- Provide information on where people can find accessible, all-gender washrooms.
Organization gender transition guideline\(^{188}\)
- Guidelines should be in place before a transitioning employee comes forward. They provide clear direction for managers on how to generally help transitioning employees, while still recognizing the obligation to take the individual’s needs into account. This sends a signal to everyone that transitioning employees will be supported.
- Guidelines should address:
- A lead contact person to assist the transitioning employee
- What a transitioning employee can expect from management
- Expectations of management and other staff, transitioning employees in facilitating a successful workplace transition
- Related policies and practices for assisting with the transition process, such as: washroom policies, dress code policies, confidentiality and privacy, recognizing the person’s new name in documentation and records, anti-harassment policies, dealing with any individual accommodation needs as well as training for management, staff and clients.
---
\(^{188}\) For more information on best practices for employers see Canadian Labour Congress, *Workers in Transition: A Practical Guide About Gender Transition for Union Representatives*, online: Canadian Labour Congress [www.canadianlabour.ca/news-room/publications/workers-transition-practical-guide-union-representatives](http://www.canadianlabour.ca/news-room/publications/workers-transition-practical-guide-union-representatives); Canadian Autoworkers Union, *Workers in Transition: A Practical Guide for Union Representatives* online: Canadian Autoworkers Union [http://www.caw.ca/en/8201.htm](http://www.caw.ca/en/8201.htm). See also the international sources: Human Rights Campaign Foundation, *supra* note 187; Government of New Zealand, Department of Labour, *Transgender People at Work*, online: Human Rights Commission [www.hrc.co.nz/human-rights-environment/action-on-the-transgender-inquiry/discrimination-and-marginalisation](http://www.hrc.co.nz/human-rights-environment/action-on-the-transgender-inquiry/discrimination-and-marginalisation).
Individualized gender transition accommodation plan
☐ Working together, the employee, employer and union representatives (where the employee has asked for their involvement) may wish to create a transition plan to address what, if any, accommodations may be needed in the workplace related to the steps the employee is taking in the transition process.
☐ Each trans person’s situation will vary, and an individualized transition plan will make clear what steps will be taken given the needs of the particular employee.
☐ It can be useful to discuss timelines and dates when the employee would like to:
o Be addressed by their new name and new pronoun
o Begin expressing their gender identity through clothing, in keeping with the workplace dress code
o Use washroom and other facilities in their lived gender identity
o Able to take time off work for any medical treatments related to their transition, if needed.
☐ The plan should also address:
o When and how any related employment records, documents and databases will be updated to reflect the person’s new name and gender (e.g. human resources and administrative records, email and phone directories, business cards, etc.)
o If, when and how other employees and clients will be informed of the person’s new name and gender identity
o Anti-harassment planning – a simplified process to deal quickly and effectively with any harassment the transitioning employee may experience
o When and how training for other employees, clients or managers will be provided to help them understand the transition process, if appropriate
o How management and the union will show support for the transitioning employee.
Links to Resources
The 519 http://www.the519.org/
Hear It Stop It campaign
LGBTQ2S Youth Homelessness in Canada
Trans Inclusion Matters
The Gilbert Centre http://www.gilbertcentre.ca/
Safer Spaces: Organisational Training
Online Community of Practice (Mar. 7, 2017)
Webinar 5: Lesbian Gay Bi Transgender Queer Awareness LBS Webinar
Watch playback
LGBTQ Awareness for LBS Practitioners
LGBTTQI2S Tip Sheet for Educators
Ontario Human Rights Commission http://www.ohrc.on.ca/en
Policy on preventing discrimination because of gender identity and gender expression: Ontario Human Rights Commission
NOTE Appendix C: Best practices checklist included on pages 11-13 of this document.
Rainbow Health Ontario https://www.rainbowhealthontario.ca/
Information on health and getting medical care and locating health care practitioners who have expressed a commitment to providing competent and welcoming care to LGBTQI2S people in Ontario. Also provides training to health care service providers.
Resources – health information pamphlets etc. can be ordered or downloaded
https://www.rainbowhealthontario.ca/resource-type/available-to-order/
The Accepting Schools Act
http://www.edu.gov.on.ca/eng/safeschools/SafeAccepSchools.pdf
Community Legal Clinic – Simcoe, Haliburton, Kawartha Lakes
http://www.communitylegalclinic.ca/
Main office (Orillia): 705-326-6444 Toll Free: 1-800-461-8953
E-mail: email@example.com
Satellite Offices – Barrie, Collingwood, Christian Island, Haliburton,
Lindsay, Midland, Minden: All satellite offices are by appointment only.
Please call 1-800-461-8953.
Lake Country Community Legal Clinic - Muskoka http://www.lcclc.ca/
Main Office (Bracebridge): 705-645-6607
Toll Free: 1-800-263-4819
Satellite Offices – Gravenhurst, Huntsville, Parry Sound, South River:
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WATER CONSERVATION
WHAT IS IT?
Water conservation is the practice of using water efficiently to reduce unnecessary water usage. According to Fresh Water Watch, water conservation is important because fresh clean water is a limited resource, as well as a costly one. You’re probably already well aware of the financial costs of inefficient water use. Conservation of this natural resource is critical for the environment.
WATER MATTERS
America’s population has doubled over the last half century, and our demand for water has tripled. Water conservation is more important than ever. Conserving water keeps it pure and clean while protecting the environment. Conserving water means using our water supply wisely and responsibly.
A FEW TIPS TO HELP CONSERVE WATER
WATER PLANTS WISELY
Water your lawn or garden early in the morning or late in the evening, so the water lasts and is not immediately evaporated by the hot sun.
LOW-FLOW SHOWERHEAD
With a low-flow showerhead, you can save 15 gallons of water during a 10-minute shower.
TURN OFF THE WATER
Teach yourself and others to turn off the faucet while brushing teeth or shaving. Every little bit of water conservation helps.
WATER CONSERVATION PRODUCTS
ICON GUIDE
- Reusable
- Recyclable
- Recycled
- Renewable Resource
- Made in USA
- Energy Efficient
- Social Compliance
100% RECYCLED COTTON CREW TEE
This unisex crewneck, sustainable t-shirt keeps waste out of landfill, saves hundreds of gallons of fresh water, and reduces carbon emissions compared to organic cotton.
AS LOW AS $14.99
RAIN GAUGE
Reusable, USA made triangle gauge tracks rainfall. With its unique triangle shape, it can hold up to seven inches of rain. The perfect eco-friendly promo for water utility companies or garden centers.
AS LOW AS $4.55
TOILET LEAK DETECTION TABLETS
Save water and money with these small tablets that detect leaks in large and small toilets. Tablets contain FDA-certified, non-toxic, non-carcinogenic pigments, and are not harmful if swallowed.
AS LOW AS $0.68
WATER SAVING SHOWER TIMER
Five minute shower timer attaches to the wall of a shower with a suction cup. Conserve water and save energy with this long-lasting promotional product.
AS LOW AS $3.35
CONSERVATION ACTIVITY BOOK FOR KIDS
Made in the USA, this recyclable activity coloring book teaches children the importance of water conservation. Educational books create enthusiasm and shows children how they can make a difference.
AS LOW AS $0.48
WATER DROP PEN
USA made ball point pen is bent in the shape of a water droplet. Eco-friendly pen comes in a variety of colors including six different recycled versions: denim; tire; currency; plastic; and color change plastic.
AS LOW AS $1.90
WATER CONSERVATION TIPS MAGNET
An Eco Promotional Products exclusive. Made in the USA XXL business card magnet features 10 tips for conserving water. A great full color marketing tool for any business.
AS LOW AS $0.65
877-ECO-WINS
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**Sunflower Seed Butter**
**Ingredients**
- 1 (16 oz) bag of Sunflower kernels
- ¼ cup (approx.) Canola or other flavorless oil
In a food processor, grind the sunflower seeds until they are finely processed and are beginning to clump together. Slowly drizzle in the oil, while processor is running. Add the oil slowly until you reach the desired consistency.
Store in refrigerator.
---
**Family Connections**
One of the best ways to teach children to value wholesome ingredients is to get them involved in food preparation. Kids love to make these watermelon pops.
2 cups seedless watermelon - cut into chunks
1 banana
2 kiwi
½ cup fresh or frozen blueberries
1. Place watermelon chunks into a blender and puree.
2. Peel and slice the banana and kiwi. Place 2 slices of each fruit and blueberries into each pop mold. 3. Use a popsicle stick to press the blueberries between the kiwi and banana slices, forcing them against the walls of the mold. 4. Fill pop molds with watermelon puree. 5. Add sticks and freeze.
---
**Food on the Move**
Traveling with children who have food allergies can be challenging. Here are a few tips (www.kidswithfoodallergies.org) to keep in mind:
- Plan out meals ahead of time.
- Stay at hotels that offer kitchenettes that allow you to prepare your own meals.
- Bring a supply of epinephrine autoinjectors at all times (for those who need them). Keep them away from excessive heat or cold.
- Make sure your child wears a medical identification bracelet.
- Speak out about your child’s allergies to restaurant and hotel managers.
---
**Keep It Safe**
If someone in your family has a food allergy, be wary of certain grocery store items that have a high risk of cross-contamination with allergenic foods: nuts, chocolate candies, foods from the deli counters and salad bars, bulk items from barrels or containers, fresh fish counter, and nuts in the produce section.
---
One slice of cheddar cheese consists of 0.07% lactose, compared to 4.80% lactose content in one glass of milk.
Answer to the question of the March(1) edition.
Egg, Ham, and Cheese Bake (Crust-less Quiche)
Gluten-free
Ingredients
- 8 eggs
- 1 cup of shredded cheese
- 1 cup of plain yogurt
- 1 cup of chopped ham
- 2 chopped green onions
- ¼ cup of chopped jalapeno pepper, if desired
- 1/8 teaspoon of salt
- Additional salt and pepper to taste
Preheat oven to 375 degrees F. Mix eggs in a big bowl, and add all other ingredients. Pour the mixture into an 8-inch baking pan and bake for about 25-30 minutes or until the top is turning brown.
Soft Zucchini Cookies
Dairy-free. Yields: 3 dozen
Ingredients
½ cup granulated sugar
½ cup vegetable oil
1 egg
1 teaspoon baking soda
½ teaspoon nutmeg
1 cup chopped nuts, if desired
½ cup brown sugar
1 cup finely grated zucchini
2 ¼ cups flour
1 teaspoon cinnamon
1 cup chocolate chips or raisins
Heat oven to 350 degrees F. In a mixing bowl, cream together sugars, oil and zucchini. Add in egg and mix well. In a separate bowl combine flour, soda, cinnamon, nutmeg and salt. Stir into sugar and egg mixture until well combined. Stir in chocolate chips or raisins and nuts. Drop by teaspoonful onto a greased cookie sheet. Bake 10 to 12 minutes. Remove from oven and let cool on a cookie sheet for one minute. Remove to a rack and cool completely.
What Can I Do Today?
If you have Celiac disease, you can make your own gluten-free, all-purpose flour blend for your baking:
½ cup rice flour
¼ cup tapioca starch/flour
¼ cup cornstarch or potato starch
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Yavapai County Sheriff’s Office is “Right by Kids”
By Deputy Scott Reed,
Yavapai County Sheriff’s Office,
Law Enforcement Education
For this Sheriff’s Office, child safety education is a laughing matter. Sheriff Steve Waugh and the Yavapai County Sheriff’s Office take a unique approach to educating children about safety. The tools of this trade include a friendly faced mascot, magic tricks and a stable of character puppets. Their effort, known as the “Right by Kids” Child Safety Program, is in high demand across all 8000 square miles of this county in northern Arizona. One look at a key deputy involved in the “Right by Kids” program might lead you to believe that success has gone to his head. His name is Deputy Do-Right and the size of his head is strictly by design. He is the program’s mascot, the centerpiece of the Right by Kids Child Safety Program.
In 2005, newly elected Sheriff Steve Waugh was faced with a challenge very familiar to leaders in law enforcement; educating the community and children about safety while balancing enforcement needs of the public. While taking a close look at the need, Sheriff Waugh recognized that early childhood safety education was often overlooked when it came to tough subjects, such as drugs and bullying. It is well known within law enforcement that drug awareness education is not typically delivered to kids until they are in the fifth or sixth grade. Experts now agree that concepts and strategies geared towards drugs and other dangers can be understood by children as early as kindergarten. With that in mind, YCSO set out to create education plans that would be effective in guiding even the youngest of children towards safety and security. YCSO’s Right by Kids lesson topics do include anti-drug messages, but also bullying, gun safety, cyber safety, bike and ATV safety. On top of that, deputies are able to respond to specific requests from schools or other community groups. Additional presentations have been catered to include such subjects as anger management, problem solving and self respect.
During the design stage, the creators of the Right by Kids program understood that providing a program with substance was of the utmost importance. The presentations needed to be more than just entertaining for young children. They needed to be meaningful and most importantly memorable! That’s where Deputy Do-Right comes in. A mascot, utilized properly and responsibly, can be a powerful educational tool that reinforces ideas and valuable principles. Think about it, surely you can recall slogans used by such mascot icons as Smokey Bear and McGruff. And from a marketing aspect, think about corporate mascots like Ronald McDonald and the Gieko gecko. You immediately recall who they are and what they represent. Familiarity and consistency is very important to children. Visual reminders and repetition are effective methods in childhood education and Deputy Do-Right’s smiling face works to reinforcing safe practices. Do-Right doesn’t just create product recognition, he helps to build relationships of trust and goodwill between the public and the sheriff’s office.
Innovative programs and mascots often come with a story and a slogan. Deputy Do-Right grew up wanting to be a law
enforcement officer. From a young age he worked towards that goal and made the right choices. He stayed away from drugs, worked hard, and always treated others with respect. He shares his slogan with kids everywhere he goes; “YOU WIN OR LOSE BY THE WAY YOU CHOOSE!” This theme rings loud and clear during every public appearance he makes. The success of the program is certainly measured, in part, by the great number of kids that quote the slogan to deputies after weeks and even months following a lesson or school assembly.
The Yavapai County Sheriff’s Office uses a team effort when it comes to implementing this program. Two full-time deputies known as Law Enforcement-Education Deputies and a Crime Prevention Specialist write and perform specialized presentations that adhere to specific curriculum. It is the skillful blending of magic, music and puppetry with vital safety messages that make this program unique. In August 2010 the Right by Kids team took their “show” to the stage on a much larger scale. Utilizing local partnerships YCSO rented out the historical Elks Opera House in downtown Prescott, Arizona and invited the community to come out for a Saturday of safety training - Right by Kids style. A local band, The Ripptones, volunteered their time and talents for the event. Their renditions of well known rock songs from the sixties and seventies featured altered lyrics that provided lessons about bullying, drugs, stranger safety and 9-1-1 emergencies. Perhaps the highlight for the audience was watching Deputy Do-Right magically transform from a small child to a full grown Deputy, then take to the drums and perform with the band. The show was a great experience for the sheriff’s office and the entire community.
Most often, law enforcement officers are hesitant to showcase their programs and abilities. Most of us find it enough to be professionally satisfied just knowing that we do good work every day. It may feel odd, but “tooting your own horn” can also be a great way to create inroads and partnerships with those that we serve. Since our community “show” at the Elks Opera House in Prescott, our requests for safety presentations have greatly increased and our messages are working their way into family conversations.
The use of a mascot and any unconventional teaching method must always be approached responsibly and professionally. At the Yavapai County Sheriff’s Office we know that we are reaching toward our program goals when we receive notes of thanks. A Head Start director recently wrote, “Thank you for taking time to come to our little center and sharing your talents. The children are still talking about your visit. They do realize that you are the “GOOD” guys and not to be afraid. Thank you for all you do in your line of work.”
Perhaps more telling of our success comes from a grade school boy who drew us a picture of Deputy Do-Right and scribbled a note saying, “Deputy Do-Right, thanks for saving our lives!” | d9abdc8f-1348-47e1-b5af-3193d4aef263 | CC-MAIN-2024-10 | https://www.ycsoaz.gov/files/sharedassets/sheriff/v/1/public-affairs/documents/rightbykidsarticle_sheriffmagazine.pdf | 2024-02-27T01:03:00+00:00 | crawl-data/CC-MAIN-2024-10/segments/1707947474669.36/warc/CC-MAIN-20240226225941-20240227015941-00769.warc.gz | 1,087,929,811 | 1,237 | eng_Latn | eng_Latn | 0.998853 | eng_Latn | 0.998878 | [
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Welcome to Reception
2024/25
Key People
Designated Safeguarding Leads
Mrs Grainger
Headteacher
Mr Stevens
Assistant Headteacher
Mr Budge
Assistant Headteacher
Mrs Cadman
SENDCo
Key People
Mrs Crossley
Acorn Class teacher
Early Years Leader
Mrs Pearson
Nursery Nurse
Early Years Curriculum
The Early Years Foundation Stage (EYFS) is the stage of education for children from birth to the end of the Reception year.
It is based on the recognition that children learn best through play and active learning.
We are already doing this in Nursery, so in Reception, we are building on the children’s learning.
Early Years Curriculum
The focus for the first half term is on the Prime areas.
Prime Area of Learning & Development
- Communication and Language
- Physical Development
- Personal, Social and Emotional Development
Specific Areas of learning & Development
- Literacy
- Mathematics
- Understanding the World
- Expressive Arts and Design
Characteristics of Effective Learning
These describe behaviours children use in order to learn.
Playing & Exploring (Engagement)
Finding out and exploring, Playing with what they know, Being willing to ‘have a go’
Active Learning (Motivation)
Being involved and concentrating, keep trying, enjoying achieving what they set out to do
Creative & Critical Thinking (Thinking)
Having own ideas, Making links, Working with ideas
A Typical Day
Children will be collected/dropped off at the KS1 Hall Door
Day Starts: 8:40am
Collection: 3:10pm
Please remember drop off/pick up are busy times. This is not the time to share important messages – please use the MyEd app or book an appointment with the office.
A Typical Day
Start of the school day: 8:40am KS1 Hall Door
End of the school day: 3:10pm KS1 Hall Door
| Monday | Jigsaw Continuous Provision | Phonics | Continuous Provision |
|--------|----------------------------|---------|----------------------|
| | Independent Task/Handwriting/Dough Disco | | |
| Tuesday | Maths Input/Adult led Activity Continuous Provision | Phonics | Maths Adult led Activity Continuous Provision |
|---------|-----------------------------------------------------|---------|-----------------------------------------------|
| | Independent Task/Handwriting/Dough Disco | | |
| Wednesday | Writing Input/Adult led Activity Continuous Provision | Phonics | Writing Adult led Activity Continuous Provision |
|-----------|--------------------------------------------------------|---------|-----------------------------------------------|
| | Independent Task/Handwriting/Dough Disco | | |
| Thursday | Maths Input/Adult led Activity Continuous Provision | Phonics | Physical Education |
|----------|-----------------------------------------------------|---------|--------------------|
| | Independent Task/Handwriting/Dough Disco | | |
| Friday | Maths Input/Adult led Activity Continuous Provision | Phonics | Maths Adult led Activity Continuous Provision |
|--------|-----------------------------------------------------|---------|-----------------------------------------------|
| | Independent Task/Handwriting/Dough Disco | | |
Children come to school wearing their PE uniform.
Children come to school wearing their PE uniform.
8:40am Door opens. Children complete independent tasks. Register, children choose their lunch. Dough Disco (Handwriting)
9:00am Teacher Input (Maths or English) Choosing Time (including child-led & adult-led learning)
10:00am Phonics – Read Write Inc.
11:00am Maths Meeting Choosing Time (including child-led & adult-led learning)
12:20pm Lunch and play
1:20pm Register
1:30pm Teacher Input Choosing Time (including child-led & adult-led learning)
2:45pm Collective worship and story time
3:10pm Home time
Outdoor Provision
In both the morning and afternoon sessions, children will learn outside – come rain or shine!
Children ‘free flow’ between learning areas.
Outdoor learning promotes physical development.
A Typical Day
Learning in Reception is not always clean!
Please be understanding.
Forest Day
Children will have a weekly forest session (day will be confirmed in September)
This develops confidence and self esteem through hands on learning in our woodland area.
Please provide your child with:
• Wellies
• Forest Clothing e.g. an all in one suit or waterproof clothing
PLEASE LABEL ALL ITEMS CLEARLY
These will be kept in school
Phonics
• Children progress in phonic knowledge across the RWInc. Programme.
• Children are assessed and split into groups throughout Early years and KS1. They have a daily phonics session.
• They learn sounds in a systematic way. These sets of sounds can be found in the reading diary. You will be invited to a phonics workshop in the Autumn Term.
• Children will initially bring home blending books and then a reading book – ‘book bag books’.
• Books that are bought home are matched to their ability. These are decodable, containing sounds and words they can read. We want children to be successful.
• Why do we re-read books?
1 – Accuracy: read the words correctly
2 – Fluency: familiar with the words to read quickly
3 – Comprehension: understand what is being read
Children also choose a story book.
Please share this at home, alongside any other favourite books your child might have.
Mathematics Mastery
https://www.chadsmeadacademy.co.uk/web/mathematics/525540
• Deepen understanding of key mathematical concepts
• Greater emphasis on problem solving and encouraging mathematical thinking
• Systematic approach to mathematical language
• Frequent use of objects and pictures to represent mathematical concepts
• Concrete – Pictorial - Abstract
## Autumn Term Learning
| Unit | Overview |
|--------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| Rhyme Time | This unit is language rich that teaches children a variety of traditional rhymes, poems and songs and gives them the opportunity to play with words and learn new vocabulary. |
| Let’s Explore | Children will be taking part in familiar activities designed to help them grow in confidence and develop their relationships with others. |
| Build it up | Learning about different structures and buildings that they can find in the world around them and gives them opportunities to work in groups to create their own exciting structures. |
| Marvellous Machines| Learning about the important technology that is part of their daily lives and how machines can help us. It gives them the opportunity to build and create their own marvellous machines. |
All our up to date curriculum information is available on our website: [https://www.chadsmeadacademy.co.uk/web/chadsmead_curriculum/631626](https://www.chadsmeadacademy.co.uk/web/chadsmead_curriculum/631626)
As we start each unit, you will be sent home with a knowledge organiser. This provides activities and ideas so you can support your child at home.
*Developing roots to grow and wings to fly*
Home Learning
Reading – Everyday
Maths & English – matches the current learning. Purple homework book. Fortnightly swap.
Creative – offers an opportunity to research and freely present information. It may include, Art, DT, Geography, History or Science. Half Termly.
Chadsmead Primary Academy - Reception Home Learning
These are the expectations for the home learning.
Reading
Each child has an orange folder containing either a Read Write Inc. ‘blending’ or ‘book bag’ book. This must be returned every Friday so that it can be changed. Please read with your child at least 3 times per week to support their reading. In the reading diary you will see a sound recognition section, use this as a tool to support your child with recognising their sounds at home. All children can take home a class library book on a Monday. These are changed weekly.
Maths
Maths and English homework will be alternated weekly. Homework will be set on a Thursday and should be returned the following Tuesday. Maths homework will be completed in a workbook which is brought in class daily. It may be practice for a particular maths skill. Maths homework will be linked to number, shape, space and measure. Homework should be completed in the purple homework book.
English
English and Maths homework will be alternated weekly. Homework will be set on a Thursday and should be returned the following Tuesday. English homework will be a consolidation of what we have been learning during that week. It is really important that your child is sat at a table with the correct posture and ensures that they are holding their pencil correctly using a pencil grip. Homework should be completed in the purple homework book.
Creative
Each holiday, pupils will receive more creative homework based on the new mini unit that we will be learning. This may be an art or DT piece of work for you and your child to complete together. This is given at the start the break and returned to school two weeks into the new half term.
Home Learning starts in Autumn 2.
Snack
Snack is provided as free choice, where children choose when they would like to have it.
Children sign for their snack.
PLEASE PROVIDE A LABELLED WATER BOTTLE DAILY
Early years children are given free milk and fruit.
We encourage the children to try the variety of fruit and vegetables that are provided.
Lunch
PLEASE CONTINUE TO PROVIDE A LABELLED WATER BOTTLE DAILY
Children will eat their dinner in the dining room.
Your child receives Infant Free Schools Meals
We encourage you to take this option.
Menus are available on the website.
Dietary requirements are catered for.
Should your child bring their own lunch, we ask that you do not pack items that contain peanuts.
Miquill, the school meal provider, will be at the 25th June stay & play session.
School Uniform
- Black ‘school type’ trousers, shorts, skirt, skort or pinafore dress
- White polo shirt (logo not required)
- Chadsmead sweatshirt or V-necked cardigan with school logo
- Black school shoes (flat sole/low heels, not trainers or boots)
- Black/White socks/tights
- Blue check only dresses (Optional-Summer term only)
- Plain blue/black hair band if required
- Children should have an outdoor coat
PE: (Will be told which day in September)
- Black shorts (optional with school logo)
- Chadsmead T-Shirt (either gold or light blue)
- Black pumps or trainers
- Plain Tracksuit (optional school logo)
Forest: (Will be told which day in September)
- Wellies
- Forest Clothing e.g. an all in one suit or waterproof clothing
ALL ITEMS MUST BE LABELLED WITH YOUR CHILD’S NAME
No name means we are unlikely to find it and/or return it to the correct child.
We encourage children to have ‘book bags’. It helps them to be organised and grow independence.
- Reading Books – bring to school on Friday to be changed
- Reading Diary – bring to school on Friday
- Homework book – returned Tuesdays
Transition:
What we want your child to know when they enter Reception:
- Nursery Rhymes
- Putting on their own coat
- Using a knife and fork
- Recognising own name
- Writing own name
- Toilet trained
- Counting objects
- Counting to 10 by rote
- Interested in stories
- Hold and use scissors correctly – making snips in paper.
- Hold a conversation with an adult – can they talk about what they did during the summer.
Talk positively, with excitement, about the next year.
A Learning Journey is a collection of pieces of information that, when connected together, creates a picture of your child. In school we use it for:
- Assessing a child’s development
- Providing a record of a child’s time at Chadsmead
- To help us plan activities at the correct stage of development and what they need next.
We value sharing this with the children, to talk about their learning.
We encourage families at home to contribute to this book with WOW moments to share, they can be photographs, a note on our WOW sheets or other things of significance for your child.
The learning will include:
- Photographs
- Your child creations
- Observations
Transition: The first few weeks
We will find out what your children already know and can do and use this information to help us develop an individual learning programme for each child.
We spend lots of our time working and talking to the children about what they are learning. We may record some ‘Wow’ moments formally but largely we assess and move children on ‘in the moment’.
You will be invited to discuss how your child has settled in and their progress so far at a parents evening – 2/3 October 2024
At Chadsmead we want every pupil to take full advantage of all the educational opportunities, both academic and social, which are available to them.
To do this children need to be at school, on time every day.
**PUNCTUALITY RISK REGISTER**
- **LEVEL 0**
- Pupils with no late marks in the previous half term
- **LEVEL 1**
- Pupils with 1 – 6 late marks in the previous half term
- **LEVEL 2**
- Pupils with 7 – 10 late marks in the previous half term
- **LEVEL 3**
- Pupils with 11 – 15 late marks in the previous half term
- **LEVEL 4**
- Pupils with 15+ late marks in the previous half term
**Absence Data Chart**
| Percentage Range | Description | Risk Level |
|------------------|--------------------------------------------------|------------|
| 98%+ | Outstanding Attendance | 0 |
| 97 - 97.9% | Excellent Attendance | 1 |
| 96 - 96.9% | Good Attendance | 2 |
| 95 - 95.9% | Increasing Concern if further absences occur | 2 |
| 92 - 94.9% | Significant Concern Attendance levels require improvement | 3 |
| Below 92% | Urgent Concern Attendance levels now critical | 4 |
| Below 90% | Urgent Concern Attendance levels now critical | 4 |
| 85% | Urgent Concern Attendance levels now critical | 4 |
| 80% | Urgent Concern Attendance levels now critical | 4 |
| 50% or Below | Education is at critical risk | 4 |
Chadsmead Primary Academy
At Chadsmead we work hard to establish and maintain positive relationships
We acknowledge children’s feelings
What do I need to do?
Please ensure all paperwork is complete and returned to school, including your child’s birth certificate.
If your child has medical conditions (allergies, asthma, something specific), you have included it in the paperwork and have then received a Health Care Plan to complete or have been invited into school to discuss the formulation of this plan.
What do I need to do?
Telephone Call
(Week Beginning 17 or 24 June 2024)
Please ensure you have signed up for this 10 minute call before you leave today.
Stay & Play Sessions
Tuesday 25th June
14:00 - 15:00
Thursday 11th July
09:15 - 10:15
What does my child need for school?
• School Uniform
• PE Kit
• Forest Clothing
• SPARE Clothes – pants/socks/trousers/skirts
• Book Bag
• Named Water Bottle
Starting School - September
The first day of the new academic year is:
Monday 9th September 2024
Drop off – 8:40am/Collection – 3:10pm
(all children start full days)
KS1 Hall Doors
First Day
You are welcome to come into class with our child and help them find their locker and then say goodbye.
Second Day
Children will come into class independently.
Stay In Touch
• MyEd Messages
• Website
• School Newsletter
• Termly parent/carer meetings
• Workshops (stay & play, phonics, maths etc.)
Questions?
We will try our best to answer.
Stay & Play
Let's go and explore Acorn classroom and the outside learning area. | cb8f2b83-93f4-4d85-a42e-11b4f2bc4329 | CC-MAIN-2024-51 | https://www.chadsmeadacademy.co.uk/goto/30667?slug=reception_induction_-_september_2024 | 2024-12-14T00:28:49+00:00 | crawl-data/CC-MAIN-2024-51/segments/1733066119841.22/warc/CC-MAIN-20241213233207-20241214023207-00783.warc.gz | 625,356,316 | 3,403 | eng_Latn | eng_Latn | 0.950509 | eng_Latn | 0.997458 | [
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Funded by the Hong Kong Jockey Club Charities Trust, the JCABC Project is a 3-year long endeavour designed to complement the Hong Kong school curriculum to foster whole person development and lifewide learning in students from Keystage 2 (Primary 4-6).
**OBJECTIVE**
The Project focuses on a thematic, cross-curriculum project learning approach to nurture self-directed learning capabilities in students through the integration of
- fundamental subject knowledge based on Key Learning Areas,
- generic skills such as basic skills, thinking skills and personal and social skills
- and underpinned by a strong foundation of positive values and attitudes.
This student-centred creative partnership project aims to prepare young people for the challenges of the 21st century by developing their Creativity, Critical thinking, Communication, Collaboration skills for Contribution to social capital (“5Cs”), bringing about an increase in creative practices in schools through the training of teachers in collaboration with Creative Practitioners (CPs).
The Absolutely Fabulous Theatre Connection (AFTEC) is the award-winning creative learning charity behind the JCABC Project. Our work is recognised in Hong Kong and abroad as game-changing in using the arts for cross-disciplinary learning. We facilitate over 13,000 students annually from primary schools to tertiary institutions and offer stimulating interactive & creative teaching/learning solutions and approaches.
The JCABC Project is based around each participating school collaborating with JCABC Creative Practitioners to co-design and co-create a programme entirely unique and exclusive to each school.
**Primary 4-6 Key Learning Areas:**
- Arts
- Language
- Mathematics
- General Studies/ PSHE
**Creative Domains (2021-22)**
- Architecture
- Music: A capella/ Sound Art
- Theatre Arts 1: Set Design
- Theatre Arts 2: Props Design and Making
- Theatre Arts 3: Costumes Design and Making
- Visual Arts
---
**Creative Partnership: The Cross-Over**
The JCABC Project will:
- Enhance students’ creative thinking & be further motivated to be self starters
- via cross-curriculum learning through different art forms
- with blended Learning
- inspired by experienced Creative Practitioners
- co-designing & co-creating with teachers
- and free participation with $10,000 subsidy\(^1\) for per successful school
**INTENDED LEARNING OUTCOMES**
Students who:
- Enjoy creative freedom resulting in higher motivation
- Learn to explore without fear and to develop resilience and self-directed learning
- Develop in an environment that is tolerant of ambiguity, paradox and with diverse points of view
- Understand creativity is applicable in all disciplines within the school curriculum and in life for life-wide learning
- Higher order creative and multi-perspective thinking skills for whole person education
Teachers who:
- Gain a sense of risk taking and freedom in playing with different approaches to teaching
- Understand diversity and differentiation based on the individual needs and characteristics of their students
- Grow their confidence and capacity to teach for creative learning and act as facilitators
- Become deeper reflective practitioners
- Contribute to the overall creative culture in the school
---
\(^1\) $10,000 subsidy for project materials reimbursement upon (presentation of original) receipts. Purchase of materials to be duly agreed with school and AFTEC.
Creativity
“Creativity brings with it the ability to question, make connections, innovate, problem solve, communicate, collaborate and to reflect critically, the skills young people will need if they are to take responsibility for their own learning.”
Creative Partnerships
PROJECT COMPONENTS
A. Theme
Over the 3 years of the JCABC Project, each theme per annum has been conceived to be wide in breadth and deep in scope to accommodate different abilities and interpretations.
Year 1 2021-22 - Building
● From within in being introspective and understanding the internal space of the self, our individual characteristics and value systems
● From an external perspective in taking our physical surroundings into consideration
● Building bridges for relationships in all aspects of our lives or in stories / books
B. Key Learning Areas
Designed to complement and support the school curriculum, each JCABC Project school will then work with the Creative Practitioners to discuss and choose a Key Learning Area within the theme to investigate:
Arts, Chinese, English, General Studies/PSHE, Mathematics
C. Creative Domain
The JCABC Project is a rich and diverse platform that gives opportunities for multiple school subjects to develop in tandem with multiple creative art forms. This means that no two tangible outcomes will exactly replicate another school or be alike. School projects created will all be different as a result.
Schools also select an appropriate art form or creative domain to embody the theme, support and demonstrate the KLA from a multi-disciplinary perspective thus providing a skeleton framework but within a clear curriculum structure unique to each school.
There are multiple combinations to cross from one KLA into another and/or to a creative domain in the arts and other creative areas.
Possible creative domain for 2021-22 include:
As promulgated in the EDB’s Arts Education KLA (AEKLA) the JCABC Project approach focuses on experiential learning and enquiry-based teaching in which teachers co-design with CPs, co-construct with students through interactive learning. This is integrated learning in the arts or across to another creative domain.
D. The 5Cs
Given the tumultuous changes and enormous challenges facing our young people in the 21st century, our students need to develop cognitive and emotional resilience and to learn vital skills in and through the school curricula as encapsulated by the 5Cs.
While the first 4Cs are known to be crucial values, the final C of Contribution has been part and parcel of AFTEC’s civic consciousness for over a decade given our staunch belief in the civic role of the arts. As such the final product of each JCABC Project should be rooted firmly in the idea that some form of improvement and advancement to our community can be brought about.
PROJECT STRUCTURE
Programme 1: Training the Trainers
A. Train the Trainers Workshop (TT workshop)
Step-by-step interactive 7-day full day training participations are required of all teachers and creative practitioners (Blocks of 1-2 days between July 2-15). The workshops consist of:
- Introducing: 5Cs, tools, skills and strategies for creative teaching
- Exploring: the work and mindset of Teachers & Creative Practitioners
- Understanding: Building theme
- Starting: co-design and co-create school projects
- Presenting: project outlines
- Value-added: Opening Creative Conversations by 2 local experts
- Learning Management System
- Administration and logistics
B. Refresher Workshop
2 sessions of Refresher workshop for trainers to refresh knowledge from TT workshop and moving theory into practices on dealing with issues in class, questions asking and sharing challenges and problems.
C. Professional Sharing
Teachers present creative learning journeys and insights to another school outside of the selected 10. Templates can be provided to facilitate presentations.
Programme 2: Creative Projects in Schools
Ten schools will be selected per year to participate in the JCABC Project in which creative projects will be created by students facilitated by teachers and Creative Practitioners. The Project consists of 4 components -
A. Creative Projects
Through 30 hours of the JCABC Project, each school of 2 classes will produce diverse projects based on the pre-determined annual theme and KLAs.
Deliverables should diversified and could take the form of the following examples:
- 2D Portfolio
- Performance
- 3D structures
- Stories
- Exhibition
- Anything imaginative
Hypothetical Creative Projects (for reference only)
| | School 1 | School 2 | School 3 | School 4 |
|----------------------|---------------------------|---------------------------|---------------------------|---------------------------|
| Arts Subject & Teacher 1 | Visual Arts | Music | Visual Arts | Visual Arts |
| Other Subject & Teacher 2 | Mathematics | Language | General Studies | Language |
| Creative Domain | Costume Design and Making | Sound Art | Props Design and Making | Architecture |
| Theme Interpretation | Creating costumes | Constructing my internal & music | Observe and reflect daily life | Urban redesign & structures |
| 5th C for Contribution | Exhibition in an elderly centre | Performance at a park for community | Stories reenacted at WWF (Worldwide Fund for Nature) | Portfolios presented to an NGO/ advisory committee |
B. Cultural Outings
Pandemic permitting, each school will undertake a total of two outings per year for out of classroom life-wide experiences. These outings will be to public performances and/or exhibitions at professional venues in Hong Kong. One outing will be to Tai Kwun in Central\(^2\). Schools shall each select the second outing of their choice based on the following criteria and within the academic year:
- Relevance to the year’s theme and/or KLA and/or selected art form
- With content of sufficient depth for discussion back in schools
- Discussed between teachers and CPs
C. Blended Learning - Online Platform
A Learning Management System or LMS will be created to meet various needs, both administrative and creative learning for trainers & students. In the event of school closures, classes can continue on the LMS with an online selection of materials for self-directed learning.
D. In-school Year-end Showcase
School-based presentations of all work in May of each year open to other classes, parents and educators.
Programme 3: Knowledge Exchange
A. Knowledge Exchange
In addition to the year-end showcase, an important objective at the conclusion of the year is for participating JCABC schools to present their project outcomes and share their experiences in a Knowledge Exchange with other schools, local and overseas experts. This will both instill a practice of inter-school exchange of progress and challenges in creative teaching & learning. Students are invited to be on panels during the discussion.
The JCABC Project aims to provide a platform for creative teaching and learning dialogues and exchange by and between schools, CPs, plus invited local & overseas experts. This will take the form of:
- 1-2 weekday attendance for schools
- Panel discussion: teachers, students & creative practitioners
- Project displays/presentations
- Overseas experts keynotes and presentations on school projects
\(^2\) Schools need to organise and pay for their own transportation
B. Creative Schools Arts Awards (Optional)
To recognise the completion of a full year of the JCABC Project, schools who wish to continue for another year will need to meet a set of criteria to be announced at a later date. Schools can apply for two levels of awards of which a list of criteria to be met demonstrating an initial and subsequent higher level of creative achievement in projects schools choose to submit.
Explore (Level 1) will launch in 2022 or Year 2
Engage (Level 2 - will launch in 2023 or Year 3 as an extension of previous years
In addition, there will be special category awards designed to celebrate exemplary work which may include:
Teacher/CP team: 3 awards per category
- Outstanding Creative Learning Curriculum Integration
- Outstanding Creative Learning Processes
- Outstanding Creative Partnerships
Students: 3 awards per category
- Best Single Idea
- Best Thinkers
- Greatest Fun Project
Participating classes send in their portfolios detailing creative projects achieved in the year of application and a moderation team reviews applications for adjudication purpose.
SCHOOL SELECTION PROCESS
A maximum of 10 schools per annum will be selected to take part in the JCABC Project. Schools awarded the Creative Arts Award are able to continue into Year 2.
Selection Criteria
- Schools’ current arts and/or creative practices
- Rationale for interest in the project
- Gap indicators and needs
- School readiness
- Principal’s endorsement & teachers’ enthusiasm
- Subjects & art form choice and reasons
FACTUAL INFORMATION
School Sign-up: 1-3 years (Sept 2021 - Aug 2024)
Target Beneficiaries: Mainstream local schools -- Teachers & P4-6 Students
Quota: 10 schools per year
Medium of Instruction: Chinese generally
Project Online Application (First round): 14-28 April 2021
Key Details at a Glance: Year 1 Project (Sept 2021 - July 2022)
- **Theme:** Building 「建」
- **Format:** Blended learning (online during school suspension)
- **2 classes per school during school hours** (e.g. Multi-intelligences activity, Life-wide learning sessions)
- **No of students:** 30 per classes x 2 classes
- **Suggested hours for Creative Project:** 30 hours per class (20 lessons each x 1.5 hrs is recommended)
- **2 Cultural outings**
- **Co-create & co-designed by**
- 1 creative practitioner
- 1 teacher in 1 subject (Chinese/English/ Mathematics/ General Studies) of school’s choice (Panel Head from either)
- 1 teacher in 1 subject (Arts Education) of school’s choice (Panel Head from either)
- **Creative domain offered:** Architecture, Theatre (Set/Props/Costume), Music (a capella & Sound Art) & Visual Arts
- **Cross-curriculum Choice:** Language (Chinese/English), Mathematics, General Studies/PSHE
- **Roles & Responsibilities**
**School Teachers**
- Teachers and creative practitioners co-create and co-design on curriculum development and execution
- Utilise sessions for lesson preparation (備課節) to devise lesson plans with creative practitioners and prepare course materials
- Arrange sufficient space for Creative Project and storage area in school
- Facilitate Classroom & Cultural outings arrangement and management
- Professional sharing of JCABC with a non-participating school x 1
- Participate in JCABC project evaluation & assessment
- The Principal/Vice-Principal and the PSMCD/Panel Heads to attend the “Creative Conversations” in Train the trainers and Knowledge Exchange
**AFTEC**
- Shape the project by development, creation and implementation of curriculum integration and framework
- Fully supports innovation and the development of long-term partnerships between schools and Creative Practitioners by evaluating and refining the intended learning outcomes
- Partner with Lead Creative Practitioners for support to teachers and Creative Practitioners
- Devise tools and strategy with connection on international and local networks for professional training
- Set goals and closely monitoring progress together with Impact Study planning with researchers
- Provide administrative and logistical support
- Disbursement of school subsidy
## Key Dates
| Date | Event |
|-----------------------|----------------------------------------------------------------------|
| 9 & 14 April, 2021 | Introductory Session |
| 14 - 28 April, 2021 | Online Application: including choice of subjects & art form |
| 3 - 14 May, 2021 | Online Interviews with schools (30 mins) |
| 21 May, 2021 | Announcement of result |
| July 2021 | Train the Trainers |
| Sep 2021 - May 2022 | School Creative Projects commence |
| Sep 2021 | Parents workshop 1 (open to all parents from participating schools) |
| Dec 2021 | Refresher workshop 1 |
| Oct 2021 - Apr 2022 | Cultural Days x 2 in total |
| Feb 2022 | Parents workshop 2 (open to all parents from participating schools) |
| Mar - May 2022 | Professional sharing x 1 within academic year |
| Apr 2022 | Refresher workshop 2 |
| May 2022 | In-school Year-end Showcase |
| May 2022 | Knowledge Exchange |
| Application: Apr - Jul 2022 | Creative Arts Award (Optional) |
Project Advisory Committee
- Mr Husain Al-Khazuie
Teacher (Science & Media Technology), The Harbour School
- Dr Vivian Mo Yin Cheng
Assistant Professor, Department of Science & Environmental Studies in The Education University of Hong Kong
- Ms Ada Wai Ching Cheung
Veteran Educator and Education Consultant of St Bonaventure Catholic Primary School
- Dr Susan Yun Sun Fan, BBS, JP
Honorary Clinical Associate Professor in The University of Hong Kong, Executive Director of The Family Planning Association of Hong Kong (1995 - 2021)
- Mr Anthony James Hung
Solicitor, and Co-chairman of The Absolutely Fabulous Theatre Connection
- Professor Chi Pang Lau, BBS, JP
Associate Vice President (Academic Affairs and External Relations) of Lingnan University, and Professor of the Department of History
- Dr Eugenie Leung
Registered clinical psychologist in Hong Kong and the United Kingdom, Director of Counselling and Person Enrichment and Dean of Student Affairs in The University of Hong Kong (2006 - 2020)
- Mr Kam Chiu Leung
Honorary School Development Officer of the Quality School Improvement Project in The Chinese University of Hong Kong, and former Vice Principal of Shun Lee Catholic Secondary School
- Professor Johnny M Poon
Associate Vice-President (Interdisciplinary Research) and Head of Department of Music in Hong Kong Baptist University, Dr. Hung Hin Shiu Endowed Professor in Music | 763e499b-30ff-4e0c-a20b-2ef525ec10b4 | CC-MAIN-2024-10 | https://www.aftec.hk/archives/www.aftec.hk/ArtsBasedCrossCurriculum/files/eng.pdf | 2024-02-29T15:04:51+00:00 | crawl-data/CC-MAIN-2024-10/segments/1707947474843.87/warc/CC-MAIN-20240229134901-20240229164901-00537.warc.gz | 612,638,986 | 3,614 | eng_Latn | eng_Latn | 0.952357 | eng_Latn | 0.989596 | [
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North Dakota School for the Deaf
Chronological History
The Early Years (1890-1895)
Historical information Compiled by Lilia Bakken Summer, 2009
North Dakota School for the Deaf
The First Five Years
(Anson R. Spear, Superintendent)
1890-1895
Preface: Chronicled within this document are some of the events that took place during the first five years of the establishment of the North Dakota School for the Deaf. The historical information was obtained from the following documents: written minutes of early meetings (1890-1895) of the Board of Trustees, first biennial reports written to the Governor of North Dakota (1890-1895) and from early issues of the Banner, 1890-1895 (Volumes 1–5). The Banner is the name of the school newspaper that was printed weekly (and then later bi-weekly) by the editor/teacher and his deaf pupils (mostly boys) in print class. Reading through the chronological order of events recorded within these old documents provides a connection to the past and an appreciation for the people who dedicated themselves to the children. Many challenges were encountered and heartbreak endured as the school struggled to take hold. The few hardy individuals who worked so hard to establish the state’s School for the Deaf are remembered with admiration and gratitude. They accomplished a lot during those first five years and their diligence and ultimate success have become an integral part of North Dakota’s Deaf culture and history.
Note: The biennial reports are retained in the archives at the North Dakota School for the Deaf. Issues of early Banners are retained in the Heritage Center at the North Dakota School for the Deaf. Original ledgers for the minutes of the meetings for the Board of Trustees are retained at the North Dakota Archive Library in Bismarck.
1880 – Dakota Territorial School for the Deaf was established. Prior to the division of Dakota Territory into two separate states and their admission into the Union, deaf children who lived in Dakota Territory attended the Dakota Territorial School for the Deaf. The school was situated in Sioux Falls, located in the extreme southern part of Dakota Territory. Due to poor roads, great distances, meager railroads and financial inability, only few deaf children living in the Dakota Territory were able to attend the Dakota Territorial School for the Deaf.
1883 – A small town named Creelsburg, situated on the shores of Devils Lake, was incorporated as an official city in Dakota Territory. In 1884 the town was renamed Devils Lake.
February 22, 1889 - Members of Congress drafted the Enabling Act of the United States of America because they foresaw the necessity of developing schools in the growing Union. Congress wrote a provision into the Enabling Act. It stated that when Dakota Territory was divided and the two states admitted into the Union, the states would be required to provide education for deaf and handicapped children. South Dakota already had a school for the deaf located in Sioux Falls however the newly formed North Dakota needed to establish its own school. The federal government purchased 40,000 acres of land and donated the land to the state of North Dakota. The constitution framed for North Dakota provided the manner in which the land should be sold and the disposition of the funds arising there from. The land should not be
sold for less than ten dollars per acre, and the money received from such sale to be held in trust for the use of the school, the interest only to be used, and the principal never to be decreased.
In September, 1889, Mr. Anson R. Spear, a deaf man from Minneapolis visited northern Dakota Territory (Devils Lake). He had long taken an interest in the deaf of Dakota Territory and was informed of a plan to establish a school for the deaf for those living in the north as soon as North Dakota was admitted into the union. State legislators enticed Mr. Spear to come to Devils Lake and promised him their aid in securing the enactment of the necessary laws by which a school for the deaf could be established. Spear’s political sponsors included Ramsey County Republican Senator Doctor William E. Swanston, and Representative James McCormick.
November 2, 1889 - Dakota Territory was split and the newly established states of North Dakota and South Dakota were admitted into the Union. On November 19, 1889, shortly after statehood, the legislature met in Bismarck. Senate bill number thirty-one, calling for the immediate establishment of the school for the deaf in Devils Lake, was introduced by local legislators. Senator Swanston introduced the bill in the senate and Representatives McCormick and Currier, in the house. On March 15, 1890, the bill to establish the school passed both houses (over the veto of the Governor). It carried an appropriation of $5,000 for the maintenance of the school for one year. The law took effect the following July, 1890.
May 13, 1890 – entry from the minutes of the meeting to establish a Board of Trustees for the School for the Deaf
The following persons shall compose the Board of Trustees for the Deaf and Dumb School. Governor John Miller, W.J. Blapp, ex officio, Superintendent of Public Instruction, Dr. H.H. Ruger, T.T. Lee and H.R. Diekieson. The following officers were elected: Dr. H.H. Ruger, President, H.R. Diekieson, Secretary, and T.T. Lee, Treasurer
July 1, 1890 - Minutes of the first meeting from Board of Trustees
Devils Lake, North Dakota. The Board of Trustees met and, at a conference with the City Council of Devils Lake, agreed to accept the vacant former Bank Building as a School Building situated on the corner of 3rd Avenue and 5th Street. The building to be put in suitable condition by the city council for the occupying of the school for the deaf and dumb free of rent and without any expense to the state of North Dakota for a period of two years. The appointment of the Superintendent was then considered and on motion by H.R. Diekieson, Mr. A.R. Spear was chosen as the Superintendent for the school – his services required on the first day of August, 1890. Board then adjourned the meeting at the call of the Secretary. H.R. Diekieson, Secretary
Fall, 1892 – Following is portion of an article written by A.R. Spear and submitted (in 1893) for entry into a soon-to-be-published book at that time entitled *Histories of American Schools for the Deaf* by Edward Allen Fay. Spear’s article regarding North Dakota’s school: “Prior to the division of the Territory into two States and their admission into the Union, the deaf children of that part of the Territory now North Dakota were sent to the School for the Deaf at Sioux Falls, in the extreme southern part of now State of South Dakota. With the beginning of statehood came the necessity of establishing within her own borders a school for the education and instruction of the deaf in North Dakota. This necessity was foreseen by the framers of the enabling act, for that act made the magnificent grant of 40,000 acres of land to the future School for the Deaf to be established. In this recognition of the rights of the deaf and splendid provision for their education by the National Government, we have a most pleasing contrast to the difficulties and discouragements attending the establishment of the first school for the deaf in this country. No one, especially no deaf man, can reflect upon this great change in sentiment towards the deaf without profound gratitude and respect for those noble-hearted men who have labored so earnestly to bring about improved educational conditions. The National Government having thus made a grant of and to the School for the Deaf, it became the duty of the State government to make the necessary provisions for the establishment of the School. Accordingly, the constitutional convention which met in the city of Bismarck, July 4, 1889, for the purpose of framing a constitution for the new State, located at the city of Devils Lake a School for the Deaf, and accepted the land granted thereto by the National Government. The constitution framed by the convention also provided the manner in which the land should be sold and the disposition of the funds arising there-from. The land should not be sold for less than ten dollars per acre and the money received from such sales to be held in trust for the use of the School, the interest only to be used, the principal never to be decreased. This the new School, even before its establishment, had in prospect an endowment that would in time, render it nearly self-supporting. Up to this time, all was easy, but now the difficulties began—the work of securing the passage of a bill by the legislature establishing the School and making appropriation for it support. This was no light task. It must be kept in mind that North Dakota had but just been admitted to the Union as a State. The expenses of putting an operation the State government was heavy. There was but a limited amount of money in the treasury. No statistics of the deaf in the State could be had but it was popularly supposed there were not more than help a dozen such children, if so many, in the whole State. It is not to be wondered at, then, that many members of the legislature opposed the establishment of a school for the deaf on the ground that there was no need for one. Prior to this time, in September, 1889, Mr. A. R. Spear, of Minneapolis, who had long taken interest in the deaf of Dakota and who was fully informed of what had been done, visited the city of Devils Lake for the purpose of interesting the citizens in the early establishment of the School, which the constitution had located there. He was welcomed by the people and leading men promised their aid in securing the enactment of the necessary laws by the legislature, soon to meet. The city of Devils Lake further agreed to furnish, free of charge for two years, the necessary building in which to pen the School. The legislature met at Bismarck November 19, 1889, and shortly thereafter Mr. Spear went to Bismarck, taking with him the bill which he had drawn up for the establishment of the School. The bill was introduced in the senate by the Honorable W. E. Swanston, and this gentleman was untiring in his efforts to secure its passage. In the house, the bill was in the hands of Honorables Jas. McCormick and C.A. Currier, and these gentlemen worked diligently and with success for its passage. Mr. Spear remained at Bismarck during the time the bill was before the legislature and by his presence did much for the success of the
measure. The bill finally passed both houses, only to be vetoed by Governor John Miller. It now seemed lost, for it would be almost impossible to muster the necessary support to pass it over the governor’s veto. But the originators of the bill did not give up, but set to work once more to secure its enactment. After a hard fight, the bill again passed the senate, on March 15, 1890, and on the last day of the session, March 18, 1890, it passed in the house and became a law, the “objections of the governor to the contrary notwithstanding.” The bill carried an appropriation of $5,000 for the maintenance of the School for one year. The law took effect July 1 following, and the first board of trustees consisted of the governor of the State, Hone John Miller, and the State superintendent of Public Instruction Honorable W.J. Clapp, *ex officio*, and Dr. H.H. Ruger, Mr. H.R. Dickieson, and Mr. T.F. Lee. At the second meeting of the Board of Trustees, Mr. A. R. Spear was appointed superintendent, and on August 1, 1890, he took charge and superintended the preparations for getting the School in readiness to receive pupils. Mrs. A. R. Spear was appointed matron of the School by the trustees at the same time Mr. Spear was appointed superintendent. The necessary arrangements had been made by the appointed time for opening the School, September 10th, and on that day one solitary, forlorn-looking, but bright deaf girl arrived. Each week saw additional arrivals, and soon the number had increased to twenty-three pupils. This was far more than had been expected for the first year. By the end of March, it became necessary to employ a teacher to assist the superintendent, and Miss Clara M. Halvorson was engaged. The school is now in its third year; it has passed the doubtful stage, has accumulated valuable property, and has before it a career of constantly increasing usefulness. It has the support and confidence of the people and of those who at first doubted its necessity.”
**August 6, 1890 - Minutes from the Board of Trustees meeting to establish rules of the school**
The Board of Trustees for the School for the Deaf met on August 6, 1890. Present, H.H. Ruger, Governor John Miller, W.J. Blapp, Superintendent of Public Instruction, T.T. Lee and H. R. Diekieson. Minutes of the last meeting were read and approved. The matter of matron was then considered for the school and on motion of Governor John Miller, Mrs. A.R. Spear was chosen at a salary of $200 per annum – her services to begin on the first of September, 1890. The following rules for admission of pupils were then adopted:
Applicants should not be under age six or over twenty-five years of age. The beginning of the term is the proper time for the admission of pupils. The term begins the second Wednesday of September and closes the second Wednesday in June. All the students will be required to labor a portion of each day. The girls in performing the light kinds of house work and various kinds of needle work, plain sewing, ornamental hand work, dress making or millinery. The boys to work at various trades that are necessary work about the school and the cultivation of the farm and garden (as soon as necessary grounds and shops will be provided by the state.) Pupils from North Dakota are admitted to all the privileges of the school free of charge being provided with board, washing, tuition, books and everything necessary except clothing and traveling expenses. For case of extreme poverty, assistance may be rendered in the purchasing of clothing while at school upon further certification of the fact upon a blank form furnished by the Superintendent upon application – the sum to be charged to the county of which the pupil is a resident. Each student should come provided with sufficient clothing to last one year or with money to procure it. He should also have a trunk with a good lock and key and large enough to contain all his clothing – each article of which should be distinctly marked with his name.
In addition to the above outfit, a small sum of money should be deposited, say not less than five dollars to meet incidental expenses such as repair of shoes, postage, etc. any part of which remaining on hand at the close of the session will be returned. Except in cases of severe sickness, all pupils are expected to remain at the school from the beginning to the close of each session at which time parents or friends shall be prepared to take them home for summer vacation.
Pupils may be suspended and returned to their homes by the Superintendent when in his judgment it is necessary to maintain discipline or promote the health of the school.
If money is sent directly to the Superintendent for use of pupil, stating for whom and for what purpose the same will be acknowledged by him. Relatives or friends of pupils attending the school cannot be entertained over night. The pupils are required to write letters home once a month and may write oftener if desired. Letters shall be written for those who are unable to write for themselves. Any neglect of pupils to write or any misunderstanding or complaints of pupils concerning their schooling or treatment should be made known at once to the Superintendent.
Parents, in furnishing their children with spending money, are requested to deposit it with the Superintendent. The Superintendent cannot be responsible for money sent directly to students. Express packages or money to the amount of fifty-cents and upwards, when sent to the Superintendent, will be daily acknowledged by mail. All letters or packages sent to the members of the school should contain words “School for the Deaf of North Dakota” as the address in order to secure proper delivery. Express (postage) should always be paid.
The Superintendent is not responsible for the safety of pupils traveling to and from school and in case of truancy. A reasonable amount of assistance in care of the pupils however, will be cheerfully rendered by the officers in the school.
The parents and guardians of the pupils will please bear in mind that there is no vacation or recess of the school during holidays hence they should not expect their children home or encourage them during the school year. The use of tobacco in any form by the pupils is strictly forbidden hence parents should see that good habits are formed while at home.
Parents, relatives and friends of the pupils should learn the manual alphabet and encourage the pupils when at home during the summers and encourage the children to associate with hearing children. By so doing the pupils may learn much and their progress at school reinforced at home.
The Board moved that the term of school shall commence on the second Wednesday of September and close the second Wednesday in June - carried. Moved that school’s bond be fixed at Five Thousand Dollars – carried. The Board moved that H.H. Ruger be the purchaser of supplies and A.R. Spear be the accountant officer – carried. The Board moved that Dr. H.H. Ruger, T.T. Lee and H.R. Diekieson be the executive committee to purchase the furniture and necessary articles for the furnishing of the School building suitable for the occupancy of scholars
carried. It was moved and carried that the executive committee in making purchases should buy at such places where, in their judgment, they can do best for conserving the finances of the state. Adjourned meeting at 8:10. H.R. Diekieson, Secretary
August 1, 1890, Anson R. Spear, a graduate of the Minnesota School for the Deaf and part-time student at Gallaudet College began the task of establishing a school for the deaf children of North Dakota. The opening of the school was made possible by the citizens of Devils Lake who furnished free, for a period of two years, an old large-frame vacant building (former bank building) which enabled Mr. Spear to begin the work of organizing the school. The teachers and pupils found a home in this building during the first three years of the school’s existence. It was not much to boast of in the way of a building, but it served its purpose.
September 10, 1890, the school opened its doors for the reception of pupils. That morning, one lone little girl named May, the daughter of the Honorable W.G. Newton, put in an appearance. By day’s end, four pupils had enrolled. Before the first year was over the enrollment had reached twenty-three pupils. In January, 1891, an appropriation of $10,000 was made for a building a new school and an additional $16,500 to support the operation of the school for two years. After obtaining the appropriation, the next question to be settled was a site for the new school. Several sites were considered but were all turned down except the one offered free by the Great Northern Railroad. This site consisted of eighteen acres of land about a mile north of the city. The only recommendation for this site was the fact that it was free - this consideration was one not to be overlooked for dollars were dollars and the appropriation made for the buildings was so small that every turn had to be made that would save money. So the donation was accepted and work was begun on the new school building. It was designed by Mr. Olof Hanson, a rising deaf architect from Minneapolis. Mr. Hanson was a graduate of the Minnesota School for the Deaf and Gallaudet College. In the fall of 1893 the main part and one wing of the new school was finished in so far as the funds would allow. At that time, the school was moved from the old frame building in town and out to its new quarters north of the city.
The following is an account of the first three years of the school’s existence inside the city (1890-1893) and also the first two years in the newly erected school (1893-1895) north of the city of Devils Lake. All five years were under the direction of Superintendent A.R. Spear.
The 1890 biennial report from the Board of Trustees to the Governor of North Dakota appears first. The report provided the Governor with an overview of the first two months (September and October, 1890) of the school’s existence. Within their report, the trustees included information of the school’s educational program and daily function provided by Mr. Spear. The Superintendent summarized, more specifically, the events that took place during the first two months of the school’s opening. Following the biennial report of 1890, in chronological order, are some of the day-to-day events that occurred in and around the school.
Report to the Governor of North Dakota from the Board of Trustees of the School for the Deaf. The following report covers the two-month period of the school’s establishment from September 10, 1890 to October 31, 1890
To the Honorable John Miller, Governor of the State of North Dakota
Sir: in accordance with law, the Board of Trustees of the North Dakota School for the Deaf respectfully submit their report covering the period from the opening of the school on September 10 to the close of the fiscal year ending October 31, 1890.
The officers of the school are Mr. Anson R. Spear, Superintendent and Mrs. A.R. Spear, Matron. There are, at present time fifteen pupils in the school and we have every reason to believe the number will be increased considerably before the close of the term. Twenty-two have applied for admission and quite a number are known to us who have not yet made application. We think there cannot be less than thirty-five to forty children and youth at the present time who are entitled to admission.
The health, discipline and general care of the scholars is excellent and considering the brief time the school has been in operation, the progress made and general efficiency is all that we could desire. The children are happy, contented and obedient and show a willingness to learn and make the most of the opportunity offered them.
We consider the building occupied at this time entirely inadequate for the needs of the school. It has been donated by the city for use until September 1, 1892. The facts show that the number of deaf children increases from year to year and this, taken with the information already in our possession as to the number of deaf in the state, justifies the belief that not less than forty will be knocking at our doors for admission inside of two years. The necessity of providing larger and better accommodations, therefore, becomes imperative.
The number of pupils is on the increase and before a permanent home can be provided for them our present quarters will be pressed to their fullest capacity. Teachers and other help must be secured, proper school-room appliances purchased, and the school put on a basis that will enable us to carry on the work so well begun, commensurate with the growth that we may expect.
Industrial training forms a most important part of our education and until some provision is made in this direction the state will not be doing its full duty to these children. Industrial training is needed. Of course, this work cannot be begun in our present school quarters. Furthermore, located as we are, in the center of the city, the school is subject to many little disturbing influences that have a decided tendency to hinder the work. Then, too, at the end of another year, a very considerable rent will accrue should the present building be retained. This, in our judgment, is neither for the best interests of the state nor the deaf children for whom we are to provide.
The board, therefore, having nothing in mind but the best interests of the state and the children, most earnestly recommend an appropriation for the purpose of purchasing a site of not less than 160 acres of land and erecting thereon a school and shop buildings large enough for our needs for some years to come. This appropriation should be made available in such manner that the work on the buildings may be begun and pushed to completion as early as possible.
In making this recommendation we feel that we are consulting the best interests of the children as well as the state and are guided by a desire to provide sufficiently for the former with the
greatest possible economy to the latter. This estimate is not made with comfortable margin to be cut down – it is a statement of the money actually necessary.
The appropriation for current expenses for the ensuing two years must by necessity be largely increased over the last appropriation. Five thousand dollars, while sufficient to begin the work, is not enough to push it with the vigor and earnestness that its importance demands. To meet these demands, the Board recommends an appropriation of $25,000 for the two succeeding years ending March 31, 1892. This is a very considerable increase of the last appropriation of $5000 but if the state is to educate these children, and do them justice, $25,000 will be needed.
The Superintendent’s report is submitted as a part of this report. We beg to call your earnest attention to it. Mr. Spear has taken hold of the work and pushed it with earnestness and success. Everything about the school under his charge speaks of good management. Nothing is left undone that might contribute to the general good for the school.
We also present the Board’s and Superintendent’s report to the State Superintendent of Public Instruction. This report respectfully submitted by the Board of Trustees: H.H. Ruger, President, H.R. Dickieson, Secretary, T.T. Lee, Treasurer
September 10, 1890 to October 31, 1890 - Superintendent Spear’s Report to the Board of Trustees (Spear’s report was attached to the Trustees biennial report which was sent Governor Miller.)
To the Board of Trustees of the School for the Deaf of North Dakota:
Gentlemen: Pursuant to law, I have the honor and pleasure of handing you herewith my first annual report of this school, covering the period at which I began my duties on August 1, 1890, up to October 31, 1890. Were not this report required of me by law, I should still deem it my duty to lay before you for your consideration, a statement of the condition of the school.
I am pleased to invite your closest investigation. I feel confident that the work of educating deaf children, which our young State has thus early begun, cannot but impress you most favorably. That North Dakota should have established this institution in the beginning of her career as a State shows a knowledge and appreciation of the work we are doing not often met within young states. I believe a better understanding of the work and of the deaf will lead to a keener appreciation and, guarantee to us, a careful and favorable consideration of our best interests on the part of the State. The happy, intelligent faces of the pupils, in whose minds the light of knowledge is just beginning to shine; the willingness to learn and ready obedience, are an argument in favor of the continuance of the work thus happily begun. Watching the pupils in happy pursuit is more powerful and convincing than any words of mine can be.
Attendance
The school opened Wednesday, September 10, with four pupils. This number has since increased to fifteen. Of these, nine are males and six females. The number of males always exceeds the females, a fact that should not be lost sight of in constructing buildings for the use of the School.
Of this number, ten were formerly in attendance at the school for the deaf in South Dakota, varying in point of time from six months to six terms. The other five are new pupils, pupils who have not attended school until entering here.
The following tables show names, ages, post office address, causes of deafness and nationality of the pupils.
1890 List of pupils to first enroll in School for the Deaf
| Name | Age | Post Office |
|--------------------|------|---------------|
| Anderson, Christopher | 6 | Willow City |
| Bill, Thomas | 19 | Bathgate |
| Gilman, Charles M. | 20 | Fargo |
| Gorseth, Annie | 15 | Belleville |
| Gerkey, Melica | 11 | Grand Forks |
| Hagen, Hendrick | 22 | Horace |
| Larson, Lorents | 14 | Reynolds |
| Lageson, Louis | 19 | Thompson |
| McMurchy, Murdoch | 9 | Harwood |
| Masters, Etha | 19 | Gilby |
| Newton, Mable | 10 | Mapleton |
| Olson, Bennett | 24 | Carrington |
| Odegard, Ida | 18 | Bae |
| Peterson, Peter | 16 | Hastings |
| Wojejk, Julia | 27 | Jamestown |
FIRST NORTH DAKOTA SCHOOL FOR THE DEAF
In the picture, left to right—Thomas Bill, Henry Hagen, Lorentz Larson, Selfred Boissert, Peder Heen, Peter Peterson, Louis Lageson, Bennett A. Olson, Murdoch McMurchy, Willie Messner, Herman Schroeder, Morris Gilmer, Charles Anderson, Superintendent A. R. Spear, Etha Masters, Annie Rure, Miss Clara Halverson, Teacher, Carrie Lemke, Milley Gerke, Annie Gorseth, Julia Wojejk, Hazel Spear, Maude Iverson, Rosella Wagar, Ida Odegard, May Newton, Bessie Spear, Rose Slaughter, and Mrs. A. R. Spear, Matron.
Cause of Deafness
| Cause | Number |
|------------------------------|--------|
| Spinal Fever | 3 |
| Teething | 2 |
| Measles | 1 |
| Whooping cough | 1 |
| Application of ice | 1 |
| Brain fever | 1 |
| Rheumatism | 1 |
| Sickness | 1 |
| Unknown | 3 |
| Born deaf | 1 |
The ages at which deafness occurred are as follows;
| Age | Number |
|------------------------------|--------|
| Deaf at 6 years | 1 |
| Deaf at 4 years | 3 |
| Deaf at 3 years | 1 |
| Deaf at 2 years | 1 |
| Deaf at 9 months | 1 |
| Deaf at 6 months | 3 |
| Deaf at 3 months | 1 |
| Born deaf | 1 |
| Unknown | 3 |
Nationality
| Nationality | Number |
|-----------------|--------|
| Norway | 8 |
| American | 3 |
| Scotch | 1 |
| German | 2 |
| Canadian | 1 |
Health
I am glad to be able to report that the health of the pupils has been excellent. No indications of sickness have appeared in our little family, and I trust a Divine Providence may continue to grant us this great blessing.
The Pupils
The social life of the pupils has been most happy. The obedience and willingness has been marked and is a source of much pleasure to me. Pleasant games are indulged in and the pupils have developed a brotherly and sisterly regard for one another. I may properly remark that the matron has won their affections and that they regard her almost as a mother.
The habit of reading is greatly to be desired in the pupils affording them a source of profit and pleasure, contributing to the efficiency of the School and rendering their social life happy and pleasant. As a stimulus in this direction, a small library of books suited to their understanding would prove admirable and I would recommend a small appropriation for this purpose.
**Work in the School Room**
The School has been in operation but two months, and owing to the previous attainments of the pupils, and the irregularity of the mission, I have been unable to divide them into classes as of yet. I have however, so far as possible, classified the pupils and assigned them such studies as I deem them fitted to grapple with. The books so far used include the books; “Miss Sweet’s Asylum Series,” Harper’s Second Reader, Elementary Geography, Milnes’ Elementary Arithmetic, Penmanship and Drawing. For religious and Bible instruction on the Sabbath, “First Steps for Little Feet,” is used.
The great end to be attained in the education of the deaf, and to which all studies should be made to contribute, is a mastery of the English language. This is the problem that has occupied minds of the ablest educators of the deaf for more than half a century and which today is far indeed from solution.
There are those who maintain that this end can be best attained by the oral method, while others equally learned affirm the contrary – that signs and the hand alphabet are the only proper medium. I believe, however, that the majority favor the latter method, with an introduction of the oral method in cases where it is found that it can be used to advantage. This is termed “combined method.” I favor this method, and believe it the best yet devised. Speaking as one totally deaf from early boyhood, I put a far lower estimate on the value of speech to the deaf then the ability to understand and freely use the English language. No time should be wasted in teaching a child to speak if the time can be used to better advantage in teaching him to correctly express his thoughts in the English language.
**Employment of the Pupils**
In the absence of suitable shops for teaching trades, the pupils have been employed, out of school hours, at various work assignments about the school. Each one is assigned some duty and expected to perform it. The girls, under the direction of the matron, do the necessary housework, and are also given instruction in plain needle work. They have made a number of articles of wearing apparel for some of the pupils who came insufficiently supplied, and have done other sewing for the school. As the number of pupils increases, it becomes evident that the work about the school will not be sufficient to keep all of them busy and an undue amount of idleness is demoralizing. The subject of trades becomes of the highest importance; not only as offering a remedy for this but also giving them the direct means of attaining a living after school.
**Manual Training**
The importance of this subject cannot be overestimated, and for a consideration of it, I beg to refer you to my report to the State Superintendent which is appended hereto.
Our Needs
Aside from the appropriation necessary for current expenses for the coming two years, an increase sufficient to provide for at least two teachers and two assistants will be necessary. The deaf require more attention than hearing children, and it is impossible for a teacher to handle a large class and do the pupils justice - the smaller the class, the better the results. Experience has proved this. It is the economy, in the truest sense of the word, to provide the School with enough teachers to bring about the best results. We also need certain school room appliances such as are found in every well regulated school of this character.
The Uneducated Deaf in the State
While fifteen are now in school, twenty-two have made application for admission and I expect about twenty will be in attendance before the term closes. It is greatly to be regretted that parents do not sufficiently realize the importance of sending their children to school promptly at the opening of the term.
Besides the twenty-two who have applied for admission, I have information of others who have not applied, but whom I believe to be entitled to the privileges of the School. In some cases they appear to be kept home through sheer ignorance or cupidity on the part of the parents. Parents who neglect to send their children to school do them a grave injustice. At the present time I believe there are not less than thirty-five or forty children in the state who should be in school.
Buildings The building now occupied is furnished by the City of Devils Lake free of charge for the term of two years. While it affords very good accommodations for the present, it is evident that it will not answer the purpose for any considerable time. At the end of two years it will not be large enough to accommodate the number of deaf children in the State. Then, too, as the number increases and classes are formed, it will be necessary to assign them to different classrooms or the work will be seriously hindered. Moreover, a more complete separation of the sexes will be necessary to promote proper discipline and training than is possible in our present quarters. Also, the School, being located in the city, is subject to disturbing influences from outside. For these reasons and for others that will occur to you, I beg to suggest the advisability of asking the next Legislature for an appropriation.
sufficient to put up and complete a new school building within a stated period to cost not more than $30,000 to $35,000.
In considering school buildings for the deaf, the idea to be kept in mind is utility as well as economy. Expensive styles of architecture are to be avoided and unnecessary decorations should be left off. The structure should be so built as to promote the health, discipline, training, and in every way contribute to the efficiency of the School.
It will be impossible to begin a system of industrial training until suitable shop buildings are erected and furnished. We should begin as early as possible to teach one or two trades - it is a very important part of a deaf child’s education. I would therefore most earnestly recommend that the next Legislature be asked for an appropriate sufficient to put up and furnish a building with apparatus necessary to teach at least two trades.
Finally, gentlemen of the Board, I return to you thanks for the kind assistance and encouragement you have rendered to me and for the watchful care you have manifested in promoting the interests of the School. I shall rely upon you in the future, as in the past, for advice and guidance in the discharge of the trust in my hands. I respectfully submit this, my first report, A. R. Spear, Principal
Figure 3 - bill of sale for food items purchased for the school November, 1890
The Banner, 1891 locals - December 5 (Volume 1 – Issues 1 and 2)
School for the Deaf of North Dakota
Officers of the school: A.R. Spear, Superintendent and Mrs. A.R. Spear, Matron
Teachers of the school: P.L. Axling and Clara M. Halvorson
The school for deaf children is located at the City of Devils Lake, on the main line of the Great Northern Railway. It is free to all deaf children and youth of the state, who by reason of such
deafness; are unable to receive proper education in the public schools, the only expense to parents being for transportation to and from the school, clothing and incidental expenses. The school is supported by the state. Instruction is given in the common school branches and those pupils who show ability are taught speech and lip- or speech-reading. A printing office is maintained in which the more advanced pupils are given instruction in the printing trade. Plain sewing and housework are also taught.
The regular term embraces forty weeks beginning the second Wednesday in September and ending the second Wednesday in June. The only proper time for admission of pupils is at the beginning of the term and admission may be denied any pupil by the Board of Trustees, if not present at the beginning of the term. For full information, blank application papers, etc. apply to: A. R. Spear, Superintendent, Devils Lake, North Dakota.
Dear Parents: It gives me great pleasure to be able to write that your children are well. Since the opening of school in September not one of the children has known a day of illness. Each face glows with health and happiness.
The *Banner* will be published every two weeks and each number will surely contain something interesting to you. It is our intention to publish actual school-room work in each *Banner* issue, but by no means will this class of work be confined to our own school. We invite similar work to be submitted from the public schools of the state. Each pupil will be given a copy free, but the paper cannot be sent to parents free. I, therefore, would advise you to purchase a subscription to the *Banner*. Very respectfully yours, A.R. Spear, Superintendent
Christmas, that happy time so welcome to old and young alike is approaching. Your children know it. Often they come to me, faces aglow with bright anticipations, to ask me some question about Christmas or to tell me of the good time they will have. The school will make preparations to render the occasion a happy one, but you must do your share. Do not disappoint your little ones. I want every parent to send a present for his child. Nothing makes them so happy as to receive things from home.
Since the blizzard of two weeks ago, the weather has been quite warm, and the boys have had some good times snow-balling. One day nearly all of the boys were outside when some of the city children began to snow-ball our boys. Our boys came around and entered the sport with such vigor that the city boys beat a hasty retreat.
The well from which we get our supply of water belongs to the *Inter-Ocean* people. It is one of the best wells in town, and the people from blocks away often come to it for water. We use a very large quantity of water and the well sometimes runs dry. It takes several hours before we can get water from it again. If it should run dry and remain so we would have to get drinking water from a well two blocks away which would be very inconvenient. Something ought to be done to prevent anything of the kind happening.
Shortly after Christmas our dog, Old Scout, became sick and never recovered. He was slowly failing and seemed in great pain. So, to put an end to his sufferings, he was taken out and shot last week.
La Grippe (influenza) and whooping cough have caused a great many absences from school during the past few weeks.
An old gentleman, Mr. George H. Tuxbury, from Michigan, was in Devils Lake this week with a phonograph. He was asked to come to our school and try the hearing of some of our pupils. A thorough testing was completed on most of our students. Two of the small boys tried to make out what this soulless thing was saying, but failed miserably. The day after the phonograph test, a sort of makeshift ear-trumpet was made, and some of the pupils were tested again in regard to their hearing. It was discovered that they could hear and distinguish spoken words with much more ease with the ear-trumpet than they did with the phonograph. We came to the conclusion that the phonograph is of no value whatever in assisting the partially deaf to grasp the spoken word. A speaking tube would do the work much better and be more convenient.
Last week Superintendent Spear bought a large wood-saw for the boys. They are happy now because they can do twice as much sawing as they did before. During the cold weather the big boys had to keep sawing and splitting wood most of their time out of school. They could not stack a big pile, as the wood was taken and used as soon as it was sawed. When the warm weather came, less wood was used and the boys got a pile sawed and stacked. The wood-shed is full of split wood and there is a big pile of wood sawed but not split on the outside.
To the Readers of the *Banner*, February, 1892: Allow me to friendly salute you through the *Banner*. I shall not tire your patience with a voluminous letter but shall simply use that warm and well-known salutation, “How do you do?” Since September, 1891, I have held the position of teacher in the School for the Deaf of North Dakota, and it gives me pleasure in stating that I am gradually gaining my wish; a desired closer intimacy with those seeming shut out from a great many of the pleasures of this world. I have, through kind providence, landed here at the school where there is ample scope for me to teach and learn. The deaf children are a happy little band, ever and always cheerful. Regardless of the fact that they are deprived of hearing, they are as affectionate, obedient and bright as the average pupil I have met with elsewhere. I have no hesitation in saying that some of them, I do not say all, will if allowed a fair chance, equal, if not surpass, many a so-called intelligent Jim or Susie in other schools, who are busy all day with eyes, tongues and ears. There is to be found in these few determined deaf children, a will to learn and incredible continuity, the lack of which is the father of all failures. Bless their little hearts! Nothing too much can be done in helping them reach for and grasp what yet to them is unknown. I say, anyone lending a hand to further their education and promote their happiness does an angel’s work. Miss Clara Halvorson, Teacher
The younger students are rejoicing in the possession of new composition books and pencils.
The past two weeks Thomas Bill and Lorents Larson, two of our printer boys, have not been working in the office. They have stayed outside to saw and split wood.
Last week Murdoch McMurchy received a nice warm overcoat from his mother. He was glad to get it. Murdoch wore it every time he went out to coast with the boys. He looks well in the new coat - it has a cape on it.
Little Hazel and Bessie Spear, daughters of our superintendent, each have a new pair of felt shoes and they both are feeling very happy.
Our pupils will have a holiday a week from Monday, it being the birthday of George Washington. A shadow pantomime will be given to amuse the children in the evening.
This week Superintendent Spear ordered a number of new parlor games for the use of the pupils. Some of them are: the *Telegraph Boy*, *Merit Rewarded*, *Merry Christmas*, *Goosey Gander*, *Logomachy*, *Kings and Queens*, and *Cuckoo*. They are proving a source of great amusement to all the pupils that play with them.
One day Carrie Lemke was made very happy by a visit from her father. He gave her some candy, some money and a pair of shoes. Carrie is very proud of her new shoes.
Our pupils are used to seeing wagon load after wagon load of wheat going to the market, but sometimes they cannot help calling our attention to the quantity of newly threshed wheat brought in. Threshing is not yet begun in this area.
The reading room is very popular with the students.
Last week Willie Reid’s mother went up town and bought him a new ring. He is feeling very proud of it.
Recently Lorents Larson was out on the ice chasing the dog and fell. He sprained some of his fingers and his hand was very lame for several days. Next time he will be more careful on the ice.
The high school department has been adorned by a picture of Benjamin Franklin-a gift from Mr. R. W. Bennett.
About two weeks ago little Willie Reid, age seven, was taken suddenly sick with what the doctors called ‘peritonitis’, inflammation of the bowels. His father was telegraphed and on Sunday, February 28, he came accompanied by Mrs. Reid. By this time Willie had just begun to change for the better. His father stayed until Wednesday, March 2, then went home, leaving Mrs. Reid here with Willie. In a few days he was well as ever and his mother left for home.
On Tuesday the first rain of the season came. It was drizzling from two to seven o’clock, but a few minutes after seven the drizzle changed to a snow-storm, which was worse than the blizzard of December 3. Several deaths by freezing occurred near town.
Dr. Ruger, president of our *Board of Trustees*, traveled to Grand Forks on business in connection with our new school building. Mr. Dickieson, secretary of our *Board of Trustees*, went over from Reynolds to meet him at the Forks and to help him transact necessary business. They made a contract with a Grand Forks firm for the brick to be used on the school building.
Mrs. M.J. Sutton of Bottineau, a lady who visited our school last fall wrote an interesting letter. Among other things, she said: “I hear there are two children in the Turtle Mountains who can neither talk nor hear, and as soon as the sleighing is better, I will go and see them and tell them of your school.”
On March 31 we had a visit from the Lutheran Clergy of North Dakota. There were eight ministers in the crowd and all seemed much pleased with what they saw here.
**The Banner, 1892 locals - April, May, June (Volume 1, Issues 10–14)**
Last week Effie Smith fell on the side-walk and got a little bruise on her left cheek.
The past three weeks several of the pupils have had teeth pulled, not by the dentist but by one of the teachers here.
Wednesday evening we called in the “mop-and-broom brigade” and requested them to polish up our floor a little. The next morning we found the floor as white as a gentleman’s cuffs.
One of the teachers, Miss Clara Halvorson, had a beautiful canary bird but about two weeks ago it flew out through an open window. Of course it did not return and now Miss Halvorson is feeling a little lonesome without her bird’s singing.
Gophers are numerous now but our boys have not yet done much at snaring them however, the town boys have begun to snare gophers. A few days ago the sheriff’s son and another boy came to the school, each carrying a gray gopher which the boys showed to the pupils. The little rodents came near having the life taken out of them by our dog, Rex. He was sleeping quietly under one of the desks when he saw the gophers and made a spring for them. The boys quickly moved them out of Rex’s reach just in time.
For Easter Willie Messner received a box of fruit, candy, nuts and a good many boiled eggs from home.
Milley Gerkey lost her breast-pin yesterday morning. She looked for it but could not find it. It was a nice pin and she is feeling quite sad.
Monday, May 12, is our next letter-day (pupils write letters to their families the first of each month). The older pupils will write and ask their parents to remember to send money for their
railroad fares. Parents must make ready to receive their children home for three months vacation.
The number of persons in our school building was increased by the arrival of a little girl who will call Superintendent Spear “papa”. The baby arrived kicking and screaming. She weighed nine pounds and a half, and is of the blond type like her mother. The baby is named Maude.
Last Saturday most of our younger children walked out into the country, the girls for picking flowers and the boys for snaring gophers. The girls found but a few flowers because it is quite early in spring. The boys drowned out a gopher which our dog Rex killed. The children came home rosy-cheeked but tired; they said they had a good time.
The pupils in Mr. Axling’s class were using their new books to recite “The wren is a tiny bird, but it is a bold one.” The door to the school room stood open and at that moment, and much to everyone’s amusement, a little wren flew into the school room. It was caught and shown to each one then given its freedom again.
Monday morning there was a wagon stuck in the mud in the street which our school building faces. The children crowded to the window to watch the men work to get the wagon out of the mire. The wagon was drawn by a yoke of oxen but they were unhooked and a team of horses was hitched to the wagon. The horses struggled for some minutes and at last pulled the wagon out of the mud.
It is said that editors love the paste-pot and shears but such is not the case with the editor of the *Banner*, Mr. Axling. A few evenings ago he had just finished applying the brush to the paper and was putting items back to the shelf, when, lo, the paste-pot fell from its high perch and emptied most of its contents upon the editor’s Sunday suit-coat, vest and pants.
Mrs. Spear’s baby, Maude, has been out in her little carriage every pleasant day the past week.
Tuesday afternoon the pupils were much disturbed by the mosquitoes swarming in and biting everyone. They have become very numerous all at once.
The past two weeks we have had two hard dust storms. The wind blew so hard that everybody had a time of it keeping on the sidewalks.
A note from a teacher before school closing for summer vacation: Dear parents, the time is nigh at hand when I shall bid farewell to the many little ones who will return home for the summer months. The parting will prove to be a sad one. I shall miss their smiling faces. May they not be disappointed in their anticipation of a happy vacation. I beg you to make it as pleasant for them as possible. Do not scoff or sneer at their signs if you think them strange; and above all, do not discourage them from their attempts to speak; rather encourage them and urge them to try. Practice makes perfect. If folks at home would continue teaching them during vacation, they would do great good and these pupils would, in the near future, not be deaf and dumb - simply deaf. Will you do it and favor a friend? From a Teacher
School closes June 17, with the exception of the Kindergarten department, which will close on July 1 for a vacation of four weeks. School will resume in September, 1892.
**The Banner, 1892 locals - September and October (Volume II, Issues 1-7)**
Summer vacation is over. The school opened on September 14, 1892. Twenty-five students arrived the first day. With a larger attendance than ever before, it was necessary to secure the service of an additional teacher, Miss Alto Lowman. Miss Lowman is a graduate of the National Deaf-Mute College in Washington, DC.
P.L Axling, printing teacher and *Banner* editor, resigned his position to accept a more lucrative position at the School for the Deaf in South Dakota. His position has been filled by the appointment of Martin Taylor, B.A., of New York. Mr. Taylor is himself a deaf-mute and shall take over the editorial duties left vacant by Mr. Axling’s departure. A follower of the proverb, “A new broom sweeps clean,” might expect the new man to make a radical change in the form of the paper but such is not his intention. His only change will be to issue the *Banner* weekly instead of semi-monthly.
Our new school building is still in construction. We hoped it would be ready for occupancy this fall but the scarcity of help on account of busy harvest work has made its progress slow. The school’s cornerstone was laid on September 7, 1892, but without, we regret to say, any appropriate celebration of its placement. Inside the cornerstone, to commemorate the school’s establishment, were laid the following: a copy of the original announcement to parents of our State regarding the establishment of school for deaf children; a copy of the first report of the Superintendent and *Board of Trustees* of this school to the Governor; a copy of the first biennial report of the Superintendent of Public Instruction, a copy of each newspaper of this city; *Inter-Ocean*, the *Free Press*, and the *News*; a map of the State; two copies of the rules and regulations of the school; two circulars of information; and the first and last issues of the *Banner*, Volume I.
A well-equipped party of hunters from Minneapolis poured into this region in quest of ducks, chickens, geese and any other game which comes within the range of the law and guns of hunters. About 30 guns of different bores and patterns, a dozen dogs of various breeds, a hundred or so decoys and eight duck boats made up the combination. Last year a gentleman remembered our School with thirty-two fine geese. Devils Lake is fast becoming the hunter’s paradise.
Miss Lowman took some of the little girls out the other day to see the boys dig potatoes. “Pursuit is sweeter than possession.” The boys enjoy digging potatoes more than eating them.
Bennett Olson, a former student of this school, is employed on our new school building as hod-carrier (mortar-and-brick carrier). He earns $2.50 a day.
Superintendent Spear turned the schoolroom into a barbershop last week and made monkey heads of the little boys.
The North Dakota School for the Deaf, now in course of erection, located about three quarters of a mile north of the city, will when completed, be one of the finest structures in the state. The building was designed by Olof Hanson, M.A., a deaf-mute architect of Minneapolis, Minnesota. The site contains twenty acres of land which will be beautifully graded and planted to trees, and with the lake in full view, the place will be very pleasant and attractive.
The trustees took advantage of the cooler September temperatures to break ground for the foundation of the grand new school structure soon to dazzle the eye. The pleasure of the ceremony of ‘ground breaking’ was somewhat marred by little Johnny DeFear, a pupil of the school, who was trodden under the feet of the oxen whose approach was earlier than expected. Johnny was too deaf to hear the approach of the oxen. Poor Johnny!
Willie Reid thinks he is quite a man now. He has a pair of new overalls.
The flies are as thick as chaff at a thrashing machine. Otherwise Dakota is all right.
Peter Heen was the happy recipient of a box of plums from his folks on Tuesday. Seeing how much he enjoyed them, we imagine they were as luscious as they looked.
Louisa Ritz found a young screech owl which had sought refuge under the sidewalk. It was the same one that Mrs. Spear had tried so hard to tame during vacation. We kept it in the wood shed for a few days, but to our great sorrow, it died. “So many hands spoil the pie.”
Sunday evening, just as our teachers were about to sit down for supper, flames were seen to leap from the roof of a house on the next block adjoining our school. One of our teachers stuffed his mouth with a biscuit or two and rushed off to the assist at the scene. No great damage was done to the house. The prompt response and energetic efforts of the local fire department won the praise of the town.
There is no playground that adjoins the school building so the little ones frequent a vacant lot opposite, and play see-saw, hide and seek and various other games, while the lover of machinery finds pleasure among the old thrashing machines dumped there.
Willie Lang is fond of playing checkers. It is said that he can beat his teacher, Miss Halvorson, at the game.
On Sunday afternoon the teachers and pupils took a walk north of town to the site of the new school building. All were much pleased with the progress they saw and live in happy hopes that some day in 1893, they may breath the air of ‘peace and plenty’ rather than enduring the broken bricks and howling prairie winds of the current inadequate school building.
The boys played “soldier” every night after study hours, using paper caps for helmets and broom sticks for guns.
Of late we have had windy nights, frosty mornings, and Indian summer afternoons.
There is a small river running close by our school from the artesian well. The boys and girls find it a source of great amusement. They make all sorts of dams, sail ships, etc. The teacher of geography class finds it useful in the way of illustration.
Last Monday night was Halloween. The teachers gave the pupils a treat of nuts and apples, which were good, indeed. A tub full of water was placed on a low box and a dozen nice apples were set to sail on the water. Tempting as you know fruit is to little ones, they were not allowed an apple unless they fished it out with their teeth. There was some lively diving going on and many of the pupils won a prize. Miss Halvorson, childish as ever, had to try the game as well. She got more than an apple; she got her whole head wet.
Superintendent Spear is busy preparing for his first biennial report to the board of trustees. Note: Superintendent Spear’s report follows the report from the Board of Trustees below.
**Report to the Governor of North Dakota from the Board of Trustees of the School for the Deaf. This report covers the completion of the first full fiscal period at the School for the Deaf (two years beginning and ending October 31, 1890 to October 31, 1892)**
To the Honorable Andrew H. Burke, Governor of the State of North Dakota
Sir: the *Board of Trustees* for the deaf have the honor to submit to you their first full biennial report of said school covering the two years from October 31, 1890 to October 31, 1892. Also submitted is a report from the Superintendent of the school, Mr. A.R. Spear.
The report of the treasurer shows the financial condition of the school from the date of the last report and accounts for all moneys received and disbursed during said time and may be verified by reference to vouchers on file with the State auditor. The report of our superintendent, has given careful study to the interests and needs of the school and is well qualified to speak upon the subject. He has set forth in his report certain recommendations which we approve and ask that you take in to careful consideration.
The pupils have made excellent progress notwithstanding the fact that the officers and teachers have been greatly hampered in their work by insufficient accommodations for the large number of pupils who have been in attendance at the school. We wait with anticipation for our new, larger school.
A printing office has been established and a number of the pupils are engaged in acquiring knowledge of the printing trade. We deem it of the greatest importance that provision be made for the instruction of the pupils in other trades as well as that of printing.
We desire to call your attention to the Superintendent’s report on this subject: In the fall of 1891 there was generously donated to the State by the *Great Northern Railway Company* a tract of eighteen acres of land adjoining the City of Devils Lake as a site for our future school building. In the spring of 1892, as soon as it was practicable to begin building operations, the trustees commenced the erection of a school building upon the site above referred to, using for that purpose, the $10,000 appropriated by the last legislature. The plans as originally drawn
contemplated a building more in accord with the needs of the school than the one now in process of erection, but the trustees, on discovering that the funds appropriated were insufficient to complete the original plans, had the plans reduced so as to erect a building within the limits of the sum appropriated. The building in process of erection under the reduced plan is almost completed but will not, in the judgment of the trustees, be adequate to the wants of the school.
We earnestly urge, in behalf of the large number of pupils now in attendance and those who are prevented from attending by reason of insufficient accommodations, that our appropriation be sufficiently increased to complete the present unfinished school building and also a wing or addition thereto. We also recommend that at least forty acres of land adjoining the site of the new school be purchased so that the larger pupils may be instructed in the art of farming and gardening. We believe, too, that with this additional tract of land sufficient vegetables and garden stuff can be raised for the use of the school. At present we are compelled to purchase garden produce at a considerable expense.
At the date of our last report we did not own any real estate or buildings, but we now have eighteen acres of land that was donated (worth $900) and a new school building nearly completed which cost $10,000 and is worth that sum. The number of pupils in attendance, their names and residences, the number that have entered school and those who have left since the last report is provided in the Superintendent’s report. No deaths have occurred in the school since last report. The health of the pupils has been fairly good and the discipline has been excellent. There has been a marked mental improvement in the pupils in attendance under the painstaking efforts of the teachers. There is also attached hereto a list of the officers, teachers and servants employed in and about the school. In order that the good work which has already been done by the school may continue and that its sphere of usefulness may be extended further, we recommend that the following appropriations be made for the school by our next legislature;
For the maintenance and support of the school for the next two fiscal years and for the finishing of the building now in process of erection and additions thereto, the following:
| Item | Amount |
|-----------------------------|---------|
| For maintenance | $10,000 |
| For salaries and wages | $13,000 |
| For household good, etc. | $2,500 |
| For fuel and lights | $3,000 |
| For incidentals | $2,500 |
For an additional wing to the new building, for barn and other outhouses, purchasing additional land and incidental and contingent expenses $15,000
We further recommend that the salary of the Superintendent be increased by at least $500 per annum.
Respectfully submitted by Trustees: H.H.Ruger, President, H.R. Dickieson, Secretary, Geo Juergens, Treasurer, Judge F. O’Brien, member
Note regarding the members of the Board of Trustees for the School for the Deaf (October, 1892): H.H. Ruger, M.D., was a local doctor with residence/office at Fifth St. East in Devils Lake, N.D. H.R. Dickieson was the owner/operator of a General Merchandise Store in Reynolds, N.D., Geo Juergens was a cashier at First National Bank of Devils Lake and James F. O’Brien was a Judge/Attorney at Law)
Superintendent Spear’s Report to Governor Burke – fiscal year ending October 31, 1892
Gentlemen: the time has now arrived when I am required by law to lay before you a report of the affairs of the school during the two years since my last report and indicate the needs of the school during the next two years. In undertaking this duty I cannot but feel that it is made extremely pleasant to me by the knowledge that during the time under review the school has made steady progress. You have always stood ready to carry out any measure tending to the advancement of the scholars. Officers, teachers and scholars have worked harmoniously together, the minds of the pupils have been reached, and they who came to us but a few short months ago in a state of ignorance hard to conceive have received a degree of enlightenment most gratifying. The young scholars have steadily and surely advanced. The school has become known throughout the State and has won the confidence and support of all. It has widened its sphere of usefulness by adding industrial training and in many ways progressed toward a complete fulfillment of its duties to the deaf of this State.
But while the work accomplished during the two years of the school’s establishment may afford good cause for pleasant reflections, it must not be forgotten that there is much yet to be done. Justly measuring the progress so far, we may turn our faces to the future with confidence. Unless all signs fail, the next two years will be years of improvement and constantly widening usefulness for this school.
My first report was published in 1890 and covered the period from the opening of school, September 10, to October 31 1890, less than two months. It will therefore be seen that the present report practically covers the entire period of the existence of the school up to October 31, 1892.
The fiscal year for which a report is made ends on October 31. The fiscal year for which appropriations are made ends on March 31. The school year begins in September and ends in June. It will be well to keep these distinctions in mind.
Attendance
At the time my former report was submitted the attendance was fifteen but rapidly increased until the number reached twenty-three pupils. They come from ten different counties in the State. Fourteen new pupils were admitted during the term of 1891-92, and five during the term of 1892-93. Up to present date, the total number in attendance is forty-three (twenty-five boys and seventeen girls.) Eight additional applications for admission are on file. It will thus be seen that the increase in attendance has been rapid. In the past year the building has been uncomfortably crowded. At the opening of the present term additional room became absolutely
necessary and two rooms, a block away, were rented and are now occupied. The follow is a catalogue of the pupils who have been in attendance:
| Name | Post office |
|-----------------------|----------------------|
| Anderson, Christ | Willow City |
| Anderson, Inga | Fort Ransom |
| Boisnent, Selfred | Bottineau |
| Bill, Thomas | Bathgate |
| Collins, James | Inkster |
| Flugekvan, Nekolai | Silvista |
| Gorseth, Anna | Niagara |
| Gerkey, Melica | Grand Forks |
| Gilman, Chas. | Fargo |
| Heen, Peder | Mekinock |
| Hagen, Hendrick | Horace |
| Iverson, Elsie | Fargo |
| Kercklaw, Albert | New Salem |
| Kreidt, George | New Salem |
| Lageson, Louis | Thompson |
| Lombnes, Henry | Grand Forks |
| Lemke, Carrie | Cando |
| Lang, Willie | Mandan |
| Larson, Lorents | Reynolds |
| Masters, Etha | Gilby |
| Miller, Hunert | Binghamton |
| Magnus, Annie | Osnabrock |
| Mallett, Fillmore | Chinook, Montana |
| Messner, Willie | Casselton |
| McMurchy, Murdoch | Harwood |
| Nordhougen, Emma | Aneta |
| Newton, Mabel | Mapleton |
| Olson, Bennett | Carrington |
| O’Hara, James | Carlisle |
| Odegard, Ida | Bue |
| Pederson, Jens | Portland |
| Pederson, Mary | Portland |
| Peterson, Peter | Hastings |
| Slaughter, Rosa | Bismarck |
| Reid, Willie | Hamilton |
| Ritz, Louise | New Salem |
| Smith, Effie | Portland |
| Schraeder, Herman | Sheldon |
| Wagner, Rosella | Forest River |
| Williams, Leister | Forest River |
| Wojick, Julia | Jamestown |
Health
There have been two severe cases of sickness and a number of pupils have had the chicken pox, whooping cough, and the measles, but in each case recovery was complete. The two severe cases referred to were those of Annie Gorseth, who was sick with the pleurisy in the winter of 1891, and Willie Reid, who was dangerously sick with inflammation of the bowels in the winter of 1892. Thanks to the careful nursing and the attention of Dr. Ruger, the attending physician, they entirely recovered and now enjoy good health.
Teachers
Three teachers are engaged at the present time, two female and one male, the latter being also instructor in printing and editor of *The Banner*, the small paper published at the school. Miss Clara M. Halvorson was appointed April 1, 1891 and still retains her position. She gives instruction in speech to a number of scholars and by her close application, gentleness and patience with the pupils has become a most successful and valuable teacher. Mr. P.L. Axling was appointed teacher and instructor in printing at the beginning of the term in 1891. He filled the position with marked ability and success for one term. After the first school term, Mr. Axling resigned in order to accept a similar position at the South Dakota School for the Deaf. In 1892, at the opening of the term, Mr. Martin Taylor, B.A., was appointed to fill the vacancy caused by the resignation of Mr. Axling. The number of scholars having increased so rapidly an additional teacher became necessary. Miss Alto M. Lowman, Ph.B, was appointed. These two latter teachers have been with us for only a short time but have taken hold of the work with vigor. I have no doubt they will make efficient teachers.
Qualified teachers who can make a success of the work are not easily found and when we get them it is for the best interests of the school to pay them such salaries as will induce them to stay with us. I believe a comparison will show the salaries we are paying are lower than paid by similar schools for similar work in other states. My own salary is, as you are aware, much less than paid for like work in other states. A sense of modesty might require me to be silent, yet I think I may properly ask that you recommend an increase in my salary by the next legislative session.
School work
This, I think, is the most important subject I shall touch upon in this report, for it is by an intelligent study of the work done in the school-room that we may best judge the progress we have made. Outside the school hours the children are, of course, undergoing training, and there is, or ought to be, no time in their school life when they are not growing intellectually and morally. It is in the school-room with the teacher, surrounded by her pupils, that the telling work must be done. And it is a noble work. I cannot too highly exalt the work of a teacher of the deaf nor too highly pride and value a successful teacher. Receiving, as they do in most cases, children whose minds are closed to the sound of the voice – to whom the “winged words” that mean so
much to their hearing brothers and sisters mean naught - it is their great mission to awaken their little souls and plant in them the intellectual life which shall go on increasing and change their lives from darkness to light - to happiness, usefulness and sweet contentment in the love of God.
As to methods employed for teaching deaf pupils, a great deal has been written on the subject. I can but say two marked opinions seem to prevail; that the deaf should be taught orally, and, on the other hand, that only a small percent of the deaf can be properly so taught. The latter view requires the use of signs, the manual alphabet and other conveniences. This is called the "combined" method and, in my opinion, it is the only means of attaining satisfactory results all around. Speech is not the end to be attained in educating the deaf. It is of far less value to them than a ready command of the English language. Parents frequently desire that their children be taught to speak but they do not always understand that to attempt to do so would be a waste of precious time. Yet in every school for the deaf there is a certain per cent of pupils who should be taught by the oral method.
We are teaching one class orally and several pupils are given instructions in articulation daily. I do not think the best results can be attained in this line until an additional teacher is provided. Speech teaching is slow and difficult work and if the teacher is compelled to divide her attention among numerous classes, as our articulation teacher has been obliged to do, it must be evident that her labor will be but partially rewarded.
And this is the proper place, I think, for me to call your earnest attention to the unsatisfactory results that come from requiring one teacher to handle a numerous class size. Whatever methods may be devised for aiding the pupils in acquiring a language, they will never overcome the evil of large classes, especially in the primary department. I am of the opinion that one teacher should not be required to handle more than six or eight pupils for the first two or three years in school. After the pupils have acquired some language and learned how to help themselves then classes may be enlarged. It is the feeling of utter helplessness, when the deaf child on first entering school, renders the teacher's efforts so barren of results if she is compelled to spread her work out over a large number of pupils. Every deaf child on first entering school must receive the persistent attention of the teacher. She must get down to their level and work with them. She must give each one her personal attention, constantly devising ways and means to interest, help and encourage them along the difficult path they must go.
It is to the schoolroom that we must look for success in our work and with a high sense of duty to the deaf children entrusted to our care. We must strive earnestly to provide every facility for successful work there. The time a deaf boy or girl has for receiving an education is at best short and what we may do for them during that time should be of the best.
The Industrial Department
I now come to a part of our work that has for its end, the teaching of a useful trade to the pupils. How important the knowledge of a trade is likely to be to them after leaving school. Deafness makes the struggle for comprehension more difficult, even as it renders the acquisition of knowledge in the school room a slow and tedious task.
The arrangements of our school are peculiarly well fitted for the teaching of trades to our pupils. Remaining, as they do, at the school the greater part of the year, they have leisure time that can be employed most advantageously in learning a trade. The interchange of manual with intellectual work is healthy and stimulating and tends to produce good results.
At the opening of the term in 1891, by your authority, a job printing press, type, and other necessities for teaching printing were purchased and a number of scholars were assigned to work in the printing office at regular hours. At present four boys and one girl are at work in this office. A small weekly paper called *The Banner* is printed. The typesetting and mechanical work is all done by the pupils. A great deal of job printing for the school has been turned out here. I take pride in this department and believe the results in the end will more than repay the expense of its maintenance.
However, all our pupils cannot learn the trade of printing – other instructional industries must be organized. It will require some outlay to teach other trades. I trust this matter will receive your most serious attention.
There is one department that can be put in operation at a small outlay, namely, dress and cloak making for the girls. The need for providing instruction for the girls in such work is most urgent. The cost would be but a trifle compared to the great benefits it would confer upon the girls. I recommend that a competent person be employed and this sewing department be organized at the earliest time possible.
**The Deaf in the State**
Owing to the fact that proper schedules for statistics of the deaf were omitted from the assessor’s books for 1892, no returns of the deaf census were made by the county auditors, as required by law. I am thus obliged to rely on the returns for 1890-1891 which are incomplete. From various private sources I have learned of about twenty deaf children in the State who are not yet attending school and the actual number is probably greater than this.
During the next two years we may expect and should provide for an increase of from fifty to sixty pupils. The State law requires attendance under penalty of a fine but no effort has been made to enforce the law because of inadequate buildings for receiving pupils at our school. But with the completion of the new building now under construction, the attendance under the law referred to shall be enforced.
**Buildings**
The last legislative assembly appropriated $10,000 for a school building and expenses. A site was procured north of the city. Plans for the building were made by O. Hanson, a gentleman thoroughly familiar with the needs for a building of this kind. In July, 1892, work of construction began. At the present writing, the walls are up and the roof on. It cannot be finished to occupy this year. Meantime we continue to occupy temporary quarters within the city of Devils Lake. The time for which the city agreed to pay rent for temporary quarters expired last August 31. Since that time we have paid for the school’s rent from our maintenance fund.
The $10,000 was insufficient to erect a building large enough for the school. It became evident, if the money was to be judiciously expended, that it would be necessary to leave out heating apparatus, water closets and other conveniences that ultimately must be provided. The present building, therefore, in order to be complete, requires an additional wing on the west side. The completion of the wing and the finishing of the building throughout so that it may be occupied at the opening of the term in September, 1893, is, in my opinion, a necessity. If it is not done I do not see how we are to do our duty to the children. The work of the school cannot advance. I therefore respectfully urge that the matter be presented to the legislature and the necessities of the case fully set forth to the honorable body. To finish the building and necessary outhouses will require an appropriation of $8,000. Thus completed, the building will be a model of its kind and serve us for a number of years to come.
**Conclusion**
To you, gentlemen of the *Board of Trustees*, belongs the chief credit for the high degree of success the school has attained during the two years just passed. Under your care, you have labored for the upbuilding of the school and always stood ready to carry out any plan within our means to promote its welfare. For all of which I acknowledge my obligations and return sincere thanks. Respectfully submitted, A.R. Spear, Superintendent (October, 1892)
**The Banner, 1892 locals - November and December (Volume II, Issues 8 -15)**
A *Literary Society* was organized among the older boys and girls. Etha Masters was elected president.
The walls of the new school building are almost completed and the carpenters have the roof half on. One of the men, while at work on the roof, whipped out a revolver and brought down two geese from a flock that was flying overhead.
Mr. Taylor, *Banner* editor, was laid up Friday with a cold sweat and typho-malarial fever. Miss Lowman suffers a bad cold and trundles about wrapped up in an Indian blanket. Mr. Spear’s daughter Hazel and pupils Annie Gorseth and Mary Pederson are down with the measles. The rest are in good health.
Note to the boys – those wagons in the vacant lot opposite the school belong to *Garner and Cleveland*. Mr. Cleveland keeps a big giant with horns and sharp claws to watch those wagons – look out!
The boys’ dormitory bedrooms are directly over the kitchen. There is a register in the floor to allow the heat from the kitchen to pass up. Recently one of the little boys thought he would play a joke on the cook. He caught a mouse and dropped it through the register. It narrowly missed a dish of oatmeal the cook held in her hand. In fright, the cook climbed onto a table. It amused the little joker who watched from above.
Willie Reid while playing Friday afternoon, stumbled and fell, striking his head on a sharp projection and received quite a severe bruise.
The following article was taken from the *Park River Gazette-Witness*. The editor of that paper visited our school recently and made a close study of the methods of teaching and work accomplished. The clear and interesting account which he gives is one of the best descriptions of our work that we have seen come across. He wrote: The state School for the Deaf at Devils Lake, under the direction of Superintendent A.R. Spear, is an admirably conducted institution. The daily routine of the exercises must be witnessed to convey an adequate idea of the aims of the teachers and the work that is actually being accomplished. The smallest pupils are adept in reading and speaking by means of fingers. They write their exercises on the blackboard with a precision that could not be equaled by pupils of similar experience in our common schools. The spelling is very perfect; the children seem to see for themselves when they make an error. Their handwriting is superior and even punctuation appears to be well understood. No doubt the faculty of memorizing is, from the necessities of the situation, wonderfully developed. The intent look of the children as they watch all the movements of the teacher’s fingers shows the whole mind concentrated upon the subject. But the attractive and novel feature of the exercises to most visitors is the instruction in vocal articulation. Though many children are born deaf, all are born with the capacity for speech, but cannot learn to speak simply because as they cannot hear sounds, they cannot imitate them. An idea of the patient effort and wise persistence that are required to develop spoken words out of the elementary cry of pain or the natural laughter of a child who does not even hear the sounds he makes cannot be formed unless the effort is actually witnessed. The teacher with distinctness and precision speaks the sound of the consonant or vowel and the pupil watches the movement of lips, tongue, jaws and indeed the whole face and tries to imitate these movements and to make sounds that are consequent there upon. Out of these elementary sounds, which in the pupil are at first hardly more like speech than the babble of an infant, is slowly evolved the power to converse fluently with anyone. Every pupil is also to be taught a trade. The institution has a printing-office attached and publishes a weekly paper under the direction of M.M. Taylor, himself a deaf-mute. Other industries will be added when the splendid new building now under construction is finished. There are at present thirty-three pupils in the school, the number being limited by the scanty accommodation currently being provided.
With the coming of snow what a scampering among the pupils for overshoes - how they do delight to play in the snow. It looks like winter is here to stay and we fear there will be no more long walks to the lake shore until next spring.
Jens and Mary Pederson received a package from home this week containing a lot of nice warm clothing.
Bennett Olson, pupil, age 24 years, has been appointed night watchman and with lantern in hand he makes his rounds every half hour.
On November 6, a blizzard prevailed in this area. The north gable of the new school building under construction was blown in, falling on the chapel floor. The floor gave way, falling with a crash onto the dining room floor below. The floor broke beneath the weight and took with it all
of the north and part of the west wall into the basement. The walls blown down had been newly erected and ready for the carpenters to put on the roof. Had the accident not occurred we would be able to announce the completion of the outside portion of the building. However, this unfortunate occurrence, coming as it does with the advent of winter, will stop further work on the new school building until spring.
It was fun to see Misses Lowman and Halvorson, plow through the blizzard with their sled last Sunday. One pulled the other pushed. The snowstorm lodged a large snow drift in front of the school building. One day the boys built two embankments and a snowball fight ensued. What sport!
Mr. Taylor is beginning to take his regular meals. We have hopes of his recovery from typhomarial fever - he has been laid up for four weeks. Pupil Lorents Larson has been the head man in the printing office during the absence of Mr. Taylor.
Last Saturday afternoon four of the large boys went to the pond to skate. The ice was quite nice. A race ensued and Claude Ziegler came out best.
Mr. Pederson is here nursing his little daughter Mary, who was very sick but now improving. As soon as she recovers, he will take her and his son Jens home, they being too young to attend school.
Sleighing and skating activities have been very fine of late.
No sooner had Mr. Taylor recovered from his fever when Superintendent Spear and teacher, Miss Halvorson, went down with the same fever. Mrs. Spear is Acting-Superintendent and manages the Institution affairs admirably.
The children enjoyed their Thanksgiving dinner immensely. There were five roasted turkeys, weighing sixty pounds in all. The tables were full of good things. In the evening apples, nuts and candy were distributed. All were happy. They now look forward to Christmas with eager anticipation.
For the first time in the history of the school, Death came in among our midst. On Saturday afternoon, as the clock struck four, Death took away the soul of little Mary Pederson. Mary was nearly seven years old. She was a bright, gentle, lovable girl. Mary’s illness lingered for six weeks. She rallied a number of times but being of weak constitution, relapsed as often and finally sank into death. The sickness of the deceased was a complication of diseases and was beyond medical skill. Her father came four weeks ago and stayed with her to the end. The teachers and pupils sympathize with her grief-stricken father and her little six-year-old deaf brother, Jens, whose inseparable companion she was. A funeral service conducted by Reverend Aaberg was held in the schoolroom Sunday morning at 11:00 A.M. Mary’s remains were interred at the Devils Lake cemetery.
Note: Reverend Aaberg was the Lutheran pastor of the Aaberg Academy which was located two blocks southeast of the School for the Deaf. It was often referred to as the Norwegian School.
Reverend Aaberg built and opened the boarding school to instruct (hearing) children in the fundamentals of the Lutheran faith. Pupils lived at the Aaberg Academy from early January through March. Most of the pupils came from farm families who could spare their sons and daughters during slack winter months. Children came from as far as 200 miles to attend the Aaberg boarding school. Reverend Aaberg and his teachers used the Norwegian language to teach religion classes. The school was in operation every winter from 1891-1903. Reverend Aaberg took a keen interest in the School for the Deaf and learned to use some sign language. Teachers from the School for the Deaf often visited Reverend Aaberg’s school. Pupils from Aaberg’s School and the Deaf School often played outdoors together.
Baby Spear has a new pair of shoes and also a pair of front teeth.
We were very glad to see Mr. Taylor skating last Saturday. That was his first outdoor exercise since his illness.
This week we bought about twenty cords of good, hard poplar wood from the Indians.
Christmas is next week. We will have a Christmas tree Monday night.
Willie Reid, one of our brightest little boys, is school monitor this week and his duty is to collect pencils at close of school day. This week his mother sent him a dollar to buy a new sled.
The huge pile of wood, the buzzing of the saw, the flying of wood chips in the back yard makes our weather-beaten structure take on the appearance of a sawmill rather than a ‘seat of learning.’
Claude Ziegler’s rabbit-trapping business has proved a dire failure. He set traps within a radius of two miles of the school but the rodents did not care to pay their respects to those strange, yawning objects with only a bit of turnip to feast on.
The school is infested with those dear little things – mice. One night they held a meeting in Superintendent Spear’s cozy office. They made a raid on the superintendent’s desk, nibbling away papers, postage-stamps, bills, etc. The sticky stuff on the stamps was so good that the mice resolved to store them away. After a search, the stamps were discovered hidden away inside a crevice. The superintendent was overjoyed to find his stamps again.
Christmas was celebrated by the pupils with a prettily decorated tree. A merrier Christmas was never enjoyed before. The flow of boxes and parcels during the past week was a pleasant surprise. Santa Claus was personated by Mr. Taylor.
*The Banner, 1893 locals - January, February, March (Volume II, Issues 16-25)*
Here is a letter written by Willie Lang with very little help from his teacher. Willie is ten years old, a semi-mute, and has been in school only six months.
My Dear Mother,
I will write a letter to you. It is snowing today. We had a Christmas tree on Monday night. I got a soldier’s suit from you. I thank you very much. I play soldier now. I got a sled from Mr. Spear. I like it very well. I skate on the ice now. Mr. Taylor gave me an orange, an apple, candy, nuts and popcorn. The girls and boys got boxes and candy and sleds. There came an old Santa Claus. He had a basket on his back with some things in it. He came in through the door. He had a white overcoat and red cheeks on his face. Rosa Slaughter and Etha Masters came back to school again today. They were sick. I want Michael to write me a letter. My teacher and Mr. Spear are very well. I did not read. Now I read every day. Write me a letter soon. Your little son, Willie Lang
We had a holiday on New Year’s Day. The boys took to ice-skating. Lorents Larson had a chilly bath when he broke through the ice however there was no danger of drowning as the water is only knee deep. The girls contented themselves with their sleds. In the evening candy, nuts and apples were distributed. All had an enjoyable time.
While washing dishes Louisa Ritz had her left hand badly scalded.
It was Superintendent Spear’s birthday on Tuesday, January 10. He received many congratulations and well-wishes. He is thirty-three years of age. We believe that he is the youngest superintendent of a state school in the country.
We are again called upon to chronicle another death in our school. Albert Kercklaw departed this life on Wednesday night a little before eight o’clock, at the age of eighteen years, eight months. Taken slightly sick on New Year’s, he began to fail until that dreadful disease, typhoid fever, set in and carried him away. Albert came to school for the first time, last fall. Tall and robust, he seemed able to withstand any slight case of sickness but when measles broke out in school last November, he was an easy victim. In about a week, he was around once more, apparently in the best of health. About two weeks ago, he began to complain of a pain in his side, caused, as he said, by sawing wood. The day after New Year’s he was put to bed, having typhoid fever. The institution physician was summoned and the usual prescriptions were administered but they were of no avail. His life continued to ebb away. The last two days he was partially unconscious and remained so to the end. His parents were early notified of his sickness but, being very poor, were unable to respond to the call. A reply to a telegram, announcing his death, came Thursday morning from his folks telling us to bury his remains in Devils Lake cemetery. Albert was a good boy and he will be keenly missed. We extend sympathy to his parents and relatives in their bereavement.
The boys do not skate much now. The heavy snow storm has spoiled the ice.
Rex, our house dog, is rendering the school valuable service in slaughtering tramp cats that find their way into the school yard.
Some of our boys have made a number of large bobsleds from old boards. An inquiry as to how they made them without the use of tools brought to light the fact that they labored patiently for weeks using only a jackknife.
A bottle containing water from our school well was sent to Minneapolis University for analysis. It was found to contain ammonia and chlorine and, in the opinion of the chemist, is unfit to drink. The use of the well has been discontinued. We are now buying water by the barrel.
Murdoch McMurchy absented himself from school this week on account of sore eyes and Willie Reid is laid up with a slight attack of fever.
Pupil, Inga Anderson, is the latest addition to the already overcrowded school hospital, which is, by the way, only a bedroom.
We are watching our school’s request for appropriation with great anxiety. Rumor has it that enough money will be given to complete the first wing of our new school building.
If you see those flies buzzing above our dining room table with that intolerable placid serenity in this very cold weather, smash them.
We had a howling blizzard last Monday. It came down with a swoop and in a jiffy made mounds of our streets. Not a footprint was seen that day.
Saturday morning a half-frozen, half-starved bird made its appearance into our kitchen, begging alms. The large bird was Mr. Cockburn’s tame eagle. Mr. Cockburn is our meat man. The bird stood in the middle of the floor in a most majestic attitude, not the least bit scared by the eager looks and mysterious inarticulate cries of the children who rapidly gathered round it. Pieces of raw meat were thrown to it, and one by one, they quickly disappeared down its voluminous gullet. After the bird had eaten its fill, it gave a nod of satisfaction then perched upon a barrel and commenced its morning toiletry.
It is Valentine’s Day next Tuesday.
Mr. Taylor and Miss Halvorson took a long buggy drive to Fort Totten last Saturday. The twenty miles was covered in four hours with half an hour for rest.
Very few valentines were received at the school. The mail train from the east on Valentine’s Day was eight hours late. We all hoped in vain that it was heavily laden with valentines.
Superintendent Spear returned from Bismarck Monday noon very much disappointed but not discouraged in his efforts to get the school bill through the legislature without being scaled down. Fully one-third of the amount that we requested was stricken out. This means no increase in the teachers’ salaries, the employment of a boys’ supervisor much needed and an additional teacher is out of the question. And worse than all, no admittance of new pupils for two years to come – there are twenty waiting applications on file.
The people around Devils Lake are storing away ice. The thickness of the ice is enormous, averaging four feet. A few such cakes of ice will last a small family all summer.
Last night May Newton had a glass of milk on a chair by the side of her bed. She drank up all the milk. In a short time a little mouse jumped upon the chair and climbed into the glass. The girls jumped upon the bed and laughed. Rex heard the noise and ran into the girls’ room, wagging his tail. (Story written by one of the pupils for the *Banner*)
It becomes our painful duty to announce another death. Morris Gilman departed this life Monday night of typhoid fever at the age of nineteen. His death was unexpected. Thursday, last week, he was thought dying, but rallied wonderfully and showed signs of improvement. Last Monday his condition took a sudden turn for the worse and he passed away peacefully. The relatives of the deceased, being poor, asked that his remains be interred in Devils Lake cemetery next to the other two pupils (Mary Pederson and Albert Kercklaw) who had gone before him.
Letter to Parents from Superintendent Spear, March, 1893
Dear Parents,
The continued sickness of the pupils, bad sanitary conditions of the building and poor facilities for caring for the sick make it necessary, in the opinion of the *Board of Trustees* and the Superintendent, and acting on the advice of the attending physicians, that the school be closed for the balance of the school year and the pupils be sent home. I, therefore announce that all children will be sent home at once. Parents who can do so are kindly requested to come to the school and take their children away. Those who cannot come will meet their children in Grand Forks, Friday, March 17 and in Fargo, Saturday, March 18. I beg to assure you that I will remain at the school during the summer to monitor work on the new school building and will push for completion by the middle of the summer. Everything possible will be done for the safety of the pupils. The school will reopen again in September at the usual time in our new and beautiful building. I hope that I may once more welcome all of my old pupils and that never again will the work be so sadly interrupted, necessitating the close of school in the middle of the term. Asking your kind indulgence and assuring you that the welfare of your children will be the constant study of the *Trustees* and myself, I am sincerely your friend, A.R. Spear, Superintendent
During the school closure, Mr. Taylor will go to Fargo, Miss Lowman will return to her home in Maryland and Miss Halvorson will return home to Minnesota.
Goodbye to all, we have a long vacation. Rex will miss you all. The eagle will miss you too. See you on your return to school in September, 1983.
Olof Hanson, the deaf-mute architect for our new school building, has been summoned by the Board of Trustees.
The Banner, 1893 locals - September and October (Volume III, Issues 1-5)
With this issue, the Banner commences its third year. Our little periodical suffered hardship and encountered general ill-luck last year. However, as long as parents appreciate the purpose of the Banner, it will continue to visit homes weekly. Terms: fifty cents per school year which lasts nine months. Due to the temporary suspension of school last March, the time of paid up subscribers of the Banner will be extended three months.
From the Devils Lake Free Press, September 23, 1893
The school for the Deaf opened its full term in the elegant new building last Tuesday, with two teachers and twenty-two pupils. Ten more students are expected before January 1. This will nearly fill the new school to its upmost capacity which at present is about thirty-five. It was thought that with the present dormitory capacity the school could accommodate about forty-four but on placing the beds, this was found to crowd the occupants too much. The pupils were delighted when they saw the elegant, well-lighted and well-furnished rooms and the teachers say the new building leaves nothing to be desired. The parents of the pupils need have no fear that their children will not be well cared for in this new school. It will be a pleasant home for the children.
Mrs. Spear, who officiated as matron for the past two years, resigned the position last July, greatly to the regret of the school. However, she continues to help build up the school in various ways. Miss Catherine Fair is the name of our new matron.
Miss Halvorson is the proud owner of a bicycle. She paid one-hundred dollars for it.
About twenty barrels of potatoes were dug from the school yard by the boys.
Lorent Larson is at home, sick with diphtheria. He is missed and we hope he will recover soon.
In June, one of our teachers from last term resigned her position due to failing health. Miss Lowman now lives in Maryland where her family resides.
Superintendent Spear’s unexpected announcement of a holiday Tuesday morning threw the boys and girls into ecstasy. There was a scramble for hats and cloaks and it made the teachers’ hearts feel good to see how delighted the children were. A large basket of good things to eat was sent along with the party. Superintendent and Mrs. Spear and Miss Fair followed in the surrey while another surrey, hired for the occasion brought Miss Halvorson and Mr. and Mrs. Taylor. By half past twelve, the Chautauqua grounds were reached. Luncheon was spread. The boys and girls enjoyed sandwiches, bologna, pickles, cheese and crackers, hot cups of tea and last but not least, delicious grapes. The lake was very pretty with its hue of deep blue and numerous foam balls. It was fun to see what a coward the waves made of our dog, Rex, but before long he became brave and swam to fetch sticks thrown into the water. Bags of acorns were picked to be roasted and eaten but they have since found not as delicious as imagined. Instead, the acorns will be stringed and used for wall decorations. Tired but happy, we arrived home about seven o’clock.
While at the lake, the steamer, ‘Rock Island’, on its way to Fort Totten stopped at Chautauqua and attracted the attention of our boys and girls. We think the Indians on board enjoyed the sight of our scholars as much as our pupils enjoyed the sight of their nationality.
The morning after their visit to Chautauqua, the pupils were made to write a description of where they went and what they did and saw on their day at the lake.
The pupils are divided into two classes under the charge of Mr. Taylor and Miss Halvorson. When the new teacher arrives next week there will be three classes.
George Kreidt, pupil, is our new print compositor. He is a new hand but is getting on finely. This makes our type-setters number four.
Miss Mary A. Whedon, our new teacher, arrived on October 18 from Minneapolis, Minnesota. She is a hearing lady and has never been to a deaf school before but this fact did not prevent so intelligent a person from seeking a teacher’s position here. Years ago it was thought essential for an applicant to be conversant with the sign language in order to teach deaf pupils but nowadays anyone possessing the power and faculty of making a deaf child understand what is wanted may be accepted by nearly all deaf schools. Frequent use of the blackboard and plenty action work are all that is required in primary classes. With the advanced classes the sign language for lectures is, to our mind, a necessity, for how could one obtain so much knowledge otherwise except by reading.
The boys play football every day after working hours. The larger boys must be careful and not play recklessly with the little ones in their midst.
We have discovered a hill back of the new school building. If the path leading to it is not drifted too deep with snow it will make a good toboggan slide in winter.
Miss Whedon is making observations alternately in the schoolrooms of Mr. Taylor and Miss Halvorson. She will begin her own teaching duties with her own next week.
Ghosts stalked about the school on Halloween night. The windows in the basement clattered and the servants cried ‘thief’. A strange face was seen to peep in the girls’ room. The furniture in the rooms of Mr. and Mrs. Spear was turned topsy-turvy. All heaved a sigh of relief when November dawned. The ghosts cannot return until next Halloween.
*The Banner, 1893 locals -November and December (Volume III, Issues 6-13)*
We like to see our boys and girls run and play and have a good time but they must learn to keep quiet in the house. The girls are all right but our boys make more noise than necessary. When they go up or come down stairs they must not stamp like horses. When they are in their study room, they must not kick the chairs or shuffle them along the floor. They will break by and by. They must not move their bedsteads so often and too roughly. It makes the matron’s head ache and they will spoil the bedsteads. All of our boys must learn to be gentlemen before they go home so that their friends can see how nicely they behave.
Leister Williams received a large sled from home last week. It is the handwork of his father and Leister is very proud of it.
One of the cows was killed last Wednesday. We now furnish our own meat.
A pack of dogs, about ten in number, come to our yard once in a while. They look like wild dogs and one is tempted to throw stones at them.
We have a new barn for the hay, the work of our watchman, John Goozee. Our yard now looks very orderly and pleasing to the eye. The cows and the horse are thriving under the care of our new hired man.
Willie Reid likes to imagine that he is in a boat. He stands in a large box in the yard and uses a long stick for a paddle. We are sorry there is no boat, nor pond on which he can try one of his launches.
Lorentz Larson is patiently waiting for some rabbit to stray within the box which he has set as a trap.
We fear Miss Halvorson had her last ride on her wheel (bike) last Monday. It is cold now and the snow is too deep.
To be by one’s self in the limitless fields, amongst the waving trees in the densest wood, or to be on the prairie itself, is to be with nature and God. It is a feeling of companionship. But to be jostled by the crowd or seated by the family fireside of one’s own home and feel the loss of human companionship which the others enjoy, this is being alone - it is the most utter loneliness one can know. So, with this issue of the *Banner* we enclose a copy of the manual alphabet and we urge upon every parent the importance of learning it. Mothers and sisters, pin it up over your dishpan or sewing machine and when working, familiarize yourselves with the forms of the letters, it will afford you greater returns than sighing for a dress you cannot have or borrowing next summer’s troubles. Some of the fathers and brothers can slip one in their coat pockets and when spinning your winter yarns over some store counter and comes a lull, just think how your little deaf one can’t communicate; then take it out and study. You can learn the manual alphabet.
Miss Halvorson and Miss Whedon used some old cardboard boxes to coin some money for the purpose of teaching its practical uses to the pupils. The pupils much enjoy trading with their toy-money in the school room.
Hazel and Bessie Spear do not go to the public schools any more. A private tutor comes to them every afternoon. The teacher’s name is Miss Brainerd.
The weather has been in a very ugly mood this week.
Our teachers have been paid only once since September. Hard times are still with us. If the money due us is not forthcoming, the Christmas counter in the city stores will suffer.
Willie Messner overloaded his stomach with sweetmeats and as a consequence he is in bed quite sick. Be careful in the future Willie.
Lorentz Larson still watches his rabbit trap morning and night to no avail. If his patience is not soon rewarded, we teachers are afraid he will lose faith in the motto “If at first you don’t succeed, try again.”
Busy hands are sewing and embroidering – the girls are preparing for Christmas.
The next issue of the *Banner* will appear January 6 with a full account of the holiday entertainment and a complete list of the children who received presents.
It is Eighteen hundred and ninety-four! What resolutions shall we make? Shall we review our career and resolve to correct and reform the evil habits that we had allowed to take root during 1893? It is easy to resolve but to act and stick to it is hard. Unless you have an unusually strong will, you will fail again and again as of yore. Let us attempt to make the New Year better than last.
Our dog Rex received a new collar for Christmas.
A few days ago one of our pigs was killed for pork.
Claude Ziegler received a razor and mug for Christmas. His folks understand the needs of a young man. The gift was timely for ‘the down of manhood’ was just starting to bristle out from under his chin.
The Christmas entertainment given by the pupils was a very enjoyable affair and elicited applause from everyone. The dialogues were done in the sign language. It was the children’s initial effort and we hope to see more of it. Much of its success is due to Miss Halvorson. The Christmas tree in our school was prettily decorated with colored candles. Here and there, hanging from its branches, were dolls with their chubby hands stretched out as if waiting to be taken into the arms of their future mistresses. Under the tree was a pile of boxes, packages, books and other things too bulky to be hanged. Nearby was a bushel-basket full of apples, candies and nuts. Promptly at 7:30 P.M. Santa Claus rapped on one of the windows in the room where the tree stood. What followed can only be imagined. After Santa’s departure, distribution of presents commenced. Everyone was happy and satisfied with what he received. We are indebted to Mr. Goozee for the valuable assistance rendered in making the children merry that night.
Superintendent Spear bought a new pair of shoes for little Carrie Lemke last Tuesday but they were too small for her. The next day he changed them for larger ones.
The first blizzard of the season greeted us last Wednesday. It was very blinding and lasted the whole day.
January 10 was the 34th birthday of our genial Superintendent Spear. In the evening one of the teachers stole a march on him while he was quietly puffing away fragrant clouds from his meerschaum (tobacco pipe) and escorted him to his parlor where the other teachers and the matron had gathered. Cake, candy and oranges and sweet cider were served. At 10:00 P.M. the party broke up with wishes of “many happy returns.” Long live our Superintendent.
Superintendent’s office
Our Cows: Mr. Spear bought our cows from a farmer some time ago. They are pretty, large, brown cows. We keep them because they give us good, sweet milk. Bennett (a pupil, age 24) takes care of them. He feeds them hay and oats three times every day and lets them drink water from a tub near the pump. He milks them every morning and night. They are gentle cows. By Annie Magnus
Last Saturday was a nice, warm day so Mr. and Mrs. Taylor took a long drive to Fort Totten. They came back in the evening. On their way across the lake they saw a grey wolf running to the hill, stopping several times as if in doubt whether to follow them or not. There are plenty of wolves in this area. A gentleman in the city was chased by a pack the other day. Mr. Taylor says next time he goes he will take his Winchester gun along.
Deaf children have a hard struggle against the tide and when they must be subjected to the ebb and flow of every political whim of state politicians they are placed under a double disadvantage in acquiring their education.
Did you ever hear someone say that patience is a virtue? Ask him if he ever taught at a school for the deaf. If one needs a daily motto such as “Let patience have her perfect work,” it is when that one is trying to impart English language knowledge to a deaf pupil. The humble angst that comes from those little minds, bright eyes and erring fingers should melt the haughtiest impatience into the kindest patience.
Note taken from the *Kansas Star*: Superintendent Spear of the North Dakota School for the Deaf at Devils Lake protests against his school being called a Deaf and Dumb Asylum. He states, “School for the Deaf is in every way preferable.”
Effie Smith, Annie Gorseth and I made some aprons for the little girls. Some of us girls have bad coughs. The boys are building a toboggan slide west of the school. They will let the girls slide on it. Written by May Newton
Mrs. Spear’s baby, Maude, is a cute little tot. At the table the tot furnishes the teachers with endless amusement by her way of imitating signs. She is not yet two-years-old but has sufficient vocabulary of silent language at command to make herself plainly understood. A few days ago she had a boil on her knee and the tot suffered greatly.
Nicholas Flugukvan, with pardonable pride, displayed to one of the teachers, a pair of wooden skates made with his own hands. This shows that Nicholas is a pupil for the shop and it is matter of regret that we have none to keep boys of similar talents busy.
Valentine’s Day has come and gone - very few of us received Valentines.
The story of *Evangeline*, told to the pupils by Mr. Taylor, was a decided success.
Lent has begun – it will last forty days.
Learn to say no; not snappishly but firmly and respectfully.
The pupils received a letter from Miss Lowman, a former teacher at our school. She wrote to the boys and girls of her new kitten.
During the cold evenings the boys have been playing dominoes every night.
Did you see the *Aurora Borealis* last Thursday night? It was very beautiful. A teacher made comment that, it seemed as if the heavens were opened for airing. If that was really heaven some of our little boys and girls think they all will want to go there.
I received a letter, two stamps, six handkerchiefs, six ribbons and a bottle of perfume from Aunt Anne last Wednesday. I was glad to get them. By Elsie Maude Iverson
Mrs. Spear, Mrs. Taylor and Miss Fair visited the Norwegian school in Devils Lake last week. (Note: The Aaberg Academy of Devils Lake was often referred to as the Norwegian school)
Claude Ziegler is a graceful, swift skater. Last Wednesday he easily outskated the boys of the Norwegian Academy. We would like to pitch him against the best skater in Devils Lake.
Grace Lemke said the *Lord’s Prayer* in signs last Sunday.
Last Tuesday a blizzard blew in quite quickly and lasted one day. Fickle March! The red flag which indicates a blizzard ahead should have been up at the signal station in place of the white and blue flag that was displayed and indicated local rain.
Miss Halvorson takes daily exercise on her wheel up in the attic.
Two boxes of garden seeds and roots were received this week and Mr. Goozee promises us a fine garden this summer.
Will the discovery of gold along the shores of Devils Lake prove a boon for the city? We hope so.
The boys can no longer enjoy that exhilarating sport of ice skating. During the thaw this week, they disobeyed Superintendent Spear’s order not to skate in the water on the ice. As a consequence their skates were all taken away. A good lesson for the boys.
The sun sets a little before seven o’clock now - the lengthening days are a great lamp oil saver.
Gophers can be seen playing tag all over the meadow, a sure sign of spring. Rain and mud unpleasant to us teachers is a blessing to the tillers of the soil.
Inga Anderson picked a nice bunch of violets the other day.
Miss Halvorson should give her wheel an airing. The ground is dry enough now and a spin to the city today will do both the wheel and rider a vast amount of good.
Superintendent Spear is the proud new owner of a full-blooded St. Bernard, the noblest of the canine tribe.
A kite-flying craze has seized some of our boys.
Mr. Goozee is getting our garden plot in shape for seed.
Boys, Mr. Hale pays two cents for a gopher tail. Any smart fellow can catch ten or more gophers with a trap in one day. Catch as many as you can and take the tails to Mr. Hale’s office next Saturday for your well-earned reward.
Summer vacation will soon be upon us.
*The Banner, 1894 locals – September, October, November, December (Volume IV, Issues 1-15)*
The ever moving wheel of Time has rolled one year of work into the past and brought another to fill its place. Our teachers stand upon the threshold of a new school year, ready to greet familiar faces and meet new ones. No class of children are more peculiarly distanced from all other influences and have more devoted faith in their teachers than are deaf children; their utter dependence upon them for their every thread of outside life begets this unlimited faith. A child’s ideals are built much by the measure of its youthful teachers. Let our teachers strive to help their pupils to form true aspirations and noble ideals.
On the threshold of a new school year we pause and calmly reaffirm our abiding faith in the sign language, sign methods and sign schools.
Miss Halvorson, on her return to the school this fall, brought with her two peacocks. They are of the genuine three-eyed feather breed.
During summer vacation a son was born to Mr. and Mrs. Taylor.
This past summer, Rex, our black dog, was accidentally poisoned and laid his bones on mother earth for an eternal sleep.
Our gardener, Mr. Goozee, has successfully raised many kinds of vegetables on our little plot of land. He has demonstrated that diversified farming is worth pursuing.
Mrs. Spear is studying china painting. Her kiln arrived from Ohio last week.
Mr. Goozee has blossomed into a full-fledged mason. He has devised and is setting up a small brick house with a conical top for Mrs. Spear’s kiln.
Boys, here is a rule that must be obeyed: Keep out of the barn! Our horse, ‘Old Prince’, is getting ugly.
Miss Katherine Fair, our matron, has tendered her resignation. This will not create any surprises as her health has been failing for some time. Though she has been with us only a year, she has endeared herself to all, especially to the little ones fresh from the embraces of their mothers’ arms.
A nice large hanging oil lamp is an improvement to one of our school rooms.
The hens are proud of their new chicken coop and we hope they will lay lots of eggs now.
Mr. Taylor requires his pupils to write compositions every week. They have written about the lives of George Washington, Benjamin Franklin, Andrew Jackson and Abraham Lincoln.
The peacocks are pretty to look at. They are getting tame. What are their names Miss Halvorson?
A Story written by Leister Williams: Yesterday Mr. Goozee piled up rubbish in the garden. He erected a scarecrow in the center. Mr. Goozee set the rubbish on fire. The boys danced around it – they laughed and swung burning sticks above their heads. They pushed the scarecrow down and dragged it around the fire. They saw Mr. Spear’s big dog and chased him with the burning sticks. The dog was afraid and fled.
The boys play see-saw every day now. What next? They have tried all other amusements except leap-frog.
Selfred Boisvert has set two traps in a badger hole. He goes there every morning but has not yet been successful in trapping the critter.
The explosion of a potato almost killed the cook. On opening the oven door, the potato exploded, knocking the cook over. The potato flew all over the kitchen floor. Upon examination it was found that the cook was more frightened than hurt.
Leister William’s mamma sent him a pair of warm woolen stockings.
Mr. Taylor walked his class to the windmill near the school and explained its operation and use.
Lorent Larson, while operating the printing press, had two of his fingers badly smashed.
Letter to the *Banner* by Leister William’s mother: I read with much sadness, in the *Banner* on September 22, 1894, an item concerning a deaf man who was operating a buzz saw and, while doing so, accidentally cut off both his hands. What a dreadful thing to happen to someone who is deaf, for he not only loses his means of support but also his only means of communication with friends. What a vast amount of pleasure is conveyed to the deaf by the hands forming all those pretty, graceful motions. Pupils, be warned, please take care of your hands.
Magnus Johnson suffered with the tooth-ache one night and the next day he was a one-eyed lad.
Mrs. Taylor called last Thursday. While crossing the road, she found a horseshoe and entering Mr. Taylor’s schoolroom, spelled with her fingers, “Good luck to you all” and presented the shoe to the class. Lorents will cover it with gilt paper and hang it up in the school room for good luck.
The superintendent’s big St. Bernard seems to take a fancy to the deep snow.
Willie Reid is only ten years old, but smart and determined. In a conversation with his teacher one day he said he had already made up his mind to be a teacher and a democrat when he becomes a man.
John Clark and Joseph Upham, the two new pupils from Montana, bid fair to do good work.
Our horse, “Old Prince,” was in a bad mood last week and with a nasty nip, pulled the hired man’s ear.
The girls have been sewing curtains for the boys’ and girls’ dormitories to keep the dust off their clothes.
It snowed very hard last Saturday. The snowflakes were very large and fell slowly covering the ground to a depth of four inches.
Instead of the customary Thanksgiving entertainment, a candy-pull was given. The children greatly enjoyed it. Popcorn was also furnished.
Nicholas Flugukvan was told one day to go into the barn with slate and chalk and write what he saw there. He came back with his slate full. His teacher patted him on the head but upon reading it, she asked, “Nicholas, where did you get those foreign words?” Nichols said the hired man, who came from Norway not long ago, helped him name the things in the barn.
The boys are building a snow fort and when done, some will put in to defend it while others will endeavor to capture it. This is a good sport.
At the candy pull on Thanksgiving, Hazel Spear had a strange experience. The taffy pulled out one of her teeth and she did not notice the tooth gone until the next day.
Willie Reid made comment, “I am like Isaac in the Bible. I am my parents’ only child.”
Ida Carlson suffered with a sore throat for a few days. Following is a note she wrote, “Yesterday I had a rag around my neck because my throat was sore. Today Inga has one around her head because her eye is sore.”
It is a Herculean task for the deaf child to limber his mind and adapt and apply it to things about him but in addition to that, he is also obliged to limber up his fingers at one and the same time. It is requiring a double effort from him.
Letter from Alto M. Lowman, former teacher:
Hagertown, MD, December 2, 1894
Dear Boys and Girls: I presume that you have forgotten one who was formerly a teacher at your school. I began my teaching assignment at your school in 1891 and completed my assignment in spring of 1893 at which time I moved home to Maryland to be nearer my family. I am writing to tell you that, although I am far away from you, I have not forgotten you. I have been getting the *Banner* since the re-opening of school last September and enjoy reading it very much. It is a bright, newsy little paper and besides giving one the general news of the day, it also gives a person some idea of the progress that you are making in school. I trust that you are all enjoying good health, as that is one of God’s greatest blessings to us and something for which we should be sincerely thankful. It is very wet and rainy, and looks gloomy and cheerless out of doors. We have had some snow here but it did not last long. I wonder what kind of weather you are having in North Dakota. Well, Thanksgiving has come and gone. Did you enjoy the day eating your turkey, mince-pie, pumpkin pie, and cranberry sauce? I hope you all had a nice time and above all did not forget to be thankful for all the many good things with which God has blessed you. Are you getting ready for Christmas? It is not very far off and it is time to be making preparation for this joyous time of the year. Let each one of us try to make somebody else happy by way of some little token of remembrance, no matter how slight it may be. I presume that you would like to know what I am doing this winter. I am living with my relatives in the city and am assisting my aunt with her housework so as to let my cousin Mamie go the school. I like it here and feel very much as though I were in my own home. I seldom think of every teaching school again - I believe I can lead just as useful a life in my present way as by teaching and, besides, my present occupation agrees with me so far as my health is concerned. I am gaining a great deal of useful knowledge which, whatever a woman’s station in life may be, never fails to be of use to her. For remember, girls and boys, that what we learn in school is not all we should learn. Books are very well in their way but a person’s life should be more than what can be obtained in books. We should have a good home education as well. Know how to make good bread, pies and cakes. Know how to cook and to be brief. Know how to make a home happy, since it is the home that makes the nation. So improve your time while in school and prepare yourselves to go forward and fight life’s great battle. Be industrious, get your lessons well, and mind what your teacher tells you and then he shall be both glad and willing to help you all he can. I was sorry to hear that Rex died last summer. Poor Rex, you all missed him, did you not? How is Major, Mr. Taylor’s dog? I suppose that I would not know him as he was a mere puppy when I last saw him. We have no dog here but we have a cat. She was a stray kitten and came here last summer. We adopted her and gave her a good home and now a nicer, more playful and gentle creature would be hard to find. How are Miss Halvorson’s peacocks? I should like to see them. They must be beautiful creatures. Well, I think that my letter is long enough for this time - I hope it may prove interesting to you. I wish you all a “Merry Christmas” and a “Happy New Year.” I am your former teacher, Alto M. Lowman
Christmas is a week off and now is the time for parents to send something for their children.
One of the Sunday school classes was asked, “What are you going to give the Lord for his birthday on December 25? Most of the pupils did not know. One of them asked the teacher how he could go to heaven to give the Lord a present. The teacher said nothing would please the Lord more than to present one’s heart to Him.
Our superintendent bought a large white owl yesterday from a man who had just killed it. He expressed it to Mandan to be stuffed. It will be an ornament to the office – a sort of raven perching above the chamber door.
Leister Williams’ mother writes him letters almost weekly. No wonder Leister talks about his papa, mamma, brothers, his horses, cows, pigs, etc. He feels as though his home is but a mile from the school. We do not see many of the other boys talk about their homes. Why? Simple enough – they do not hear from their home for a long, long time - poor fellows.
Earl McAdam does not know which he would rather do – go home for the Christmas holiday or stay at school and take in the fun here.
The class was studying about the habits of flowers one day. The teacher expanded the lesson on habits and explained the habits of boys and girls. After the lesson was completed and the pupils had left the classroom, the teacher found Willie Reid’s slate. He had written, “I have a habit. It is to fight the boys.”
Last Wednesday, Senator Day and Representatives Walker and Prosser called at the Deaf school and were made acquainted with the pressing needs of the Institution. Some of the things the legislators are being asked to provide include the completion of the west wing, a heating apparatus, a water supply, a barn and facilities for teaching students trades.
Henry Lombnes has a taste for drawing original pictures on the blackboard. His teacher encourages his efforts. Henry received a letter from home and showed it to his teacher. His eyes were bright and his heart glad. His teacher told him all what was said in it. He was delighted when his father said he would send him a pair of skates for Christmas. It makes his teacher sad for others, who have not heard from home for months. Parents should write once a month, at least.
We are having the finest weather for December since 1877! There is hardly enough snow for a sleigh-ride. We all hope it will snow by Christmas so we can enjoy ourselves more. What is Christmas without snow?
The Devils Lake city skating rink is crowded every night. They have a brass band there.
Leister Williams lost one of his skates last Saturday on his return from the pond. He said it dropped from his strap somewhere in town. Too bad he could not hear it drop.
Willie Reid lost one of his overshoes while skating last Saturday. He charges the hearing boys with stealing it. See here Willie, why did not they take both instead of one?
John Clark had been in school but a few days when letter day rolled around. For his letter home John wrote the letters of the alphabet, a half dozen or so words he had learned and one sentence that he had copied. Here is the reply John’s letter brought from his father: My Dear, Dear Son, How thankful I am that a kind Providence has provided you the means to make known your thoughts. I trust that by spring you will be able to write understandingly and intelligently. This letter of yours, being the first, I will cherish and keep always. Be good and industrious and Santa Claus will not forget you. Horace J. Clark
Merry Christmas to all! We will have a Christmas tree Tuesday night.
Our matron, Mrs. Rowell, was kept busy during the holidays making her little charges merry. She also showed around a host of visitors. A better entertainer can hardly be found.
Miss Spear received a present from her sister, Miss Halvorson, a teacher in the Faribault, Minnesota Deaf School. The gift came in the shape of a bunch of paper sweet peas in full blossom.
Our matron gave a Christmas present to all the pupils in the form of a letter – it was written on the blackboard near the tree. She wrote; My Dear Children, I wish that I could express here all that I would freely bestow upon you were it in my powers to do so. I know that the path of life has for all, many thorns as well as roses of joy. I wish that you might be guided through it safely; firmly grasping the right and shunning the evil all the way through. Your friend and Matron, Mrs. Rowell
The children are very thankful for the popcorn balls which Mrs. Taylor remembered them with on New Year’s Day.
The third biennial report of our school (from the Board of Trustees to the Governor of North Dakota) has been completed. It is a very interesting document.
Following is a portion of the third biennial report (1892-1894) to the Governor - Honorable E.C.D. Shortridge from the Board of Trustee. Sir: The Board of Trustees of the School for the Deaf submit herewith their report covering all points required by law. (Itemized treasurer’s report is omitted here). Upon taking possession, we found the school in the midst of a distressing sickness and deeming it necessary for the safety of the pupils, we ordered the school closed for the balance of the term. The order was carried out by Superintendent Spear. The school remained closed from March 17 until September 12, 1893 at which time it reopened in the new school building. The legislature appropriated the sum of $6,500 to complete the building. The Board set about the work as soon as possible in the spring of 1893. The building, having stood through the winter in an unfinished and unprotected condition, sustained considerable damage by severe storms. It soon became evident that to repair the damages and complete the structure would require a larger appropriation than was at our disposal. Accordingly, the work was carried as far as our current appropriation would permit. When the money was depleted,
work on the school building stopped. At the present, therefore, part of the basement and all of the attic remain unfinished. Work on the west wing as not yet begun. Fortunately the money was sufficient to finish the first and second floors and put the building in condition for occupancy in the fall. Due to lack of funds, a heating plant and storm sash for the windows were not provided. A barn and other outhouses were absolutely necessary so temporary structures were erected and paid for out of the incidental fund. The fund was also used to dig a well and purchase a 200 gallon cistern for water. The cistern has never been filled so water must be hauled in barrels from the city, half a mile distant. It was not the intention to use the incidental fund to pay for these improvements so the money in the fund has been used up and we have been compelled to forego the purchase of things for carrying on the school work. On occupying the new school building, it became necessary to purchase a large amount of furniture and bedding. The furniture and bedding on hand was worn out and worthless. Forty new single iron bedsteads and bedding were purchased. New desks were purchased for the schoolrooms. A few books for the beginning of a library were secured but we were not able to purchase enough to meet the needs of the pupils. We, the Board, recommend the following: the west wing be erected and that a heating plant be provided and that a supply of good water be secured. During the past year wood-burning stoves were used to heat all of the rooms. The need for a heating plant and water supply must be perfectly evident. The school building is not piped for steam heat but it is so constructed that pipes may be easily put in. The water for drinking and cooking comes from a well, but water for all other purposes is hauled in barrels from the city. A plentiful supply of water is a necessity. More school rooms are needed and also dormitories. The present dining room in the basement was originally intended for a shop (trades) room but is being used temporarily as a dining room. It is already over-crowded. The completion of the building will remedy all of these problems as well as provide a hospital, additional schoolrooms and living quarters for teachers and matron. We invite your earnest attention to these needs. As it is now, scarcely more than thirty-five pupils can be admitted into the school. However, when all work has been completed, the school building will accommodate those who apply for admission for a considerable number of years to come. The school must possess more land in order that we may have a farm. This is desirable not only for the raising of produce and stock for the school but also that a number of the pupils may be instructed in such farm work. The Board recognizes the importance of giving every pupil instruction in manual work of one kind or another in order that when they leave school they may be prepared to enter some useful occupation that will enable them to earn a livelihood. The two acres belonging to Reverend Aaberg (Norwegian Boarding School) should belong to the school for the deaf. Until it is made a part of the school grounds, the symmetrical laying out and improvement of our grounds will be impossible. The advancement of the pupils during the past year has been of a very satisfactory character. They have applied themselves to their studies and the teachers have devoted themselves to the work with much earnestness. The method employed is well adapted to the needs of the pupils and meet with our entire approval. Instruction includes the use of sign language as well as finger-spelling, writing, natural actions and speech; all of which we regard as indispensable in the proper and complete education of the deaf. Not so much has been accomplished in the way of manual work or trade teaching as we could wish due to lack of funds. The pupils should receive instruction in a trade in order to earn a livelihood after leaving school. Our normal schools, universities and agricultural college afford ‘hearing’ young men and women opportunities for professional study and preparation. Deaf boys and girls should be trained in the same. The Board recommends the following action by the legislature: the erection of the west wing and completion of the school building throughout, the
purchase of a steam heating plant, the provision of an abundant water supply, the purchase of additional land for a farm, the purchase of the two-acre lot from Reverend Aaberg and the improvement of roads and grounds (tree planting).
A portion of Superintendent Spear’s Third Biennial Report (1892-1894) to the Governor and the Board of Trustees follows: Gentlemen: the time under review has been, in many respects, the most eventful in the history of the school. The term of 1892-1893 was a most trying one. The pupils were stricken with a terrible fever and, within a short span of time, three of our pupils died despite the efforts of the attending physicians. Officers and teachers, with the single exception of the matron, Mrs. Spear, were prostrated by the fever. The work of the school was practically suspended. In January, 1893, Dr. DeVaux, state health officer, visited the school and pronounced the sanitary conditions bad and the building overcrowded. Not, however, owing to the neglect of the board or officers, but the school was located in temporary building unfit for the purposes. The conditions were so poor that only a removal to our new building could remedy. Therefore, at your order, in March, 1893, the school was closed and the pupils sent home. It came as a relief to everyone. But though we have been saddened by sickness and death and the work suspended for a time, yet there is a bright side and we have much for which to be thankful. The occupancy of the new school building was the beginning of new and better times. Since moving into our new home, the pupils have been free from sickness. The healthy, happy surroundings have inspired both teachers and pupils in the work and I can say with confidence that the term which closed June 13, 1894, was the most successful in the history of the school. Nothing occurred to interrupt or hinder the pupils in their studies and their progress has been steady. I have received numerous letters from parents telling of their high appreciation of our efforts in behalf of their children and their advancement. There has been in attendance during the time covered by this report, forty-six pupils; twenty girls and twenty-six boys. Pupils may be admitted at the age of six years but none have yet been received under the age of seven. Eight new applications for admission are now on file. A number of cases are known where parents deliberately refuse to send their children to school and, as no good reason for such action is given it would appear that, in justice to such children, the compulsory education law, which was designed for such cases, should be rigidly enforced. Health Report: In September, 1892, measles broke out among the pupils and from that time until the mandatory close of school in March, the school was scarcely free from sickness. Matters were made infinitely worse by an utter lack of hospital accommodations. There was no separate room for the sick, and at the time the fever was at its worst, it was with difficulty that we were able to provide separate beds for the sick. I must remark here that our new building, because it is not yet completed, is entirely without hospital. Space on the third floor has been set apart for the hospital but the third floor is not finished. If prolonged sickness or contagious diseases occur, we would be very poorly equipped to cope with it. This matter is of such grave importance and the necessity for a hospital is so evident that I need not touch upon it further here feeling sure that it will receive your attention. After the run of the measles, a fever broke out among the pupils, nearly all of whom were sick. All of the teachers and the superintendent were also down. This sickness resulted in the death of three pupils. The three were buried in the Devils Lake cemetery as that was the wish of their parents. I cannot refrain from expressing my deep gratitude to one of the teachers, Miss Halvorson, for her untiring care of the sick, frequently sitting up all night with a sick pupil and then taking her place in the schoolroom the next day. Since moving into the new school the pupils have been entirely free from sickness. As the legislature made no appropriation for a
heating plant, we have been compelled to make use of wood-burning stoves to heat the building. Twenty-five stoves are used. In an institution like this, and especially where the winters are long and severe, I need scarcely say that a first-class heating plant is a necessity. To make the matter worse, none of the eighty windows in the building are provided with storm sash. No fire escapes and no fire extinguishers of any kind have been provided in case of fire. We ask that appropriation be made to remedy this dangerous situation.
*The Banner, 1895 locals – January, February, March, April (Volume IV, Nos. 16-28)*
All eyes are on our legislators in Bismarck. We anticipate their financial support.
The farmers are hauling to town tons of thick ice from Sweet Water Lake, eight miles north of town.
The girls of the Domestic Department had a party yesterday. The odor of molasses candy which pervaded the corridors was so strong that the mouths of the little boys watered.
Why do not the big girls learn fancy sewing during leisure moments? There are some very plain doilies at a certain store in town which sell at 35 cents apiece. The girls can make money while in school and much more during the summer.
G.W. Newton, one of the Cass county commissioners, was in Devils Lake over Sunday visiting his daughter May, who attends the school for the Deaf. May was the very first pupil to enroll in the school. She is one of the brightest. Mr. Newton is more than pleased with the progress she has made and cannot say too much for Superintendent Spear. He says that if there is one thing the people of this state should be proud of, that is its school for the deaf. He has visited deaf schools in other states and says that none are conducted with more careful and competent teachers than the North Dakota school. Such remarks are highly complimentary to Superintendent Spear who assumes the entire management of the school and leaves nothing undone that will advance the education of the children.
In Miss Whedon’s class the pupils are kept as busy as bees. They must be making lots of ‘honey’.
No stone should go unturned to keep the family and its deaf child in close communication. The pupil does not realize that lack of communication between parent and self, over time may slowly sever family ties. When school days are ended, what then parents? The eight or ten years of gradual sundering cannot be easily or quickly remedied for your child’s impressionable years.
have passed. If parents would stop to consider this fact, letters would scarcely be so slow in coming as they often are.
The people of Devils Lake will send a train car load of provisions to the starving people in South Dakota and Nebraska.
Governor Shortridge, in his message to the legislators, spoke kind words about the management of our school. His encouragement ought to guarantee the passage of our appropriation request now under consideration. Governor Shortridge’s remarks: The report of the *Board of Trustees* of the institution shows a most gratifying condition of the School, considering the limited amount of fund at their disposal. None of our State institutions have been more economically and carefully managed, nor any of the appropriations more judiciously expended than by this *Board*. The parts of the new building have been substantially built and tastefully finished. Laboring as they do under the disadvantage of having to practically rebuild the entire structure, they surely deserve credit for the ability, good judgment and careful supervision of every detail displayed. The general and educational supervision of the School has, under the management of Professor A. R. Spear, received the most painstaking attention. The rapid advancement of the scholars under his care, the hearty approval of the *Board of Trustees*, and the high esteem in which he is held by citizens and officials of the State are more expressive than words of mine could be.
Leister Williams’ mother is a warm friend of the school. She wrote to a number of the members of the legislature at Bismarck and to His Excellency, the Governor, praying them to help this School. The governor wrote her a nice reply. We hope her prayers will be heard and granted.
Henry Lombnes was favored last week with a letter from home. His teacher took great pleasure in reading it to him. Henry said he had received five since September and showed them to his teacher. It is doubtful if he has, in his possession, anything he cares for more than these five epistles in the handwriting of his papa and mamma.
May Newton will be fifteen next Friday.
The school will host a masquerade on the night of George Washington’s birthday. Washington was born on February 22, 1732, and died on December 14, 1799.
Some of the older boys and girls will watch for the planet Mercury which will be visible next Tuesday morning just before sunrise.
Jack Frost has nipped George Kreidt’s left ear twice within the last week.
Murdoch McMurchy regularly receives the *Harper’s Young People*, which is interesting to youth. With this and his little Bible, he likes to spend his leisure moments.
A very enjoyable time was had yesterday at the residence of Mr. and Mrs. Taylor in honor of May Newton’s fifteenth birthday.
Annie Magnus and Minda Amundson appeared in their new dresses last Sunday morning. Both girls seemed much pleased. The dresses were as perfect as new pins, which prove that the girls are doing well in sewing class.
Roll of Honor for the month ending January 31, 1895: Annie Gorseth, Effie Smith, May Newton, Ida Carlson, Louisa Ritz, Grace Ziegler, Lorents Larson, Inga Anderson, George Kreidt, Mary Hingtgen, and Emila Brochert.
Article from the *Advocate*: If the North Dakota school started a tailoring department, it would, providing the instructor was a tried and efficient man, turn out some successful graduates at this business. It is one of the trades in which the deaf-mute’s chance of successful competition with his hearing brother is on par with any trade taught the deaf, and it is a trade that requires but little capital for the deaf-mute tailor to set up a business of his own.
There will be a full eclipse of the moon on the evening of March 10. Look for it all ye astronomers.
Some of the pupils returning from the skating rink in the city were badly frozen about the ears. They will not likely go too far from the school limits again without providing themselves with extra wrapping.
It was a pleasure to meet and entertain the investigation committee from the Legislature and show them the work we are doing. We ask that the legislators of North Dakota do well by her charges.
The following address was delivered orally by one of our pupils, Effie Smith, on the occasion of the legislative visit: Gentlemen, on behalf of the pupils, I welcome you. Our school is unlike the other schools that you have visited and the instruction methods are different because the pupils are deaf. I hope you will be interested. The state has provided us, at no cost, with this beautiful home and furnished us with things needed for our education and comfort. We feel that we will be called upon to account for our conduct in life after we finish school. With the training and education that we receive here, we will try to do our school and State honor. The school is now in its fifth year and you can judge for yourself how much we have advanced in that short space of time. We fully appreciate the School’s goodness and you, who are its representatives. We are ever so thankful for your kind efforts in our behalf. In return for your kindness we will endeavor to lead a life becoming good men and women. On your return to Bismarck please give to His Excellency, the Governor, our love and esteem. Thank you.
Saturday was Ground Hog day. On coming out and observing his shadow on the snow, Mr. G. Hog discreetly went into retirement for another six weeks - hence the profound joy of the coal dealer.
Wednesday night the thermometer dropped to 43 below zero. This is the coldest weather reported for this winter.
Selfred Boisnent was intensely excited yesterday when he received two letters, one from his brother and one from his sister. He searched for his teacher and found him in the printing office. Selfred writhed his hands with joy and anticipation as his teacher read the letters. But when he was told that his friend George was dead, his eyes welled with tears. Someone dear to him had died and the news was sufficient to break his heart. It was a sad day for him. Selfred rarely hears from his friends and relatives. I do not believe he has received more than half a dozen letters from home since he was admitted to this school in 1891. Think of it parents!
Miss Halvorson presented each of her pupils with a valentine.
The boys want to know, who was the kind person that put the apples under their pillows one night last week?
The coal dealer scowls and shakes his head at the approaching warm weather.
Willie Reid is beginning to make use of money. One day Selfred Boisnent was seen with a nickel in his hand. “Where did you get it?” his teacher asked. “Willie Reid gave it to me.” Teacher asked, “Why did Willie give you the nickel?” Selfred responded, “To dust the erasers till June.” Willie Reid knows a thing or two.
The investigation committee that visited our school two weeks ago has recommended only $23,550 for our school – that is less than half of what we asked for from the legislators. We cannot do anything except to keep on grinding and sawing in the same old fashion. The Senate Appropriation Committee has since recommended an additional reduction to the balance of $19,500 - this is for the next two years. The pupils must eat up the bones and every crumb that is used to go to the chickens and pigs.
The other day Mr. Hagan called our Superintendent’s attention to what resembled gold lying at the bottom of the water bucket. The Superintendent poured the dust into a saucer and placed his powerful microscope over it. The dust proved to consist of metal. “Gold is metal, therefore it must be gold” was the logical conclusion, so he took the stuff to town to be confirmed. The man who tested the shiny samples confirmed the earlier conclusion – he said it was the purest of pure gold. Our Superintendent is a man not to be easily excited however he thought of the vast improvements that would result from the discovery and eagerly nudged his nag homeward. While on the way, he suddenly remembered that two years ago a lot of sand from Devils Lake was cast into the well to keep down the dirt. “That settles the problem. There is no gold on the lot. It came from the lake.” Arriving home, he took up a Havana and read his favorite paper, the Minneapolis Journal and thought of it nevermore.
Last night Mr. Taylor went down town on business. As usual his dog, Major, was trotting by his side. Nearing the town, his canineship suddenly stopped and assumed a frightened position. Mr. Taylor’s eyes turned to the direction the dog was looking and saw another dog coming down the road dragging behind him a sled with a child on it. Major was no coward, for he is big enough and is used to fighting but he could not make anything out of the mysterious combination of dog, sled, and child coming like a locomotive toward him, so lowering his tail between his legs, he started on a dead run homeward. In pursuit, the other dog increased his speed with the poor child
wildly swaying this way and that on the sled. Rounding a curve, the child lost her hold and was thrown rather heavily on the ground - fortunately she sustained no injury. Now see the fun. The chasing dog, being released of its load, doubly increased its speed. Far ahead was Major whose legs, like the rapidly revolving spokes of a wheel, fled quickly. He leaped over a wire fence and ran, for a shortcut, toward home. The other dog attempted the same but failed to clear the sled over the fence. The sled and dog hung there - the chase ingloriously arrested. The scene presented a most laughable spectacle.
March has come in meek as a lamb. Let us see how it will go out.
Kent, the Superintendent’s big St. Bernard dog, made a tour of inspection throughout the county for two days. He turned up yesterday with an expression of complacent satisfaction on his face.
Leister Williams received from his thoughtful mamma a printer’s apron.
The boys have killed, up to date, nine tramp cats.
At the Sioux Falls Deaf School, the legislative committee who visited that school left a large box of choice candy for the pupils. Our pupils were not so fortunate upon the visit from our state legislators.
The motto, “In God We Trust” is on the wall in Miss Halvorson’s school room. Mr. Taylor will have a motto in his room too. It will be, “Act, that each tomorrow will find us farther than today.” It is from Longfellow’s Psalm of Life.
North Dakota is one of the unfortunate States “groping about trying to grasp at straws” but how about all those train-car loads of provision that were sent down for the starving, stricken people of South Dakota. Devils Lake and North Dakota stand well.
Glad tidings were received here yesterday. The House, under the lead of our representative Prosser, secured an increase in appropriation for the School for the Deaf. The amount which had been reduced to $20,000 has been increased to $23,000 (that is the amount that was recommended by the legislative committee that inspected the School.) It is due to the determined efforts of our representative, Honorable F.H. Prosser, that this amount was obtained. To him especially, and to Senator Day and Mr. Walker, we wish to express our thanks for their efforts in behalf of the school. With the appropriation they secured we will be able to keep up the work to the high standards we have attained. A great many deaf children scattered throughout the state who have not heretofore attended school, will be brought in next year. It will also be possible to make some changes and improvements in the industrial department that have long been recognized as a most urgent necessity but which could not be carried out for lack of means.
Every pupil should learn early the importance of putting things back in their right places. Take tools for instance. It is a bad habit to drop them down just where you may happen to have used them. We shall continually remind our boys of this error and exercise all patience in pointing out to them the trouble and inconvenience it causes others to search for tools misplaced. It is a good
rule to have “a place for everything and everything in its place” and at this school each pupil should remind his schoolmate if he is neglectful.
Superintendent Spear received as a gift, a nice pointer pup. Mr. Spear is going to train the dog to his gun. We fear that Superintendent Spear will have to train himself to his gun first.
The spirit of progress in the education of the deaf points towards lowering the age at which pupils are admitted into school and at the same time providing different method and almost wholly different treatment for the little ones. Past experience has taught that we must begin to teach the deaf child at a much earlier age than heretofore and that different methods must be resorted to if we are to accomplish the greatest good to the child. It is now very generally recognized that the old time “asylum” idea where boys and girls of different ages are herded together by the hundreds has taken a back number in the education of deaf.
John Goozee’s duties as watchman will soon cease and he will devote his attention to the garden.
Aaberg’s boarding school closes next week for vacation.
William Messner stepped on a nail yesterday and it penetrated the flesh of his foot. The wound is quite painful.
Carrie Lemke was suddenly seized with croup Thursday night but pulled through thanks to the doctor’s skill.
Quite an excitement was created throughout the State this week by the governor’s threat to veto all institution appropriations. Unless the governor changes his mind, this School will have to close its doors for two long years. We are awaiting the news from Bismarck which will be made public today.
A telegram to our *Board of Trustees* was received last night saying that the Governor has allowed the School $16,500 for the next two years. We are greatly disappointed that the $23,000 we had anticipated was so reduced.
Elsie Iveson suddenly disappeared one day this week and upon inquiry it was found that she was ill. We miss you Elsie. Your books and pencils are lonely without. Don’t stay long in the hospital. We do not like the appearance of vacant seats in our schoolroom.
Goodbye to windy March.
The boys are getting ready their traps for the poor little flickertails.
Pupils, it is not the time to take off your long underwear. Too warm they may be, but your body is not prepared yet for sudden changes in weather that are liable to occur within the next few weeks.
Some of my pupils have a high standing in their weekly and monthly reports. This they may be rightly proud of. Those who have earnestly endeavored to do well during the term will be worthy of promotion – Miss Halvorson
One of our peacocks had its leg broken a few days ago. Mr. Goozee reduced the fracture and it is now doing nicely.
Willie Reid killed two small snakes near the pond. He is not afraid of snakes.
Leister William’s mother sent him one dollar. Leister feels rich but if he knows how hard his parents earned it, he would not spend it lavishly. No one can know the value of money till he has earned one with the sweat of his own brow. It is hard to climb up a hill, but very easy to come down; so it is with money, easier to spend than to earn.
From Mr. Taylor, Editor and Teacher-Printing Office: This week the boys printed 1000 envelop heads for the School. I have under my charge a boy whom I admire for one trait. When he has nothing to do, he invariably takes up the oil rag and busies himself about the press. This is the kind of man an employer hates to part with. He is a shining example and his chosen motto seems to be, “Never be idle.”
Mother Earth has a pretty green cloak. The crocuses are nearly gone. Soon wild roses will appear.
Shall we have a picnic on Arbor Day? Let us go to Fresh Water Lake for a change.
Willie Messner received a box of sweet meats from home for Easter.
Most of the girls were pleased to assist Mrs. Taylor in ornamenting her lemonade booth at the fair by making several delicate bouquets of sweet peas.
Near the school yard is a race course and the fine thoroughbred horses in town can be seen flying around every evening, to the great delight of the boys.
Mr. Taylor sold his horse last week to people residing 23 miles west of Grand Harbor. His dog, Major, followed the horse and has not been seen since.
Many of the girls have been busy patching the boys’ trousers. I think when Gracie Ziegler gets home and mamma sees how well Gracie can patch, she will be kept busy.
May Newton has just finished sewing a pretty blue plaid gingham dress for Minda Amundson. If anyone should doubt May’s neatness let them look first at the dress and then at her workbox. She has a place for everything and everything in its place.
Note: There were no issues of the *Banner* printed in May and June due to the resignation of Superintendent Spear. The notes below were taken from the minutes of the Board meetings regarding the matter of Spear’s resignation.
March 7, 1895 Board minutes
Certain charges brought by Miss Mary Whedon (teacher) against A.R. Spear, Superintendent and counter charges against Miss Whedon by A.R. Spear. The Board proceeded to examine allegations made by calling the following witnesses: Miss Whedon and A.R. Spear.
March 9, 1895 Board minutes
Certain charges have been brought by A.R. Spear against Matron, Mrs. Rowell. The Board proceeded to investigate, examining both the plaintiff and the defendant as to said charges. The examination continued throughout the entire day without reaching a decision.
April 1, 1895 Board minutes
The Board took up the matter of charges deferred from March 9th meeting. Mr. Spear was called and examined as to said charges.
April 2, 1895 Board minutes
The Board met. The following persons were examined as to their knowledge of said charges. Mrs. Rowell, defendant, Mr. Spear, plaintiff, John Goozee, Frank Sullivan, Julia Sullivan, Dora Hovergen, Julia Thompson and L. Haugen.
April 3, 1895 Board minutes
The Board met. Charges were made by John Goozee against the matron, Mrs. Rowell. The Board examined said charges and the following witnesses were examined: Julia Sullivan, John Goozee, Frank Sullivan, and Mrs. Rowell.
April 4, 1895 Board minutes
Charges were brought against Spear by Mrs. Rowell. The Board examined into said charges and the following persons were examined: Mary Whedon and M.M. Taylor. This completed the matter of charges and the Board after due deliberation came to the following conclusion; that these several charges were not well founded and do not reflect upon the moral character of this institution; and while there may have been acts of indiscretion on the parts of the several defendants and many acts of petty spite, the Board, after hearing all the testimony, did not deem it of sufficient weight to cause the removal of nay said defendants.
May 1, 1895 Board minutes
Miss Clara M. Halvorson appeared before this Board and asked for leave of absence for the balance of this school year. The request was granted.
May 2, 1895 Board minutes
The Board called to order and proceeded to discuss the internal trouble without reaching a satisfactory conclusion whereby the following resolution was proposed:
Resolved that this school close on May 13, 1895 and Board to dispense with the services of the whole of the present faculty including Superintendent Spear, Matron, Teachers and Servants. Building and grounds to be placed in charge of the watchman under the supervision of the Board of Trustees until other arrangements can be made. This action is taken for the best interest of the school. Those Board members voting for this resolution were: C. Somiger, O. Aaberg, J. McCormick. Those voting against said resolution were L.P. LeMay and C.H. Morris.
Moved by Mr. McCormick and carried that the part of the resolution referring to the discharge of the Superintendent be rescinded for the purpose of allowing him to tender his resignation.
Mr. Spear appeared before this Board and presented his resignation. A motion made by Mr. McCormick moved the acceptance of the resignation of A.R. Spear as Superintendent and that it take effect on May 13, 1895. Motion carried.
May 23, 1895 Bismarck Newspaper Article
The management of the deaf mute school at Devils Lake has not been as harmonious as a surface view would indicate. Rumors of a scandal and immorality on the part of the professor and others connected with the school demanded an investigation which has continued over the past four months. This resulted in a complete vindication of the superintendent and teachers. The superintendent resigned owing to dissention and the trustees called for the resignation of the balance of the faculty. They refused and were discharged and the school closed. The present troubles arose over a class between the superintendent and the matron.
Note: the next two entries were taken from the fall issues of the *Banner, 1895*.
*The Banner, 1895 locals – September (Volume V, Issue 1)*
It is with feelings of deep regret that we chronicle the death of one of the pupils of our school. Willie Reid, of Hamilton, was accidentally killed while watching some men at work in a brickyard. Just how it happened will never be known. In his eagerness to learn how bricks were made, he in some manner got his head in such a position that a passing sweep struck it and crushed it before the machinery could be stopped. His death was instantaneous. Willie was one of the brightest and most promising boys at our school – he was full of life and always ambitious to learn. During the past year he had endeared himself to us all by his manly bearing, studious habits and pleasant disposition. All at our school send sympathy to his bereaved parents. The accident occurred only three short weeks after his arrival home for summer vacation.
Saturday, September 21st, 1895
In the early part of last May, the *Board of Trustees* accepted the resignation of Mr. A.R. Spear as Superintendent and closed the school on the 13th of May, 1895. At the regular meeting of the *Board of Trustees* in June, Mr. D.F. Bangs, for the past seven years, a teacher at the Minnesota School, was offered and accepted the position thus made vacant. He comes highly recommended.
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Supporting Deaf and Hard of Hearing Preschool Students’ Emerging ASL Skills: A Bilingual Approach
By Julie Mitchiner and Michelle Gough
What do the signs *elephant, robot, wings, soar, swim,* and *stomp* have in common? If you are unsure, check with your deaf or hard of hearing preschooler. Asked to brainstorm “signs with the B-handshape,” a class of deaf and hard of hearing preschool children came up with every one of the above signs—and of course they were correct. After a week of B-handshape study, the children identified these B-handshape signs as part of a language activity that focused on exploring American Sign Language (ASL).
Helping young deaf and hard of hearing children explore ASL and English is one of the important jobs with which the preschool teachers who work with those children are tasked. Learning ASL and English, the children will become bilingual, fluent in the two languages they will use throughout their lives.
Working with two languages requires planning. Teachers need to work together to decide when and how to use each language. This enables teachers to avoid the use of simultaneous communication (i.e., signing and talking at the same time). Instead, teachers incorporate what is called “concurrent use of ASL and English,” which means using specific strategies to incorporate both ASL and English into teaching (Baker, 2006; Gárate, 2012). For example, when students read a book in English, they use both languages as they translate the English text to ASL. This practice has been termed “translanguaging” (Garcia, 2009).
There are two broad categories of ASL and English bilingual methodology: 1) concurrent use of both ASL and English, and 2) language separation (Gárate, 2011; 2012). Both categories are equally valuable. Therefore, teachers schedule times when they will use ASL only, times when they will use English only, and times when they will alternate between both languages. Separating the use of ASL and English allows young learners to study the functions and purposes of each language and to strengthen their receptive and expressive skills (Ibid.).
Photos by Zhou Fang
The Power of Conversation
Dickinson and Tabor (2001) found that conversation—in the home and at school—plays an important role in fostering children’s early literacy skills. In a three-year longitudinal study, they looked at the influences on literacy development in hearing preschool children beginning when the children were 3 years old. Then they looked at the way children handled language through their emergent literacy skills—including how they handled telling stories and interpreted print (including environmental print), and how they understood aspects of the alphabet and vocabulary. The researchers showed that positive interactions between adults and children as well as engaging in literacy practices at home—including the use of new and varied vocabulary, extended conversations, and developing language through play—were predictive factors to children’s literacy skills. In other words, if family members talk with their children, vary their vocabulary in conversation, and read to their children, the children are likely to learn to read and write on par with or ahead of other children.
Of course, maintaining conversations and providing language-rich experiences with deaf and hard of hearing children is as important as providing these experiences to hearing children. When explanations and interactions are visible, deaf and hard of hearing children are supported in building vocabulary and understanding about their world. Further, these conversations are even more important for deaf children because they miss out on easy access to sound-based information around them.
Teaching ASL
The Whole-Part-Whole Model
When planning ASL instruction, we follow...
the holistic approach drawn from the Whole-Part-Whole learning model (Freeman & Freeman, 1998; Swanson & Law, 1993). Instead of pulling parts of the language out of their natural context, we allow learners to first experience the language in its complex and meaningful entirety. From there, children become motivated and engaged to explore ASL grammar, often through conversation with guidance from the teachers. Students study the parts of ASL and how they work together grammatically. Using this knowledge and their new grammatical skills, children create new stories, songs, and expressions and gain a deeper understanding of how language functions.
**Full Richness in Every Class**
**The Whole of ASL**
Children are exposed to ASL as an intricate and complete language through various ways, such as through language-rich learning activities, interactions with adults and peers, and viewing stories in ASL through storytellers or video clips. Dramatic play areas and other early childhood centers can facilitate imaginary play to initiate conversations and discussions about ASL grammar. For example, as part of the daily curriculum, deaf and hard of hearing children see and tell stories, converse with each other and educated adults, view videos, experience units of learning, and engage in dramatic play—all in ASL.
**Handshapes, Classifiers, and Markers**
**The Parts of ASL**
Children explore the five parameters of ASL grammar: handshape, location, orientation, movement, and nonmanual markers. We focus on one ASL parameter at a time for a week.
Students begin with exploring nonmanual markers, and then they talk about handshapes. Teachers use stories, videos, or pictures of different handshapes and nonmanual markers for children to copy and identify. The children play with these handshapes and signs and analyze their formation. They record and watch themselves on video immediately afterwards. As they become comfortable, they start to combine smaller parts to make a sign or a phrase.
We also explore nonmanual communication. Nonmanual communication—the points, smiles, and shrugs of everyday life—are the basic tools of all children. However, for those who use ASL, these tools of the face and body have a linguistic purpose, and this is what we begin to teach preschoolers.
One of the five mouth movements that have a linguistic meaning in ASL is what linguists call the *cha cha* mouth movement, used as an adverb to designate that something is done with particular force. For example, if we want to sign *a man works*, we might sign *man* and couple it with the sign for *work*, signing *work* using the straightforward up and down movement of the closed dominant hand. If we want to sign *a man works very hard*, we may make the same signs, but now the closed hand makes a circular movement for *work*, coupled with the mouth movement *cha cha*; it is the mouth, not the hand, that has refined the sentence and carries the meaning *very hard*. With support, children pick up quickly the linguistic nature of *cha cha*. In fact, it was the class that came up with much of the above example. The children also noticed that *cha cha* could be used in conjunction with the sign *chat* to mean *chatting for a long time* and in conjunction with the
signs *dog walks*, in which the hands reflect the dog’s paws walking on the ground, to mean *dog’s paws hitting the ground very hard as he walks*. We point out that while the mouth movements are the same or similar in each sentence, the English translation is different.
**Handshapes**
There are approximately 40 handshapes in ASL, and these handshapes make up most of the signs. With young children, we focus on seven basic handshapes. These handshapes are named after the letters and numbers that they most resemble: *B, A, S, C, O, I,* and *5*. The teacher shows a picture of a handshape on the SMART Board, and the children brainstorm different nouns and verbs that the handshapes can be used to represent. For example, the teacher might show the handshape *5* on the SMART Board, and the children then name signs that use this handshape (e.g., *mother* and *tree* for nouns, *fly* and *swim* for verbs). The teacher and the children use this opportunity to play with handshapes, usually selecting two or three. The teacher checks the children, making sure they use the correct handshapes (e.g., one of the children needed assistance because he was using the G-handshape instead of the A-handshape in signing the word “game”). A favorite handshape game is “A Big Box,” in which pictures of handshapes are pulled out of a box and the children must think of different signs that use that handshape.
**Classifiers**
We also teach children about classifiers. Classifiers are handshapes used to represent categories of nouns reflecting their shape and size. The teacher notes how a person standing upright can be represented by the 1-handshape, the extended forefinger. The same 1-handshape can be used to represent a long and thin object like a pencil, a pole, a stick, or a knife. When the sign is used to mean “person,” it may be moved vertically and pick up speed to show how a person moves with increasing speed. We also show how facial expression combines with this sign to indicate the person is walking very quickly. Further, we show how, when both hands make the 1-handshape and use it as a classifier, a signer can show two people walking together side by side, two people meeting face to face, or two people bumping into each other.
With preschoolers, teachers focus on three basic classifiers:
**Descriptive classifiers**—Used to describe objects or people, descriptive classifiers allow children to describe the size and shape of objects around them. While describing the shapes, the children were prompted to use appropriate grammatical expressions (e.g., nonmanual markers) to match the descriptions of the size.
**Semantic classifiers**—Used to represent noun categories, semantic classifiers are sometimes familiar to children. The children enjoy using the 3-handshape as a classifier to visually represent different types of moving vehicles. We focus on this classifier after showing a short video of a car, and children use it to show how the car speeds up or moves at a leisurely pace.
**Locative classifiers**—Locative classifiers represent the position of objects in a specific place or the movement of objects within a place. Children use locative classifiers to explore where the objects are located in the classroom, and then they discuss how to describe each object’s specific location. The class also developed an activity in which the teacher shows different pictures of a cat lying on a chair, under the bed, and inside a basket using the bent V handshape as a classifier. The teacher models how to use these classifiers in appropriate ways, and then the children practice describing the position of objects in different locations.
---
**Tips for the Preschool ASL Classroom**
By Julie Mitchiner and Michelle Gough
The following four tips can be used to facilitate children’s ASL development in a preschool ASL classroom setting:
1. **Follow the child’s lead.** Children have a natural curiosity about the world, and by pursuing topics and activities that pique their interest, parents and teachers will find children more motivated to learn new vocabulary.
2. **Model a variety of ASL handshapes and classifiers.** Young children benefit from watching others. Invite Deaf community members to the classroom to tell stories and recite poems in ASL.
3. **Use books, photographs, and real objects as a springboard for creating stories, poems, and games in ASL.** Use real materials and pictures to help facilitate discussion, allowing children to use ASL creatively and to explore its characteristics. For example, children can practice describing real objects using classifiers.
4. **Provide many opportunities to explore and play with ASL.** Children can explore ASL during transitions from activity to activity, during mealtimes, and during those moments of incidental learning as well as during a set ASL time. Don’t forget to share ideas and strategies with families to practice at home.
Putting It All Together
Returning to the Whole of ASL
Each time children learn and practice grammatical skills, they are prompted to produce stories, games, poems, and songs using the features they learned. Through modeling and prompting, the teacher shows children how to keep track of beats and rhythms through body movement. The class develops handshape stories or poems using only one or two handshapes or they use a pattern, a “handshape text,” alternating between two handshapes. For example, one class created a story about a bear by describing its physical characteristics and behaviors using only the C-handshape. The children swayed their heads and shoulders with animated facial expressions while they signed *ears*, *nose*, *sleeping*, and *crawling*—all with the C-handshape. The children then came up with different animals and handshapes to make similar animal poems. They created ASL songs, counting songs, and weather songs. A favorite presentation was “My Day Song,” in which children relayed what they did all day—from waking up in the morning to going to bed at night.
As we teach our children about ASL, we are amazed at their creativity and understanding. We also recognize the benefits of teaching them the features of ASL at a young age. Early knowledge of how ASL works allows them to develop metacognitive and metalinguistic capabilities and to transfer conceptual and linguistic knowledge from ASL to their second language, i.e., English (Cummins, 2006). This practice supports Cummins’s theory of linguistic interdependence, where bilingual individuals transfer conceptual and linguistic knowledge across languages to increase proficiency in both languages.
In the long run, these activities will not only increase our children’s ASL skills but also support their emergent literacy development. We are excited to see our young students develop pre-literacy skills and sign language skills—and have a good time, too.
The authors wish to thank Dr. Maribel Gárate for her feedback on this article.
References
Baker, C. (2006). Foundations of bilingual education and bilingualism (4th ed.). Clevedon, England: Multilingual Matters.
Cummins, J. (2006, October). *The relationship between American Sign Language proficiency and English academic development: A review of the research.* Paper presented at the Conference of Challenges, Opportunities, and Choices in Educating Minority Group Students, Norway.
Dickinson, D. K., & Tabors, P. O. (2001). *Beginning literacy with language: Young children learning at home and school.* Baltimore, MD: Paul H. Brookes Publishing.
Freeman, Y. S., & Freeman, D. E. (1998). *ESL/EFL teaching: Principles for success.* Portsmouth, NH: Heinemann Publishing.
Gárate, M. (2011). Educating children with cochlear implants in an ASL/English bilingual classroom. In R. Paludnevičiene & I. W. Leigh (Eds.), *Cochlear implants: Evolving perspectives* (pp. 206-228). Washington, DC: Gallaudet University Press.
Gárate, M. (2012, June). *ASL/English bilingual education: Models, methodologies and strategies* (Research Brief No. 8). Washington, DC: National Science Foundation’s Science of Learning Center on Visual Language and Visual Learning.
Garcia, O. (2009). *Bilingual education in the 21st century: A global perspective.* Malden, MA: Wiley-Blackwell Publishing.
Swanson, R. A., & Law, B. (1993). Whole-part-whole learning model. *Performance Improvement Quarterly, 6*(1), 43-53. | 895cee08-8c3a-4d37-8220-e56732427a9d | CC-MAIN-2021-21 | https://clerccenter.gallaudet.edu/national-resources/documents/clerc/odyssey/2017_issue/ODYSSEY_2017-9_Mitchiner_Gough.pdf | 2021-05-11T15:54:27+00:00 | crawl-data/CC-MAIN-2021-21/segments/1620243991648.10/warc/CC-MAIN-20210511153555-20210511183555-00564.warc.gz | 205,575,966 | 3,208 | eng_Latn | eng_Latn | 0.994312 | eng_Latn | 0.996456 | [
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Dear Parents and Carers,
Staying ‘Konnected’ to School
Konnective is our school’s app that enables everyone to stay up to date with important notifications that are sent out by the school about school events. As a school, we use this as a constant form of communication along with the school newsletter and website. The school newsletter is posted on the website every Thursday and a hard copy is available at the administration office.
District Swimming Success
Congratulations to Kirsten G. in Year 6 for her great success at the District Swimming carnival held yesterday; Kirsten was our only District level representative and came an outstanding third place in Butterfly. Congratulations and well done, Kirsten!
Parent Teacher Interviews
Thank you to all the families for booking a meeting with your child/ren’s teacher. I hope this provided you with an opportunity to connect further with the teacher and share some important information about the academic and holistic development of your child.
With the change of timing, we had more interviews booked than we did last year so our response to your feedback has been a great success!
National Day of Action Against Bullying and Violence (NDA)
Maramba Primary School is proud to announce that we are joining other schools across Australia to participate in the ninth National Day of Action against Bullying and Violence (NDA) on Friday 15th March 2019.
We are now a registered NDA school and will stand united with other school communities across the nation against bullying and violence.
The theme for the 2019 NDA is Bullying. No Way! Take action every day. This is our chance to take action and empower our students to be part of the solution when addressing bullying. It provides an opportunity to focus on bullying and the big changes we can make to create safer communities for everyone.
Please talk to your children about how they plan to make a stand against bullying and violence. Let's Take a Stand Together.
**Next Thursday HARMONY DAY – 21st March**
I am looking forward to seeing the performances the students will be sharing at our Harmony Day concert. Some students have been practicing to perform something that relates to their cultural background to help celebrate cultural diversity within our school and the broader community. I hope you are able to make it and share this special day.
**School Leaders to Visit FGSC STEM Centre**
We have been invited to attend an introductory STEM session at Fountain Gate Secondary College on Friday 15th March.
They have recently launched their STEM Endeavour Program. Named after one of FGSC’s values, the Endeavour Program offers a fresh approach to teaching and learning. Applying a 21st Century STEM based curriculum offers students the opportunity to study in a cross-disciplinary, project based learning environment. Students will gain knowledge and skills transferable to their other core subjects such as Math and Science while investigating real-world issues in an engaging student-directed learning environment.
To represent Maramba at the event our School Captains and our STEM Leaders will be attending accompanied by Ms Alison Kettle who is our STEM Curriculum Leader.
Kind regards,
Darren Wallace
Principal
Assistant Principal Report
Foundation Family BBQ
I liked having bread with sauce at the BBQ. I had fun there. **Blake M FB8**
The best thing at the BBQ was going down the slide. I liked playing with the bubbles. **Yusuf FB8**
I bought my family to the BBQ. The best thing was the sausage and bread. I had lots of fun. The bubbles were so cool. **Harper FB8**
I had the best time at the BBQ because I could meet my friends and play together. I also loved playing with the bubbles. **Winter FB8**
I liked the drinks and sausages as they were yummy. **Maryam FL10**
I really liked seeing my friends and I loved my vegetable burger as it was yummy. **Syrus FL10**
I loved the sausages and playing with the bubbles. **Ashlee FL10**
I loved the sausages and playing in the playground with Syrus. **Llewellyn FL10**
Bullying. No Way! Take action every day
The 2019 National Day of Action against Bullying and Violence (NDA) has a new theme: **Bullying. No Way! Take action every day**. This theme builds on the 2018 journey to ‘Imagine a world free from bullying’, by inviting school communities to turn big ideas into action. Parents, teachers, students or members of the community can turn ideas into action and help deliver a powerful message that bullying and violence are never okay.
The 2019 NDA school engagement activity provides a chance for students to lead action in an area identified for their school communities and drive the agenda across the whole school year. The NDA 2019 will open opportunities for authentic student voice, with teachers supporting students to actively participate in their school communities, put forward their ideas and views, and contribute to decision-making and influence outcomes.
Ten possible action areas for student-led action have been identified. These action areas relate to bullying prevention and student wellbeing. It is intended that schools choose one action area for NDA 2019.
Harmony Week is 17th to 23rd March
Twenty year anniversary of Harmony celebrations
In 2019, the Department will lead national celebrations for the 20th anniversary of Harmony Day. This year the event will be renamed Harmony Week to recognise diversity and inclusion activities that take place during the entire week. Harmony Week will include 21st March, which is the United Nations International Day for the Elimination of Racial Discrimination.
Since 1999, more than 77,000 Harmony Week events have been held in childcare centres, schools, community groups, churches, businesses and federal, state and local government agencies across Australia.
What is Harmony Week?
It is a time to celebrate Australian multiculturalism, and the successful integration of migrants into our community.
Australia is one of the most successful multicultural countries in the world and we should celebrate this and work to maintain it.
Harmony Week is about inclusiveness, respect and belonging for all Australians, regardless of cultural or linguistic background, united by a set of core Australian values.
How we’re celebrating
Let’s come together with friends and family on Thursday 21st March to experience the inspiring, cultural and exciting performances created and performed by the students themselves. The amazing concert will be held in the Andrew Groh Gymnasium at 11.40am to celebrate our diversity. This will be followed by a wonderful multicultural lunch in the classrooms. Don’t forget to provide a plate of food (no nuts allowed) that helps to celebrate your family’s cultural background, a list of ingredients must be provided.
Why orange?
Orange is the colour chosen to represent Harmony Week. Traditionally, orange signifies social communication and meaningful conversations. It also relates to the freedom of ideas and encouragement of mutual respect. Australians can choose to wear something orange during 17-23 March to show their support for cultural diversity and an inclusive Australia.
Our cultural diversity
Australia is a vibrant and multicultural country from the oldest continuous culture of our first Australians to the cultures of our newest arrivals from around the world.
Our cultural diversity is one of our greatest strengths and is at the heart of who we are. It makes Australia a great place to live.
An integrated multicultural Australia is an integral part of our national identity. All people who migrate to Australia bring with them some of their own cultural and religious traditions, as well as taking on many new traditions. Collectively, these traditions have enriched our nation.
Facts and figures
There are some fascinating statistics about Australia’s diversity that can be good conversation starters:
- nearly half (49 per cent) of Australians were born overseas or have at least one parent who was
- we identify with over 300 ancestries
- since 1945, more than 7.5 million people have migrated to Australia
- 85 per cent of Australians agree multiculturalism has been good for Australia
- apart from English, the most common languages spoken in Australia are Mandarin, Arabic, Cantonese, Vietnamese, Italian, Greek, Tagalog/Filipino, Hindi, Spanish and Punjabi
- more than 70 Indigenous languages are spoken in Australia.
Diane Morwood
Assistant Principal
Our cultural diversity
Australia is a vibrant and multicultural country from the oldest continuous culture of our first Australians to the cultures of our newest arrivals from around the world.
Our cultural diversity is one of our greatest strengths and is at the heart of who we are. It makes Australia a great place to live.
An integrated multicultural Australia is an integral part of our national identity. All people who migrate to Australia bring with them some of their own cultural and religious traditions, as well as taking on many new traditions. Collectively, these traditions have enriched our nation.
Facts and figures
There are some fascinating statistics about Australia’s diversity that can be good conversation starters:
- nearly half (49 per cent) of Australians were born overseas or have at least one parent who was
- we identify with over 300 ancestries
- since 1945, more than 7.5 million people have migrated to Australia
- 85 per cent of Australians agree multiculturalism has been good for Australia
- apart from English, the most common languages spoken in Australia are Mandarin, Arabic, Cantonese, Vietnamese, Italian, Greek, Tagalog/Filipino, Hindi, Spanish and Punjabi
- more than 70 Indigenous languages are spoken in Australia.
Diane Morwood
Assistant Principal
The following students will be receiving their Student of the Week Certificate at assembly, next Friday 22nd March.
| Room | Student | Reason |
|--------|-------------|------------------------------------------------------------------------|
| FB8 | Shlok R | Being a good friend both in and outside of the classroom. He is always kind and willing to help others. Well done, Shlok. |
| FL10 | Amy G | Always putting in extra effort to ensure she produces her best work. Well done, Amy! |
| 1W6 | Scarlett R | Consistently demonstrating the school values of Respect, Responsibility, Relationships and Resilience. |
| 1M7 | Luka T | Working exceptionally hard on his reading and writing throughout the term. Keep up the great effort, Luka! |
| 3/4P | Obadiah L | His amazing writing about the deep connection he made with Anh Do’s ‘The littlest Refugee’. Well done, Obadiah! |
| 5R20 | Dustin L | Consistently showing outstanding responsibility within classroom. Keep up the great effort! |
| 6H2 | Kirsten G | Working hard on her reading and comprehension. |
| 6W4 | Katelyn S | Using ambitious vocabulary in her stories. |
Specialist Values Award – Term 1: Week 7
| Subject | Class |
|------------------|---------|
| Physical Education | 5K18 |
| Visual Arts | 1M7 |
Payment Due Dates
| Year Level | Excursion/Incursion | Cost | Due Date | CSEF / Credit Applicable |
|------------|--------------------|------|----------------|--------------------------|
| 6 | Camp Deposit | $50 | Friday 15th March | Yes |
CSEF Applications are now open and being processed.
If you wish to pay using CSEF or Credit, please select this option on QKR. If you are unsure of how to process or not sure of your CSEF or Credit balance please contact the Administration office for assistance.
Happy Birthday to the following students who will be celebrating their birthdays this week!
Mika
Tahni
Madison
Finley
Emma
Have a look at what we are doing at Maramba Primary School Theircare OSHC!
Some fun activities that we have planned are weekly themes and weekly activities, being creative drawing, painting and designing, being active and activity-based games!
To use the program, you will need to ENROL at www.theircare.com.au
It is simple, fast and there are no enrolment fees! That means even if you are not planning on using the service but find that you are running late you have that peace of mind that your children are safe, fed and enjoying themselves with their friends under the supervision of qualified professionals.
Operating hours
BSC- 6:30am -8:45am
ASC- 3:25pm- 6:00pm
Fees
BSC- $21.00 (Out of pocket $3.51– $21.00)
ASC- $29.95 (Out of pocket $5.90– $29.95)
www.theircare.com.au or phone 1300 072 410
TheirCare, your Quality Out of School Hours Care Provider
Maramba Primary School
About the program
TheirCare provides a stimulating and safe environment for all children and an environment where children come and enjoy their time in their program. During sessions children develop life skills, friendships, confidence and creativity through play.
Maramba Primary School has partnered with TheirCare to provide quality care, flexibility and commitment to deliver on our promise to your school community.
| Operation Times | Fees* | Out of Pocket | Average^ |
|--------------------------|-------------|---------------|----------|
| Before School Care | $21.00 | $3.51 - $21.00| $4.12 |
| After School Care | $29.95 | $5.90 - $29.95| $6.75 |
| Pupil Free Day | $60.00 | $9.00 - $60.00| $10.80 |
| Late Fee | $5.00 | $5.00 | |
| Cancellation Fee | | | |
| Cancellation fee | | | |
Service Phone Number: 0477 006 282 operational from 18th February. Your service coordinator will be available during session times. TheirCare support is available during office hours if required on 1300 072 410
How to Enrol
Visit TheirCare website: www.theircare.com.au and click on book now in the top right hand corner to register your child’s details.
CANTEEN MENU
Term 1 - 2019
Open Lunchtime Wednesday and Friday
Friends of Maramba
HOT FOOD - Only available to purchase on QKR! for Fridays only
QKR! orders must be placed before 9.00am.
| Item | Price |
|-----------------------------|-------|
| Snack Pies | $1.00 |
| Sausage Rolls (mini) | 70c |
| Sausage Roll (Halal) | $2.50 |
| Vegetable Pastie | $3.00 |
| Chicken Tenders | $1.50 |
The following items are available through QKR and cash sales at the canteen
SNACKS
| Item | Price |
|-------------------------------------------|-------|
| Vegie Chips (Natural, BBQ, Salt & Vinegar or Chicken) | $2.00 |
| Mam mee Noodle Snacks | 75c |
| Popcorn | 50c |
FROZEN
| Item | Price |
|-------------------------------|-------|
| Icy Pole Tubes | 50c |
| Mini Calipo (Raspberry) | $1.20 |
| Icy Twist (Lemonade) | $1.20 |
| Paddle Pops (Chocolate & Rainbow) | $1.50 |
| Vanilla School Cup | $1.00 |
DRINKS
| Item | Price |
|-------------------------------------------|-------|
| Nippy’s Flavoured Milk 250ml (Chocolate & Strawberry) | $2.00 |
| Focus Sports Water 350ml (Lemonade, Raspberry or Fruit Fix) | $2.00 |
ALL Hot food MUST be ordered online using the QKR! app.
Snack orders for Foundation and Year 1 students must order through class lunch tubs. Please place money in an envelope with your child’s name, class, and order on the front. Orders will be delivered to the child’s class room.
FOM are always looking for volunteers to help in the canteen. Please leave your name and contact number with the school office if you would like to help out.
CSEF APPLICATIONS NOW AVAILABLE
CSEF application forms were sent home today with the youngest child in the family. Please see below for further information and eligibility.
CSEF ELIGIBILITY
Below is the criteria used to determine a student’s eligibility for the Camps, Sports and Excursions Fund (CSEF).
Criteria 1 – Eligibility
To be eligible* for the fund, a parent or legal guardian of a student attending a registered Government or non-government Victorian primary or secondary school must:
- on the first day of Term one, or;
- on the first day of Term two;
a) Be an eligible beneficiary within the meaning of the State Concessions Act 2004, that is, be a holder of Veterans Affairs Gold Card or be an eligible Centrelink Health Care Card (HCC) or Pensioner Concession Card (PCC) holder, OR
b) Be a temporary foster parent, and;
c) Submit an application to the school by the due date.
* A special consideration eligibility category also exists. For more information, see: www.education.vic.gov.au/csef
Parents who receive a Carer Allowance on behalf of a child, or any other benefit or allowance not income tested by Centrelink, are not eligible for the CSEF unless they also comply with one of (a) or (b) above.
Criteria 2 - Be of school age and attend school in Victoria
School is compulsory for all Victorian children aged between six and 17 years of age inclusive.
For the purposes of CSEF, students may be eligible for assistance if they attend a Victorian registered primary or secondary school. Typically, these students are aged between five and 18 years inclusive.
CSEF is not payable to students attending pre-school, kindergarten, home schooled, or TAFE.
Eligibility Date
For concession card holders CSEF eligibility will be subject to the parent/legal guardian’s concession card being successfully validated with Centrelink on the first day of either term one (29 January 2019) or term two (23 April 2019).
PAYMENT AMOUNTS
CSEF payment amount
The CSEF is an annual payment to the school to be used towards camps, sports and/or excursion expenses for the benefit of the eligible student.
- Primary school student rate: $125 per year.
- Secondary school student rate: $225 per year.
The CSEF is paid directly to your child’s school and will be allocated by the school towards camps, sports and/or excursion costs for your child.
For ungraded students, the rate payable is determined by the student’s date of birth. For more information, see: www.education.vic.gov.au/csef
Year 7 government school students who are CSEF recipients are also eligible for a uniform voucher. Secondary schools are required to make applications on behalf of parents so please register your interest at the school.
HOW TO COMPLETE THE APPLICATION FORM
NOTE: ALL SECTIONS MUST BE COMPLETED BY PARENT/LEGAL GUARDIAN
1. Complete the PARENT/LEGAL GUARDIAN DETAILS section.
Make sure that the Surname, First Name, and Customer Reference Number (CRN) details match those on your concession card. You will also need to provide your concession card to the school.
If you are claiming as a Foster Parent or a Veteran Affairs Pensioner, you will need to provide a copy of documentation confirming your status as a temporary Foster Parent or provide your Veterans Affairs Pensioner Gold card to the school.
2. Complete the STUDENT/S DETAILS section for students at this school.
3. Sign and date the form and return it to the school office as soon as possible. The CSEF program for 2019 closes on 28 June, 2019.
CSEF payments cannot be claimed retrospectively for prior years.
Queries relating to CSEF eligibility and payments should be directed to the school.
© 2017 Department of Education and Training
Camps, Sports and Excursions Fund (CSEF) Application Form
Parent/legal guardian details
Surname__________________________
First name__________________________
Address_____________________________________________________
Town/suburb ___________________________ State ________ Postcode________
Contact number__________________________
Centrelink pensioner concession OR Health care card number (CRN)
[ ] [ ] - [ ] [ ] - [ ] [ ] - [ ] OR
[ ] Foster parent* OR [ ] Veterans affairs pensioner
*Foster Parents must provide a copy of the temporary care order letter from the Department of Health and Human Services (DHHS).
Student details
| Child's surname | Child's first name | Student ID | Date of birth (dd/mm/yyyy) | Year level |
|-----------------|--------------------|------------|----------------------------|------------|
| | | | | |
| | | | | |
| | | | | |
| | | | | |
| | | | | |
I authorise the Department of Education and Training (DET) to use Centrelink Confirmation eServices to perform an enquiry of my Centrelink customer details and concession card status in order to enable the business to determine if I qualify for a concession, rebate or service. I also authorise the Australian Government Department of Human Services (DHS) to provide the results of that enquiry to DET.
I understand that:
• DHS will use information I have provided to DET to confirm my eligibility for the Camps, Sports and Excursions Fund and will disclose to DET personal information including my name, address, payment and concession card type and status.
• This consent, once signed, remains valid while my child is enrolled at a registered Victorian school unless I withdraw it by contacting the school.
• I can obtain proof of my circumstances/details from DHS and provide it to DET so that my eligibility for the Camps, Sports and Excursions Fund can be determined.
• If I withdraw my consent or do not alternatively provide proof of my circumstances/details, I may not be eligible for the Camps, Sports and Excursions Fund provided by DET.
• Information regarding my eligibility for the Camps, Sports and Excursions Fund may be disclosed to the Victorian Department of Health and Human Services and/or State Schools Relief for the purpose of evaluating concession card services or confirming eligibility for assistance.
You are able to request access to the personal information that we hold about you, and to request that any errors be corrected, by contacting your child’s school.
Signature of applicant__________________________ Date __/__/__
Please complete and return form to the school administration office.
Time to Sign up...........to a quick and easy way to pay for school activities.
Maramba Primary is listening and we are introducing a new payment app called QKR! The app provides a more convenient way for parents and carers to receive notices for activities that require a payment and allows parents and carers to make school payments directly from their phone or Ipad, anywhere and anytime. Following is a step by step guide of how to join the app. If you need help please contact the office.
Introducing Qkr! (pronounced ‘quicker’) by Mastercard, the secure and easy way to order and pay for school items from your phone at a time and place that suits you.
With Qkr you can:
- Order and pay for your child’s lunches, reducing the need to bring cash to school;
- Pay for a variety of school items;
- See your receipts on the app and get them sent by email if required.
Getting started is easy - try it yourself today
Step 1 Download Qkr!
on your Android phone or iPhone. iPad users can download iPhone app
Step 2 Register
Select your Country of Residence as ‘Australia’ and follow the steps to register
Step 3 Find our school
Our school will appear in ‘Nearby Locations’ if you’re within 10km of the school, or search for our school by name.
Step 4 Register your children
When first accessing our school you will be prompted to add a student profile for your child. This allows you to make orders and payments for them.
If you have made a purchase you can select our school from ‘Previous Location’
If you’re within 10 kms of the school, you can select our school from ‘Nearby Locations’
Instructions continued over the
Add your children’s details in Student Profiles
Select ‘Add student profile’
Add each child’s details
Manage each child’s details in Student Profiles
Order meals
Select a menu from our canteen
Tap the green box to view your receipt or to cancel an order
Select a date for a child and order a meal
Tap ‘Repeat order’ to copy all paid orders from one week to the next
Tap to change the date you are ordering for
Tap to change the child you are ordering for
Tap ‘Checkout’ then confirm and pay
Making payments
Add up to 5 cards to your wallet:
At checkout select which card to pay with.
Pay with any cards accepted by the school.
Once your payment is approved you can continue to the home page, or view your receipt.
Benefits:
- No more looking for cash
- No need for payment envelopes
- Permission forms completed online
- Safe secure site – no credit card exposure
- Push notification for new payment required
- Pay anywhere or any time of the day
Konnective is a mobile app solution that will allow us to communicate with you, our parents, straight to your smartphone. We will be sending news, events, photos and more so that you can be even more connected with your children’s activities and events at the school. Using the Konnective app, you can add events directly to your phone’s calendar, set reminders for things you need to do and receive important alerts (similar to a text message) as soon as they are released.
Via the app, we can send communication to specific grade levels, so you will receive information specific to your child’s grade as well as general news, events and updates that will go to everyone. This will extend and enhance our existing communications (eg. Newsletter, website).
To access via your Smartphone:
Download Konnective App through your smartphone app store. (Apple, Play Store etc)
Register here using your email address and create a password. You will then receive a confirmation email requesting you to click on the link in the Konnective email.
You are now ready to use Konnective and stay up to date with the latest school news.
- Login using the registered email and password you created
- Click on top left hand Menu button
- Select My Connections
- Click on Add button – top right of screen
- Scroll down and select Maramba Primary School
Then request approval for general updates and your children’s year level updates. You will be prompted to enter your relationship to the school, type parent/guardian/grandparent etc. Once accepted by school administration you will receive the latest news straight to your phone.
SCHOLASTIC BOOK CLUB ISSUE 2
ORDERS AND PAYMENTS DUE BY MARCH 22ND 2019
PLEASE REMEMBER THAT ALL ORDERS ARE TO BE PLACED ONLINE THROUGH LOOP.
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WHAT DO THESE PEOPLE HAVE IN COMMON?
Justin Bieber
Selena Gomez
Ste Hay
Cheryl Tweedie
Cristiano Ronaldo
Leonardo Di Caprio
THEY ARE ALL BUSINESS PEOPLE?
Stationery
Perfume
Book
Aftershave
Calendar
The Hutch Owner
BUSINESS IS ALL AROUND YOU….
Look at this scene from EastEnders, it is full of different businesses and organisations!
- The BBC logo is in the top corner
- The National Lottery has a stand in the corner
- The till is manufactured by a business
- Denise’s jeans have been manufactured by a business
- The products in the fridge have been manufactured by a business
- The Minute Mart is a business that provides a service
You will need to know how business work when you leave school as you will be dealing with business all day everyday and eventually working for one!
OCR Cambridge Technical Level 3 in Business
Your OCR Level 3 Cambridge Technical Extended Certificate in Business is made up of 5 units. 3 Mandatory units and 2 optional units that I have chosen for you to give you a wide range of business knowledge and skills. The units you will complete are:
| Unit Number | Unit Title | GLH | Assessment | Mandatory or Optional |
|-------------|-----------------------------|-----|------------|-----------------------|
| 1 | The Business Environment | 120 | Exam | Mandatory |
| 2 | Working in Business | 60 | Exam | Mandatory |
| 4 | Customers and Communication | 60 | Assignment | Mandatory |
| 5 | Marketing and Market Research | 60 | Assignment | Optional |
| 8 | Introduction to Human Resources | 60 | Assignment | Optional |
WHAT HAVE BUSINESS STUDENT GO ON TO DO
Study Business as university
Work in businesses all around the city
Start up their own business
Apprenticeships all around the city
JOBS IN BUSINESS
Coca Cola Rep - £32,000 per year
Plymouth Argyle Human Resources Manager - £35,000
Wrigley Marketing Manager - £60,000 per year
Finance Assistant Vue Cinema - £22,000 per year
Ginsters Area Manager - £42,000 per year
https://workplaceinnovation.eu/innocent-smoothie-makers/
THE WORLD OF BUSINESS
Business and organisations can be split into sections in the UK.
Public sector—run and controlled by the government....
Private sector—owned privately with the main purpose of making a profit.
Voluntary sector—not for profit organisations, charities and trusts.
THE WORLD OF BUSINESS
We are going to focus on the private sector....
Private sector—owned privately with the main purpose of making a profit
WHAT MAKES AN IDEA ANY GOOD?
GOOD IDEAS SOLVE PROBLEMS
One of the main reasons that these ideas failed was because customers didn’t need them.
The most successful businesses solve a problem — this way customers will be desperate to pay for their products and services.
GOOD IDEAS SOLVE PROBLEMS
CHAPTER I
THE year 1866 was signalised by a remarkable incident, a mysterious and puzzling phenomenon, which doubtless no one has yet forgotten. Not to mention rumours which agitated the maritime population and excited the public mind, even in the interior of continents, seafaring men were particularly excited. Merchants, common sailors, captains of vessels, skippers, both of Europe and America, naval officers of all countries, and the Governments of several States on the two continents, were deeply interested in the matter.
For some time past vessels had been met by "an enormous thing," a long object, spindle-shaped, occasionally phosphorescent, and infinitely larger
GOOD IDEAS SOLVE PROBLEMS
WHAT PROBLEMS DID THESE SOLVE?
WHAT ARE THE PROBLEMS THAT YOU FACE EVERYDAY?
WHAT ARE THE PROBLEMS THAT YOU FACE EVERYDAY?
HOW CAN YOU TURN THESE PROBLEMS INTO MONEY?
I want you to try and solve one of these problems by planning and designing an idea for an App for phones and tablets.
TYPES OF APPS
1. Time wasters
2. Everyday
3. Occasional
Decide upon the problem you would like to tackle... and explain why.
Explain what your App will do, how it will solve the problem(s) that you’ve identified.
Which types of App will yours be? Timewaster? Everyday? Occasional?
What type of person will buy your App? Age, gender etc.
You need to come up with a name for your App. This needs to be catchy – something that people will remember and that suggests what it does.
You also need to come up with a price to charge for it. You can choose whatever price you want but you must think about the problem it’s solving and who is going to buy it.
Design the look of the App — what it’s going to look like on the home screen of a phone or tablet.
Think about the types of colours that will make it stand out from the crowd and also fit in well with the type of customer that will buy it.
HAVE A NICE DAY
I can not wait to welcome you to the business class.
Please email me your tasks by the end of the day.
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How to Foster Executive Functioning at School and At Home
Sean McCormick, M.Ed. | ET
Housekeeping
- Questions at the end
- Let me know if you can’t see something
- Raise your Zoom hand and Christine will call on you
Thank You
Kara Scanlon
Nan Freund
Dr. Mary Beth Burns
Do you have a student who...
...is perpetually missing assignments?
...works during your sessions and then struggles to make progress afterward?
...is very intelligent, but consistently earns C’s or D’s?
You may have an Edward!
Tech Tip - Use Calendly to get the answers before you meet!
The length of our support process is dependent on the goals you share. What goals would you like to reach and by when?
I'm looking for help for my 15 year old son, who is struggling to keep up with his homework assignments within a reasonable amount of time. He needs help strategizing with setting goals to complete his homework more timely.
How would you feel if the goals above were accomplished?
It would be a relief for my son to have some free time that is not spent doing homework.
Our service is online. Do you have access to wi-fi and a computer to receive support? *
☐ Yes
☐ No
I have a few questions I’d like to ask to assess if I can help you -- can we start with that?
Examples of trial closes
- Am I right?
- Isn’t that cool?
- Isn’t that exciting?
- Is this making sense?
- Are you all getting this?
- Are you ready to get started?
- I’m sure you’ve noticed this too, right?
- Would you like to be our next case study?
- Can you imagine if that happened to you?
- You’ve heard them talk about this before, right?
What are we selling?
an investment in knowledge pays the best interest.
- Benjamin Franklin
After 6 weeks, we will have a family team meeting to check in on the progress of how things are going.
Does that work for you?
Edward’s Background
- High school sophomore in a private school
- Diagnosed with ADHD inattentive type
- Neuropsych showed:
- Low working memory (both verbal and non verbal)
- High scores in verbal reasoning
- Above average IQ
Edward’s Story
- Teachers describe him as a “daydreamer”
- Makes “careless” mistakes on homework
- “Needs to try harder”
- Pattern of missing assignments and low test grade
Baseline
- In February 2021, report card showed:
- English: “D”
- AP Chemistry: “D-”
- US History 2: “C-”
- Algebra 2: “D+”
- Spanish Year 3: “C-”
- Advisory: “A”
What grades do you want to see on your report card at the end of this semester?
Will you write that down on Tasks?
Report card was:
- English: “D”
- AP Chemistry: “D-“
- US History 2: “C-“
- Algebra 2: “D+”
- Spanish Year 3: “C-“
- Advisory: “A”
Why does this work?
Dr. Gail Matthews of Dominican University...
"...led a study on goal-setting with nearly 270 participants. The results?
You are **42 percent** more likely to achieve your goals if you write them down."
What will you write down today to increase your chances of achieving it by 42%?
“There is massive evidence that self-selected reading, or reading what you want to read, is responsible for most of our literacy development.”
–Stephen Krashen, PhD
What is the Reticular Activation System?
The brain’s executive assistant
Catches sensory information related to our goals / preferences / interests
Filters out information that our brain perceives as a threat to our goals
Edward, how would it feel to sit with your parents around the dinner table and open up the transcript from your school and see...
- "B" in English
- "B" in AP Chemistry
- "A-" in US History
- "B+" in Algebra 2
- "A" in Spanish Year 3
- An "A" in Advisory
Positive Visualization and Its Effects on Strength Training
Janette Hynes, Zach Turner
Transylvania University, Lexington, KY, United States, 40508
“The positively visualizing group demonstrated a 10-15 lb. increase in weight moved, while the control group only demonstrated a 5 lb. increase.”
What is happening in Edward’s brain?
Edward cognitively identified goals within his zone of proximal development.
Edward emotionally connected with his goals because they are his and he has visualized how it would feel to reach those goals.
Edward has turned on his Reticular Activation System which is a magnet for sensory cues that will help him reach his goal.
“When you really want something, the whole universe conspires in helping you to achieve it”
— Paulo Coelho
Tomorrow, we need to identify the steps to reaching your goal.
Are you up for the journey, Edward?
Edward, can I share a note after each session with your parents about what you are accomplishing?
Yes
Tech Tip 🤖 - Use a CRM to track your students’ goals
Attendees:
- [✓] [✉️] [💬]
Student Note:
Hi [✉️]
It was great meeting today! It was so great to see you so excited about your class and feeling engaged in the community. Here is what you are working on:
- What you accomplished:
- Set up accommodations
I will see you next week on Monday at 3:05 pm.
Best,
Sean
Linked Online Resources
+ Add File...
Email Notes
- [ ] Jacob [✉️]
- [ ] Lo [✉️]
- [ ] [✉️]
- [ ] Myself
“…when we look at a list of the mental processes most often listed as being part of the notion of EF, they include: inhibition, resistance to distraction, self-awareness, working memory, emotional self-control, and even self-motivation.”
The Important Role of Executive Functioning and Self-Regulation in ADHD©
Russell A. Barkley, Ph.D.
Self-Motivation:
Set discrete goals for each class
Write those goals down using Tasks
Verbal working memory:
Write down your goals
Self-Awareness
Review current grades
Non-Verbal Working Memory:
Visualize how it will feel to reach your goals
Inhibition
Reduce inhibition by using trial closes throughout process
Emotional Regulation
Used visualization to create positive feelings around engagement with school
Planning & Problem Solving
?
Show me how you know what is missing and what will be due soon
On Canvas I have this agenda...
Next step -- find all the work
Another teacher posts his HW on a website:
Week 19: 5/26/20 Remote Class 9
Purpose: To continue to learn about paying for energy
Agenda:
* KWH rates
* Types of plans
* Calculate a load of laundry and dishes during peak or off peak
Practice Final Here
Homework:
Practice Final Here
You are going to put each assignment with its point value into Tasks
Are you up for that?
I will earn a "B" in AP Chemistry
- Make up quiz 1 (30 points)
- Do extra credit assignment 1 (10 points)
- Do Lab 4 (20 points)
I’ve got so much missing...
Where do I start?
Which class has the lowest grade?
Report card was:
- English: “D”
- AP Chemistry: “D-”
- US History 2: “C-”
- Algebra 2: “D+”
- Spanish Year 3: “C-”
- Advisory: “A”
In AP Chemistry, which assignment has the greatest point value?
- I will earn a “B” in AP Chemistry
- Make up quiz 1 (30 points)
- Do extra credit assignment 1 (10 points)
- Do Lab 4 (20 points)
Before you start, let’s make sure to get your teacher to “buy-in” to your plan.
Does that work for you?
P Pleasant introduction
I Inform / Inquire
N Negotiate
G Gratitude
Hi (Teacher Name),
I hope you are doing well.
I noticed that my grade in your class is currently a (grade). My goal is to earn a (desired grade). My plan is to complete the following assignments in this order:
1. Assignment you will complete first
2. Assignment you will complete second
3. Assignment you will complete third
Is there anything else you suggest I do to work toward my goal of earning (desired grade) in your class?
Will I be able to earn full credit if I complete these and submit them to you by (choose date)?
Thank you for your guidance,
(Your Name)
"Abracadabra" is actually a Hebrew phrase meaning "I create what I speak."
Edward, would you like to save that as a template so you can use it with your other teachers?
Completed (6)
- Write down all my goals in Tasks
- Share my goal with English teacher
- Share my goal with Spanish teacher
- Share my goal with Algebra 2 teacher
- Share my goal with History teacher
- Share my goal with Chemistry teacher
Delete task
Edward, there is a lot to do and clearly you can’t get it done in the next ten minutes.
Do you want to make a plan to work on one thing between now and tomorrow?
Drag your task into your calendar when you are going to do it.
Now, set an alarm on your phone reminding you to start on that task, at that time.
Ok, gotta set my alarms!
How can prove to me you completed that quiz?
Proof-ability
Copy and paste all of your assignments into the Portfolio Google Slide Template HERE.
Open up your calendar and let’s choose that one thing and when you are going to do it.
Which class has the lowest grade?
Which assignment has the highest value in that class?
How can I chunk out that agreed upon plan into the smallest manageable parts?
Has my teacher agreed to my proposed plan?
Everything is negotiable
Hi (Teacher Name),
I noticed that my grade in your class is currently a (grade).
I want to send a friendly reminder that I turned (name of assignment). I am also attaching it to this email in case it got lost.
---
Hi (Teacher Name),
I wanted to check if you received the email I sent below?
Sincerely,
(Your Name)
Hi (Teacher Name),
I saw that (assignment name) was added to the list of upcoming assignments.
I am not sure how to do this assignment. Could you provide me with step by step instructions or a prompt on how to complete (assignment name).
Sincerely,
(Your Name)
---
Hi Edward,
It was great meeting with you today to review your courses and discuss your action steps for the remainder of the week.
Here is what you accomplished today:
- Printed your Math homework
- Put all your upcoming tasks until our next session into your calendar
- Emailed your Spanish and Chemistry teachers to ask them to update your grades
- Asked for clarity from your English teacher on what sources are allowed for essay
Hi (parent 1) and (parent 2)
Edward ran out of sticky notes -- would you please help him purchase some?
Also, he needs to interview a parent for a history project. Would one of you be able to ask him about this?
Thanks,
Sean
I will see you next week on Monday at 3:05 pm.
Best,
Sean
Edward, we are going to hold a family team meeting. The agenda will be the following:
1. What is going well?
2. What needs to change?
3. Who does what and by when?
4. Other?
What needs to change?
Who does what by when?
I’ve taken the driving exam twice and failed...
Edward, you need...
An error log!
We need to establish a baseline from which we can grow.
Are you up for that?
Regular driver (Class C license)
**English:**
- Class C Test #1
- Class C Test #2
- Class C Test #3
- Class C Test #4
- Class C Test #5
### PROGRESS MONITORING TABLE
| Practice Test | Date / Score #1 | Date/ Score #2 | Date / Score #3 | Date / Score #4 | Date #5 |
|---------------|-----------------|----------------|-----------------|-----------------|---------|
| Test 1 | | | | | |
| Test 2 | | | | | |
| Test 3 | | | | | |
| Test 4 | | | | | |
| Test 5 | | | | | |
---
### How do you get from here to here?
| 100% Sure | Not Sure | Don’t Know |
|--------------------------------------------------------------------------|--------------------------------------------------------------------------|---------------------------------------------------------------------------|
| With a Class C drivers license you can drive: | You are getting ready to make a right turn. *You should: slow down, look in your mirror, and then make the turn.* | Always set your parking brake and leave the vehicle in gear or in the “park” position. |
| • A 3-axis vehicle if the Gross Vehicle Weight is less than 6,000 pounds. | You are driving on the freeway. The vehicle ahead of you is a large truck. *You should: *Farther behind the truck then you would for a passenger car. | Downhill: turn the wheels toward the curb. |
| Dumping of any animal is a crime punishable by a fine of up to $1,000 or confinement in a county jail of up to six months, or both. | You see a flashing yellow traffic signal at an upcoming intersection. The flashing yellow light means: *Any flashing yellow signal means drivers are to slow down and proceed through | Uphill: turn the wheels away from the curb. |
| You just sold your vehicle. You must notify the DMV within 5 days. *Required 5 days | No curb: turn the wheels toward the shoulder of the road. | You are driving on a one-way street. You may turn left onto another one-way street only if: |
| 100% Sure | Not Sure | Don’t Know |
| With a Class C drivers license you can drive: | You are approaching a railroad crossing with a train on the tracks and are unable to see 400 feet beyond the tracks in one direction. | |
| • A 3-axis vehicle if the Gross Vehicle Weight is less than 6,000 pounds. | | |
| Dumping of any animal is a crime punishable by a fine of up to $1,000 or confinement in a county jail of up to six months, or both. | | |
| You just sold your vehicle. You must notify the DMV within 5 days. *Required 5 days | | |
Take a multi-sensory approach
| Don't Know |
|------------|
| Always set your parking brake and leave the vehicle in gear or in the “park” position. |
| **Downhill:** turn the wheels toward the curb. |
| **Uphill:** turn the wheels away from the curb. |
| No curb: turn the wheels toward the shoulder of the road. |
| 100% Sure | Not Sure | Don't Know |
|-----------|----------|------------|
| With a Class C drivers license a person may drive:
- A 3-axle vehicle if the Gross Vehicle Weight is less than 6,000 pounds. |
| Dumping of any animal is a crime punishable by a fine of up to $ 1,000 or confinement in a county jail of up to six months, or both. |
| You just sold your vehicle. You must notify the DMV within ___ days.* Required 5 days |
| You are getting ready to make a right turn. You should: slow down or stop, if necessary, and then make the turn. |
| You are driving on the freeway. The vehicle in front of you is a large truck. You should drive: * Farther behind the truck then you would for a passenger vehicle |
| You see a flashing yellow traffic signal at an upcoming intersection. The flashing yellow light means: * Any flashing yellow signal means drivers are to slow down and proceed through |
| Always set your parking brake and leave the vehicle in gear or in the “park” position. |
| **Downhill:** turn the wheels toward the curb. |
| **Uphill:** turn the wheels away from the curb. |
| No curb: turn the wheels toward the shoulder of the road. |
| **You are driving on a one-way street.** You may turn left onto another one-way street only if: |
| 100% Sure | Not Sure | Don’t Know |
|--------------------------------------------------------------------------|-------------------------------------------------------------------------|------------|
| With a Class C drivers license a person may drive: | Always set your parking brake and leave the vehicle in gear or in the “park” position. | |
| • A 3-axle vehicle if the Gross Vehicle Weight is less than 6,000 pounds.| Downhill: turn the wheels toward the curb. | |
| | Uphill: turn the wheels away from the curb. | |
| | No curb: turn the wheels toward the shoulder of the road. | |
| | You are driving on a one-way street. You may turn left onto another one-way street only if: | |
| | • Traffic on the street moves to the left. | |
| Dumping of any animal is a crime punishable by a fine of up to $ 1,000 or confinement in a county jail of up to six months, or both. | | |
| You just sold your vehicle. You must notify the DMV within ___ days. * | | |
| Required 5 days | | |
| • 2. You are approaching a railroad crossing with no warning devices and are unable to see 400 feet down the tracks in one direction. | | |
85
| 100% Sure | Not Sure | Don’t Know |
|--------------------------------------------------------------------------|-------------------------------------------------------------------------|------------|
| With a Class C drivers license a person may drive: | | |
| • A 3-axle vehicle if the Gross Vehicle Weight is less than 6,000 pounds.| | |
| Dumping of any animal is a crime punishable by a fine of up to $ 1,000 or confinement in a county jail of up to six months, or both. | | |
| You just sold your vehicle. You must notify the DMV within ___ days. * | | |
| Required 5 days | | |
| • 2. You are approaching a railroad crossing with no warning devices and are unable to see 400 feet down the tracks in one direction. | | |
| Test: | August 3: | August 4: | August 9: |
|-------|-----------------|-----------|---------------|
| Test 1: | 9/10, 8/10, 9/10, 9/10, 10/10 | 10/10 | 10/10, 10/10 |
| Test 2: | 7/10, 10/10, 10/10 | 10/10 | 10/10, 10/10 |
| Test 3: | 7/10, 8/10 | 10/10 | 9/10, 10/10 |
| Test 4: | 10/10 | | 7/10, 8/10 |
| Test 5: | 8/10, 8/10 | 9/10 | 9/10, 9/10 |
Hi Sean. Thanks for your support with [redacted]. He was so happy! And feels very positive about working with you. So it’s cool that you guys worked on a challenge together and it showed him how by studying and persevering he could get over the obstacle 👍
1 Reply
Approximately one month later...
☐ seems to have a new level of motivation!
Ya? That’s great to hear! What did you notice?
I noticed him staying up late last night working hard. He also went to study group late this afternoon and then dinner with his buddies. Presumably the ones from his group. Both good to see!
I’m so glad to hear that. I am
What is it all about?
“You do not rise to the level of your goals. You fall to the level of your systems.”
— James Clear
What else do you want to finish today?
just turned in the heating curve assignment
And the heat/phase change!
No more missing!
Ahhh yaaaa!!!!!
As we discussed, we are so grateful Salvador has been able to connect with [ ] and because of his support, [ ] is now in good standing with the school and able to return for 8th grade.
---
**Self-Motivation:**
- Set discrete goals for each class
- Write those goals down using Tasks
**Verbal working memory:**
- Write down your goals
**Self-Awareness**
- Review current grades
- List out all missing and/or upcoming assignments
**Non-Verbal Working Memory:**
- Visualize how it will feel to reach your goals
**Inhibition**
- Chunk out tasks to smallest manageable portion
- Get buy-in on each step of the way
**Emotional Regulation**
- Track completed steps to see progress
**Planning & Problem Solving**
- Seek feedback on self-generated remediation plan
Bonus: My error log template
Communication Templates
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How to train your horse to be comfortable when hobbled
The practice of hobbling has been around since humans began riding horses. For some horsemen hobbling is as common and comfortable as putting on a halter. For others, hobbling a horse seems intimidating and maybe even dangerous. In this article I’ll discuss the value of hobble breaking a horse and the procedures I use to teach this form of restraint.
Some may say, “I don’t need to hobble break my horse. If I want my horse to stay put, I’ll tie him up.” That might be true. However, there are other benefits of hobbling you might not have considered. The number one reason is that it might one day save your horse’s life. A horse’s basic instinct of survival is to run away. If they feel caught by something such as a barbed wire fence, their instinct tells them to pull, jerk, and fight until they are free. If he has his foot stuck in a barbed wire fence, it could be disastrous. If your horse understands the concept of restraint and yielding to pressure rather than resisting and pulling against it, he just might survive the experience.
Horses that incessantly paw while tied can also benefit from hobbling. A hobbled horse can learn patience at the hitching rail and not paw a hole clear to China in the process. I’ve also observed busy, nervous horses anxiously pawing at the ground while tied to floats. They have torn off hub caps, dented trailers, and at times even hurt themselves. Putting on a set of hobbles often quiets everything down and defuses the situation. But remember – Never put hobbles on a horse until you know that your horse is adequately prepared and hobble broken beforehand.
This is how I do it:
I recommend that hobbling be introduced in a confined area such as a round yard, or in a paddock with soft ground which is my preferred environment. Good ground helps prevent burns and scrapes should the horse fall down on his knees during this training session. I also put support wraps on the horse’s front legs to help prevent the hobbles from being abrasive should the horse struggle during the process.
Preparing your horse for hobbling beforehand can allow this experience to be less traumatic. It is recommended that you exercise your horse for a couple of hours so that the horse is ready to relax and have a feed. Placing a rope around each front foot and asking the horse to yield to pressure can be a great preparation exercise prior to introducing the hobbles. This is often a good indicator of how the horse will respond and or react to being restrained when hobbled. You can take a few minutes or even a few days preparing your horse with these preliminary exercises.
When putting hobbles on your horse, it is important to be aware that you do not put yourself in danger. Begin this process in the center of the arena (away from the perimeter panels) and stand alongside your horse in such a way as not to get hit or knocked over should your horse react negatively and struggle. Always place the first hobble strap on the leg furthest away from you. There is nothing worse than to be smacked by a hobble strap and chain just because your horse lifted their foot causing the hobble to swing around. Being hobbled for the first time can be scary for your horse. They could rear up and strike out. It’s important that you stay in a safe position alongside and not in front of your horse.
Once the hobbles are on, I want my horse to feel the perimeters of his restraint. Keeping hold of the lead rope, I’ll place my hands on his withers and rock my horse back and forth until he moves his feet feeling the confines of the hobbles. Once that is accomplished, I’ll step away while still holding onto the lead rope. His natural inclination might be to follow. I’ll raise my free hand (like a policeman stopping traffic) and say “whoa.” This will be the cue to let my horse know that he should stand still rather than follow me. I then let him work it out for himself. If you are out in the paddock he will start eating and only notice the hobbles as he steps forward.
When first hobbled, horses react differently and with varying degrees. They might lunge forward, hop around, or fall down on their front knees. I’ll continue to say “whoa” and wait for them to stop. When my horse gets quiet and stands still for a moment I’ll walk up to him and begin rubbing him reassuringly. I will then step away again and repeat this process many times on both sides of my horse. At this point I might remove the hobbles and walk my horse around for a couple minutes and then hobble them again. I’ll then repeat the same process. After two or three days of these hobbling lessons, a horse is well on his way to being hobble broken. This method is based on the first rule of horsemanship--‘Belly will beat him every time’.
It’s important to understand that hobbling a horse is not to be used as a method to keep your horse in one place in your absence. Horses can travel great distances while hobbled if they’re so inclined. More than one back country rider has been left stranded when their hobbled horse was nowhere to be seen the following morning.
Hobbling is a great exercise and every horse can benefit from learning this training technique. If you or a trusted professional adds hobbling to your horse’s repertoire, it just might save his life someday! | 3e0f11b4-117f-4f0f-bffb-568162e842df | CC-MAIN-2024-30 | http://thousandmiler.net/images/rider%20information%20pdfs/How%20To%20Hobble.pdf | 2024-07-17T12:46:35+00:00 | crawl-data/CC-MAIN-2024-30/segments/1720763514771.72/warc/CC-MAIN-20240717120911-20240717150911-00724.warc.gz | 29,965,073 | 1,148 | eng_Latn | eng_Latn | 0.999401 | eng_Latn | 0.999418 | [
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Welcome to Reception
OVERCHURCH INFANT SCHOOL
2020/2021
Moreton Road
Upton
Wirral
CH49 4NS
Tel: 0151 677 3335
email: email@example.com
Website: www.overchurchinfantschool.co.uk
Headteacher: Mr S Elliott
CONTENTS
- Introduction to Parents
- Staffing
- The Reception Day
- Your Child’s Progress
- The Foundation Stage at Overchurch Infants
- Reception Key Information
- Organisation of Sessions
- Behaviour
- Attendance and Punctuality
- Illness including supporting pupils with medical needs in school
- Clothing – what my child will need and ordering school uniform information
- Photography
- Milk, Lunches and Snack Time
- Home School Links
- Tapestry
- Little Robins
- Parentmail Communication System
- Health and Safety Notices
Dear Parents / Carers
This booklet is intended to introduce you to the life and routines in Reception at Overchurch Infant School. It contains as much helpful information as we feel necessary, but do not hesitate to ask me or my staff if you have any suggestions or queries that the next few pages do not address.
All the staff at Overchurch Infant School will endeavour to ensure that, whilst in our school, your child will receive the opportunities, facilities, education, and care that they deserve.
Your role in your child’s development is a vital one and it is of great importance to us that we all work together in partnership.
My staff and I would like to welcome you, as we welcome your child, and we will do all we can to make their time in school happy and fulfilling.
Kind Regards
Mr S Elliott
Headteacher
STAFFING
The Reception Team consists of Teachers and Teaching Assistants. They all share together in the planning and delivery of a full and rich curriculum for your child.
In Reception the three parallel classes are organised to ensure Teachers and Teaching Assistants share the responsibility for facilitating the indoor and outdoor learning areas, working closely together to ensure consistency and continuity. This year the Reception team consists of:
- Mrs Seymour supported by Mrs Smith
- Mrs Collins supported by Mrs Holbrook
- Mrs Roberts supported by Mrs Igoe
Reception is part of our Foundation Stage unit and you may hear the Reception year referred to as FS2. In our school we also have a nursery (FS1). Nursery and Reception teachers work closely together.
Miss Cromby – Early Years Foundation Stage Leader
Overchurch Infant and Junior Schools have a very active joint Parents’ Association. All parents are welcome to join; you are automatically ‘members’ as soon as your child starts with us. For further information, you can follow them on Facebook, Twitter @OverchurchPTA or pop into the School Office.
THE RECEPTION DAY
The layout of all of our Reception classes are based upon areas of learning designed to engage the children in a range of educational activities. The role of the adult is initially to help the children access the areas of learning and develop the confidence and skills to tackle new challenges.
Throughout the sessions children will be encouraged to speak and listen to each other and the staff. Your child will alternate between adult directed tasks (as individuals/in groups/or as a class) and independent access to areas of learning in the classroom. These activities will be based indoors and outside in the outdoor classroom. They will include: reading, writing, number, creative role play, small world, water, sand, wheeled vehicles and many more. Stories, poems and nursery rhymes will form an important part of every session. After Christmas the Reception children link with Key Stage 1 (Years 1 and 2) and share whole school assemblies in the hall.
Staff plan together to ensure that they build upon children’s achievements and help them develop further.
You will need to register your child with ‘Cool Milk’ (further details on page 16) and for them to receive milk daily, named water bottles also need to be in school each day. Fruit will be provided for each child daily and will form an essential part of their social learning. Routines will be established for the children that ensure they feel secure whilst offering the maximum potential for their personal development. Children in Reception are given lots of opportunities to take responsibility for their own learning and behaviour with clear structures and support from all adults.
Children are provided with a wide variety of activities and sometimes they may get a bit messy! Please help them to take a full and active part in the activities by dressing them in easily washable clothes.
N.B. Sometimes we will be using products as part of our activities, e.g. food colouring, bubble bath, shaving foam and face paints. You must let staff know if your child has any allergies.
YOUR CHILD’S PROGRESS
As part of our planned daily routine your child will be observed as they play (learn!) in order for the adults to get to know them well and make provision for their learning. We record their observed achievements towards the ‘Early Learning Goals’ and share the achievements with parents/carers on several occasions throughout the year.
Should your child’s progress or behaviour raise any concerns, we will always discuss this with you and involve other support agencies, e.g. speech therapists, hearing support services, educational psychologists, if appropriate.
In Reception, staff will offer ‘drop-in’ sessions each term when they will be available to discuss your child’s progress and any other issues. In school there will be ‘drop in Friday’ events, held at regular intervals, which you will have the opportunity to attend.
THE FOUNDATION STAGE AT OVERCHURCH INFANTS
The ‘Foundation Stage’ begins when children reach the age of three and continues to the end of their Foundation 2 (Reception) year. At Overchurch our Foundation Stage staff will be encouraging your children to become involved in a range of planned ‘play’ activities that aim to enable them to achieve the ‘Early Learning Goals’ by the end of the Reception.
Play is the most significant way through which young children can develop skills, concepts, and attitudes. Play is the child’s way of learning and it cannot be over emphasised. In the mind of the young child there is no division between play and work; for whatever they are doing, they are learning.
The ‘Foundation Stage Curriculum’ is divided into seven areas of learning. The Prime areas are Communication and Language, Physical Development and Personal, Social and Emotional Development. The Specific areas are: Literacy, Mathematics, Understanding the World and Expressive Arts and Design.
Personal, Social and Emotional Development
With every task that your child undertakes we will be emphasising the importance of personal choice and values alongside their growing awareness and understanding of themselves and others.
Communication and Language
These aspects of learning underpin everything we do.
Mathematics
Through games, songs and practical activities, your child will gain knowledge and understanding of number, shape, size, pattern, etc. They will be encouraged to record their findings in a range of ways.
Literacy
Specific group and guided activities will develop reading and writing skills. Phonics is taught following the ‘Letters and Sounds’ programme.
Understanding the World
We will offer the children opportunities to develop knowledge and understanding of their environment, other people, living things and features of the natural and man-made world, making links in their learning through themes that are relevant to the children.
Physical Development
Physical Development will be nurtured both indoors and outdoors through a variety of activities. These will develop the children’s physical control, mobility, awareness of space and manipulative skills.
Expressive arts and design
All children will be encouraged to develop their imagination and the ability to communicate and express ideas and feelings in creative ways e.g. in music, art, dance, stories, and imaginative play.
Outdoor Learning
All children will access the outdoor classroom on a daily basis. Learning outdoors creates opportunities to develop skills. In our first term we focus lots on our physical and social skills.
Woodland Area
We have a wooded area that is used regularly to learn using the natural environment. This helps us to learn through play by taking risks and making choices.
1. Attend the ‘Parent/Teacher’ meeting before your child starts school and ‘Drop in Sessions’ which will provide you with the opportunity to see what your child does in Reception and to chat with the staff.
2. Spend time with your child completing the ‘Getting to know you’ booklet in your induction pack and return it to school by Monday 20th July 2020.
3. Share any thoughts, ideas, or concerns with the staff at the end of the sessions or leave a message with the member of staff at the gate or at the main office.
4. Each class has a special toy which the children take turns in bringing home. Please encourage your child to have a go at their ‘own writing’ in the diary (see information with toy).
5. Try to make time for your child to share a book, play a game, or just to talk. Information about the class topics will be in the termly newsletter.
6. Please take note of, and try to adhere to, the procedures of Reception outlined in this booklet.
7. Please take time to view our school website and familiarise yourself with school policies and further information which are available https://www.overchurchinfantschool.co.uk/
8. Please read the parents’ notice board (on the playground), and newsletters that contain information regarding diary dates of forthcoming events.
9. After half term your child will bring home in their book bag, a home reading book, which must be returned to school each day. In addition to the reading book there will be a ‘reading record book’ for your comments, which should be completed on a regular basis. We will meet with parents in October to introduce our ‘Reading Star’ rewards.
10. After half term, you will receive an information pack about how you can help your child at home. This will include high frequency words and our letter formation sheet.
11. Please help your child to read the ‘Phase 2’ and then ‘Phase 3’ words sent home. It is very important that they learn these sight words in order to become a fluent reader.
ORGANISATION OF SESSIONS
In Reception, the children will have a gradual introduction to school. We will provide further details about this induction period in the coming months.
After the induction period, children will attend from: 8.50am – 3.15pm
Please ensure that your child is brought into and collected from Reception by an adult known to the staff. No child is allowed to leave school with an unknown person, so if somebody different is to collect your child, please ensure s/he is introduced to the staff. In an emergency, please telephone or send a note to inform school of any change.
1. Please wait by the Reception entrance gate when bringing your child. When collecting your child, have a special place to wait where your child knows to look. We will not let your child leave until we know you are there.
2. During the induction period, you will be able to bring your child to find their classroom and coat peg. We then ask you to leave them at the gate to encourage coming in independently – your co-operation is appreciated.
3. Our staff will be at the gate to welcome the children and pass on any messages to the class teachers. If you would like to talk to the teacher yourself, this is more convenient at the end of the day, once all children have been handed over to their parents.
4. Remember to be on time when collecting your child. It can be very upsetting for a young child to be left after his/her friends have been collected. It is important to be punctual at the start of a session to enable your child to benefit from the full session.
5. Pedestrians should not use the service road into the car park at any time. Please also consider the local residents if driving to and from the school.
**GENERAL INFORMATION**
**Behaviour**
From their earliest days in school we help the children to understand the importance of caring for themselves, each other, and the school property. We gradually introduce them to our ‘Golden Rules’ through ‘Circle Time’ sessions, stories and role-playing.
The emphasis is on the positive – ‘I can do’ and praise is given consistently. Should there be a need for sanctions, these are clear and fair and the children soon learn that ‘following the rules’ is better than having warnings, ‘time-out’ or missing ‘Golden Time’.
Small behavioural incidents are dealt with in school and these are a normal part of growing up. Consistently inappropriate or difficult behaviour will be monitored and parents will be informed about this, as they will if a more serious incident occurs, such as biting. In some situations, an Individual Plan may be drawn up and other agencies could be employed.
Our Behaviour and Discipline Policy is available to view and download from our website.
**Attendance and Punctuality**
There is a strong correlation between excellent attendance/punctuality and high attainment. Therefore, it is a priority at Overchurch Infant School to make sure all the children are in school and ready to learn. If you are not at school, you cannot access the curriculum! Thank you for your support in providing your child with the best chance of success.
**Punctuality**
School opens at 8.50am and registers are taken by 9am. If a child arrives late to school, they are less likely to be ready to engage in learning and valuable time is being lost. Even though you might think 5 minutes is nothing to worry about, 5 minutes late every day means that your child misses approximately 15 hours over the year - it soon adds up as this table demonstrates!
| Time late each day | Learning hours lost over a year |
|--------------------|---------------------------------|
| 5 minutes | 15 hours |
| 10 minutes | 31.5 hours |
| 15 minutes | 47.5 hours |
| 20 minutes | 65 hours |
| 25 minutes | 95 hours |
**Attendance Guidelines**
Good attendance at school is very important. If you are not here, you can’t learn!
This year we aim to have an attendance percentage of 96% or above.
Holidays are not allowed during term time. Only in exceptional circumstances will permission be considered.
Every child has 175 non-school days a year (175 days to spend on family time, visits, holidays, shopping, household jobs and other appointments)
| 190 school days in each year | 10 days absence | 19 days absence | 29 days absence | 38 days absence | 47 days absence |
|------------------------------|-----------------|-----------------|-----------------|-----------------|-----------------|
| 190 days for your child’s education | 180 days of education | 171 days of education | 161 days of education | 152 days of education | 143 days of education |
**SAFETY ZONE**
- **100%**
- **95%**
**AT RISK ZONE**
- **90%**
- **85%**
**DANGER ZONE**
- **80%**
- **75%**
**Good**
Best chance of success.
Gets your child off to a great start.
**Worrying**
Less chance of success.
Makes it hard to catch up.
**Serious Concern**
Not fair on your child.
Illness
Please do not bring your child to school if they are ill, no matter how much they protest: it really isn’t fair to them, the other children, or the staff.
If your child has a vomiting or diarrhoea bug the school implements a **48 hour** rule that states that your child must not come in to school for **48 hours** after the last episode of vomiting and/or diarrhoea. This is to limit infection spreading to the other children but also to protect your child from picking up any further infections whilst their immunity is already low.
If your child has received treatment from your doctor, please make sure the doctor has given permission for your child to return to school.
Always inform the school if your child has to stay at home through sickness or any other valid reason by telephone before 10.00am on the first day of absence. The school telephone number is **0151 677 3335**.
If we are concerned about your child’s health during a session, we will contact you. It is then your responsibility to collect your child. Please ensure we always have at least **two current telephone contact numbers**.
Please see below guidance regarding any medical needs or medication requirements your child may have:
**SUPPORTING PUPILS WITH MEDICAL NEEDS IN SCHOOL**
**A GUIDE FOR PARENTS**
This guidance aims to give parents some general information about the way in which schools try to meet pupils’ medical needs and suggests some of the ways in which parents can help school to do so.
**GENERAL** - Local Education Authorities and schools are responsible for the health and safety of pupils in their care. It is anticipated that staff may take the same care that a reasonable and careful parent would take in similar circumstances while they are responsible for the care and control of children. In Wirral the LEA works closely with the Health Authorities in order to provide schools with effective support and guidance for meeting the medical needs of pupils and providing detailed information and advice on expectations and best practice.
- In summary, this states that schools are able to develop their own policies and procedures for supporting pupil’s medical needs, including arrangements for the administering of medication at school.
- In general staff cannot be legally required to administer medication or supervise a pupil taking it. This is a voluntary role. There may be in some cases non-teaching staff appointed who may be responsible for administering medication. Teachers and other school staff nevertheless have a duty to act as any reasonably careful parent would to make sure that pupils in their care are healthy and safe and this might extend to administering medicine or taking action in an emergency.
- For pupils with more complex needs school will draw up an Individual Healthcare Plan with parents and medical staff, with everyone concerned agreeing what action they will take to support the pupil.
HOW CAN YOU HELP YOUR CHILD’S SCHOOL? - It will help your child’s school if you:
- Ensure your child is fit and well enough to attend school.
- Provide FULL details of any health problems he/she may have and keep the school informed of any changes.
- If medicines are prescribed for your child, ask if they can be taken outside of school hours (8:00am, 3:30pm and bedtime).
- Provide full details of any medication requirements and ensure medicines supplied to the school do not exceed their expiry date.
- Primary age children should not carry medicines except possibly inhalers, epi-pens or insulin accompanied by written consent to the school.
- Ensure school has a telephone number where you can be contacted in an emergency. Remember to update school if your telephone number changes.
- The school will only accept medicines that are in-date, labelled and provided in the original container, as dispensed by the Pharmacist and which include instructions for administration, dosage and storage or non-prescription drugs purchased if in the original packaging containing instructions and dosage.
Please Note: Non-prescription medicines will only be administered by school on a case by case basis, involving specific prior written permission from the parents/carers.
Clothing
Children in Reception wear school uniform. The school colours are green, grey, white and yellow. Please - always name all of your child’s clothes clearly, especially jumpers, coats and shoes. The uniform is available to buy from school and also local suppliers.
Children will not need rucksacks whilst in Reception. Please do not bring in umbrellas or large rucksacks. Suitable book bags can be purchased from school and local suppliers.
In September, we will provide a clear book bag for the children to bring to and from school; this is usually all your child will need in addition to a water bottle.
We also ask you to provide a ‘named’ sun hat from April to October as the sun can be very strong even for short periods. (Sun hats with the school logo can be purchased from the school office). Sunglasses are not allowed for Health and Safety reasons and on hot days we advise parents to apply ‘all day’ sun cream in the morning.
For safety reasons, no jewellery should be worn in the school at any time.
What will my child need to start school in September?
- Waterproof coat with hood
- Black, velcro school shoes
- Water bottle (filled with water only)
- Drawstring PE bag with black shorts and a white t-shirt
- Uniform consisting of grey trousers, skirt or pinafore with a white or yellow polo shirt and green jumper or cardigan
Your child WILL NOT need a backpack or book bag. They will be provided with a clear, plastic book bag in September, which will fit in their tray in school.
PLEASE CLEARLY NAME ALL OF YOUR CHILD’S BELONGINGS
Ordering School Uniform
All our uniform is available to purchase from Wirral Uniform Centre and has the school logo embroidered on it. You are able to purchase uniform either directly from the shop or online [https://www.wirraluniforms.com/overchurch](https://www.wirraluniforms.com/overchurch)
Please note: Children do not need to bring a bag into school. Replacement, clear plastic book bags are available to buy from the school office for 50p.
| Description | Size | Price |
|------------------------------------|-----------------------|---------|
| Bottle Green Sweatshirt with logo | Age 3 – 4 (24”) | £10.00 |
| | Age 5 – 6 (26”) | |
| | Age 7 – 8 (28”) | |
| | Age 9 – 10 (30”) | |
| Bottle Green Cardigan with logo | Age 3 – 4 (24”) | £11.00 |
| | Age 5 – 6 (26”) | |
| | Age 7 – 8 (28”) | |
| | Age 9 – 10 (30”) | |
| Yellow or White Polo Shirts with logo | Age 3 – 4 (24”) | £7.00 |
| | Age 5 – 6 (26”) | |
| | Age 7 – 8 (28”) | |
| | Age 9 – 10 (30”) | |
| Bottle Green Hoody with logo | Small – aged 5-6 | £12.00 |
| | Med – aged 7-8 | |
| Elasticated “Pull-Up” Trousers | Ages 3 to 6 | £7.00 |
| Box Pleat Grey Skirt (grey) | Age 2 – 3 | £6.00 |
| | Age 3 – 4 (24”) | |
| | Age 5 – 6 (26”) | |
| | Age 7 – 8 (28”) | |
| Bib Pinafore (grey) | Age 2 – 3 | £10.00 |
| | Age 3 – 4 (24”) | |
| | Age 5 – 6 (26”) | |
| | Age 7 – 8 (28”) | |
| Bottle Green Reversible Coat | Age 3 – 4 (24”) | £18 – plain |
| | Age 5 – 6 (26”) | £20 Embroidered |
| | Age 7 – 8 (28”) | |
| White PE T-shirt | | £5.00 |
| Black pumps | Sizes 6 to 13 | £5.00 |
| Iron on Name Labels x 20 | | £2.00 |
| Green School Bag - Satchel | | £8.50 |
| Green Book Bag | | £5.50 |
You can also buy items without the school logo from other shops and supermarkets.
Photography
In order to protect your child, we follow the Authority’s policy for publishing photographs. We take photographs in school for a variety of internal reasons (displays, booklets, self-registration board, etc.) and if they are to be used outside school (such as Twitter, in the press or on our website), we ensure that no individual child is named. Photographs of children will never be named on our own website. Videos and photographs taken by parents at productions, etc are allowed at present with permission and we are trusting parents to take these as a family record and only to focus on their own child.
We must insist that photographs taken at performances are not published on any social networking or personal websites.
Milk, Lunches and Snack Time
2014 saw the introduction of Universal Free School Meals with all Infant School children entitled to a free lunch in schools.
We have continued to develop our lunchtime service and we are always looking to improve what we do to ensure the best quality for our children.
Our menu is reviewed termly, operates on a three-week rota and includes a lot of the children’s favourites, including homemade fresh pizza, gingerbread biscuits and even Overchurch Fried Chicken! As well as a delicious hot option, there is a daily deli bar available where the children can design their own sandwich and access a range of salad choices. Desserts include a selection of fruit, meringues, sticky toffee pudding and lemon drizzle cake.
We ensure that all of our children eat a healthy, nutritional meal, which maintains their energy levels and keeps them active and learning throughout the day.
At snack time the children will be offered a variety of different whole fruits (not cut or peeled) and will be encouraged to try all of them. Please notify staff of fruit allergies and any allergies in general.
As we have achieved Healthy School Status, children are helped to understand the importance of making healthy food choices and drinking water. School lunches are now a part of this initiative and you can choose to have a free school meal or packed lunch when your child is in Reception.
As part of our Healthy School status, we ask for your support by **not** sending in sweets or cake as a treat to celebrate your child’s birthday. Please be assured we make birthdays a special day in the classroom setting.
Only water is allowed in your child’s named water bottle. Please respect this and help us to protect your child’s teeth.
As part of our Healthy School status, we ask for your support by **not** sending in sweets or cake as a treat to celebrate your child’s birthday. Please be assured we make birthdays a special day in the classroom setting.
Our school provides a milk scheme for all children in key stage one – which includes Foundation 1&2, Year 1 & Year 2. School milk is free for all under-fives. In our school, this milk is provided by Cool Milk, the UK’s leading school milk supplier.
**We will register your child for their free school milk on your behalf by providing Cool Milk with your child’s name and date of birth.** Free milk will continue until the Friday before your child’s 5th birthday. You will then need to register using the link below (unless your child is eligible for Free School Meals).
Each pupil that registers with Cool Milk will receive a carton of semi-skimmed milk every day, which is delivered fresh & chilled to the classroom. Their school milk will not only provide them with essential nutrients, but as it is rehydrating and energy boosting it also bridges the gap between breakfast & lunch to help children stay focused.
Find out the top 10 reasons to drink school milk at [www.coolmilk/whyschoolmilk](http://www.coolmilk/whyschoolmilk). If you have any questions regarding school milk, please visit their website or call them direct on 0844 854 2913.
All information handled by the Cool Milk group is processed in accordance with the Data Protection Act 1998. All personal information is securely stored on Cool Milk’s UK servers, and is never passed on to third parties without your permission.
Please let the School Office know if you would prefer us not to register your child for free school milk.
**HOME/SCHOOL LINKS**
Parent/s significantly influence their children’s learning and achievements. We believe that when parents and staff work together in the settings of home and school, knowledge, expertise, and information can flow both ways and benefit our children.
TAPESTRY
We use an online system of recording your child’s learning in Nursery and Reception called ‘Tapestry’. Tapestry is a website which can be accessed on a computer or laptop, and also on any Apple or Android device such as a tablet or smartphone. We have chosen this company because they are a secure and exciting way of keeping track of your child’s development during their time with us.
Instead of using the old paper book style way of recording, we will be able to instantly upload photos, videos and observations of your children. You are then emailed to alert you that something new has been added to your child’s Learning Journal and can log on and view what your child has been learning. A massive advantage of this system is that you can instantly add your own comments to entries, and can show your child’s online book to members of the family. You will only have access to your child’s journal and this cannot be viewed by other parents. However, children in the class will sometimes be photographed with others as they work together.
The safeguarding of our children is very important to us. Everything that is added to Tapestry will be added to our school account and can only be viewed by school staff that use the system, and also yourself, using your own log in. Also, it is crucial that you do not share photos or videos from your child’s book on social media, e.g. Facebook, Instagram, Twitter or through other online platforms. The photographs/videos taken and uploaded to Tapestry by the school are the property of Overchurch Infant School and you do not have permission to upload them onto any website on the internet. We ask that you protect the images of your own and other people’s children by viewing and using them carefully. Any incidents where this confidentiality is broken will be dealt with very seriously and will result in your access to the system being withdrawn.
You will find some Frequently Asked Questions about the system below and we would also like to signpost you to Tapestry’s website where you will find lots of information and videos: http://eyfs.info/tapestry-info/introduction
Included in your welcome pack is a permission and information slip to allow us to set up a Tapestry account for your child. Please sign and return it to the school office as soon as possible; you will then be given your account details.
Frequently Asked Questions
Why use an online system?
Hand writing observations, printing out photos, cutting out and sticking all of these into a paper book is very time consuming. By taking photos and videos that can be instantly uploaded this increases the time that staff can spend with your children, supporting their learning.
We are also impressed with the way in which parents can instantly see what their child has been doing and can also share it with family members such as grandparents.
How do I get onto the system?
If you consent to us using Tapestry for your child, school will set up an account for you and provide you with log on details.
Tapestry can be accessed online at: http://eyfs.info/tapestry-info/introduction
It is available as a free app from the Apple Store and also on Android devices.
We will ask you to provide us with an email address so that we can set you up a personal account. This will be a secure way of logging in, and you will only be able to see your own child’s book.
I don’t have a computer, laptop, tablet or smartphone. How can I access Tapestry?
If you are unable to access the Internet on any device at home, then you will still be able to access your child’s book by arranging a mutually convenient time with your child’s teacher / key person to come into school. You will be provided with access to your child’s account and support if needed.
I am not very confident with computers or the Internet. How can I access Tapestry?
One of the reasons for us choosing Tapestry was ease of use. It is a very easy system to use, but should you have any problems, a member of the Early Years Team will be happy to support you.
Why do you need my email address?
Your email address is required in order to set you up with access to your child’s account. It is to ensure security on the site and also so that we can email you when a new entry has been added for your child.
Overchurch Infant School Communications with ParentMail
Communicating with parents is an important part of what we do, making sure you get the correct information about activities, events and things that really matter is something we care about.
Overchurch Infant School uses ParentMail, a service used by over 6,000 schools, nurseries and children’s clubs to communicate to parents. ParentMail is beneficial to you because you can:
- Pay for school trips/after school clubs in just a few taps.
- Complete forms, give consent/permissions and give feedback on surveys.
- Keep up to date with school meetings and events.
- Book parents’ evening appointments.
Please be assured that ParentMail is registered with the Information Commissioner and guarantees that all information you provide will be kept private and will not be passed onto any other organisation.
Please find below instructions on setting yourself up with ParentMail and making the most out of the communications system used by Overchurch Infant School.
YOU MUST PROVIDE SCHOOL WITH YOUR EMAIL ADDRESS FIRST
1. Download the free mobile app – this is available for both Android and iOS mobile devices. To do this, simply search for “ParentMail” in your App store.
2. You will be sent an email from ParentMail asking you to register.
3. Click the Register link on the bottom of the email.
4. You will then receive a 2nd email from ParentMail.
5. Click on the ‘Go to my Account’ link on the bottom of this email after you have downloaded the app to your mobile device.
6. You will be asked to verify your child’s date of birth, confirm your email address and mobile number. You will then need to create a password at least 8 characters in length which must be a combination of letters and numbers.
7. Your Username will be your email address (the same one given to school).
8. You will receive email alerts under the email tab.
9. If you are required to make a payment, you will need to click the payments tab and then choose the ‘shop’ option.
10. If you are required to complete parental consents for a trip, etc., you will find this form in the ‘forms’ section.
If you need any additional information or assistance, please visit the help site: https://www.parentmail.co.uk/help/parenthelp/ or contact school office staff who will be happy to assist you.
LITTLE ROBINS – Before/After School Club and Holiday Club
Proprietors: Janice Robinson and Gaynor Dudley.
In order to help parents to manage their work arrangements we have included details for Little Robins, an on-site provider of pre and after school care.
Their staff can ensure that the children are safely delivered to school in the mornings and collected in the afternoons. They provide a holiday club to look after children during the school holiday periods and a number of parents take advantage of this facility. Little Robins can be contacted on 0151 678 1777 to enquire about availability.
They work with us to support the children at transition times and can offer flexible support to meet your needs – just ask. You can contact them directly with any questions you may have.
GENERAL NOTICES
NO SMOKING POLICY
Smoking is **not** permitted in any part of the school premises or grounds, at any time or by any person, regardless of their status or business within the school.
Site Car Park
**PARKING is restricted to staff only.**
Anybody dropping off or picking up children **MUST NOT** bring vehicles on to the site.
DOGS
No dogs are allowed in the school grounds for health and safety reasons.
Note – Please do not stand with your dogs, blocking the main entrances onto the school grounds.
Scooters & Bikes
As part of our Healthy School status, children are encouraged to use alternative methods to travel to school. However, any bikes or scooters must be dismounted when you arrive at the school gate, and left in the on-site cycle stores.
We hope you have found the information contained in this booklet useful. Please let us know if you think there is anything more you would like to have known.
We are very much looking forward to your child starting school in September and to you all being part of our Overchurch Infant School family.
We are looking forward to working in partnership with you and if you have any questions, please do not hesitate to contact us.
School Office: 0151 677 3335
Email: firstname.lastname@example.org
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1. WARM-UP: PLAYING DARTS
I hope that you are all familiar with the game of darts. The game goes something like this: A board is set up on the opposite side of the room, with different regions corresponding to different amounts of points. Darts are thrown across the room, and the number of points that you earn is equal to the number on the region the dart lands in.
The math instructors want to play darts. As they are all mathematicians, they have horrible vision, and thus do not play darts very well. The best that they can do is throw darts in such a way that they know that will hit the dart board, but they have no idea where on the dartboard the dart will strike. Furthermore, they have a pretty hard time making out where the dart landed when it strikes the other side of the wall.
Fortunately, our protagonists are not very picky, and do not really care what the exact score of the game was, but rather, are ok making guesses about the score that they get. For each of the following games, give a rough estimate of the score at the end of shooting darts.
**Problem 1.** Suppose Isaac throws a hundred darts at this dartboard. What is a good guess for his score?
\[
50(1) + 50(4) = 50 + 200 = 250
\]
Problem 2. Suppose Derek throws 10 darts at this dartboard. What is a good guess for his score.
\[
\frac{10}{5} \rightarrow \text{#throws}
\]
\[
2 \left[ 1 + 2 + 3 + 4 + 5 \right]
\]
\[
2 \left[ 15 \right] = 30
\]
Problem 3. Morgan is a lefty, so \( \frac{2}{3} \) of his darts go to the dartboard on the left, while the remaining \( \frac{1}{3} \) go to the dartboard on the right. If he throws 60 darts, what is a good guess for his score?
\[
\begin{align*}
&\text{40 darts} \\
&\text{20 darts}
\end{align*}
\]
\[
20 \cdot 1 + 20 \cdot 4 + 4 \times (1 + 2 + 3 + 4 + 5)
\]
\[
20 + 80 + 4 \times 15 = 160
\]
Problem 4. Jeff plays “misère” darts, which is to say that he cheats. Whenever Jeff throws a dart, he gives himself the score of all the other regions that he missed. If he
Problem 5. After years of training in a monastery in Japan, Jonathan has perfected the art of “nihon bo shuriken”, which allows him to throw two darts at the same time. When he throws the two darts, the score that he gets is the product of the scores in the two regions he hits. If he throws $2 \times 40 = 80$ darts, what is a good guess for his score?
**Solution:**
We can list all possible products:
| $D_1$ | $D_2$ | Product |
|-------|-------|---------|
| 1 | 1 | 1 |
| 2 | 2 | 4 |
| 3 | 3 | 9 |
| 4 | 4 | 16 |
| 1 | 2 | 2 |
| 2 | 3 | 6 |
| 3 | 4 | 12 |
| 4 | 1 | 4 |
There are 16 possible ways for the darts to land, and each way occurs with equal probability. Therefore, the expected score is:
$$\frac{40}{16} \times \text{sum of all possible scores} = 10 \times 25 = 250.$$
example: must throw 2 darts into 6 to score 10.
the end of the game.
\[
\frac{9 \times 9}{D_1 D_2} = 81 \text{ total}
\]
\[
\frac{9}{D_1} \times \frac{1}{D_2} = 9 \text{ spots where you score}
\]
\[
\frac{9}{81} = \frac{1}{9}
\]
Scoring Darts:
\[
90 \times \frac{1}{9} = 10
\]
\[
1 + 2 + 3 + 4 + 5 + 6 + 7 + 8 + 9 + \frac{45}{9} = 50
\]
Problem 7. Jeff and Derek begin designing a new dartboard. Because their markers ran out of ink, the best they can do is cut out a large circle, 1 meter in radius. They decide that the number of points that each dart is worth is equal to the distance the dart is away from the edge—(1 – the distance from the center). If they throw 20 darts at this dartboard, what is a good guess for their score at the end of the game?
With the info given, we can't do it!
We need calculus
Can we estimate?
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Media Literacy for Global Education
Toolkit for Youth Multipliers
North-South Centre
of the Council of Europe
Funded by the European Union and the Council of Europe
Implemented by the Council of Europe
Media Literacy for Global Education
Toolkit for Youth Multipliers
Council of Europe
This publication was produced with the financial support of the European Union and the Council of Europe. Its contents are the sole responsibility of the author(s). Views expressed herein can in no way be taken to reflect the official opinion of the European Union or the Council of Europe.
The reproduction of extracts (up to 500 words) is authorised, except for commercial purposes, as long as the integrity of the text is preserved, the excerpt is not used out of context, does not provide incomplete information or does not otherwise mislead the reader as to the nature, scope or content of the text. The source text must always be acknowledged as follows: “© Council of Europe, 2022”. All other requests concerning the reproduction/translation of all or part of the document should be addressed to the Directorate of Communications, Council of Europe (F-67075 Strasbourg Cedex or firstname.lastname@example.org).
All other correspondence relating to this document shall be addressed to the Partial Agreement – North-South Centre of the Directorate General of Democracy, F-67075 Strasbourg Cedex France, E-mail: email@example.com
Cover design and layout: Documents and Publications Production Department (DPPD), Council of Europe
Photos: Council of Europe
This publication has not been copy-edited by the DPPD Editorial Unit to correct typographical and grammatical errors.
© Council of Europe, July 2022
Printed at the Council of Europe
A publication developed by the Media literacy task Force for Global Education in the framework of the iLegend project. Members of the Media literacy task force for Global Education: Ioli Campos, Kristiina Anttila, Vid Tratnik, Tatjana Ljubic, Veronica Stefan and Mouloud Kessir.
Peer reviewed by: Vitor Manuel Nabais Tomé and Imre Simon.
Project Co-ordinator: Graziano Tullio, Youth Cooperation Programme – North-South Centre of the Council of Europe.
A publication by the North-South Centre of the Council of Europe.
# Contents
**INTRODUCTION**
- Why was this toolkit developed? 5
- How is this toolkit organised? 5
**DEFINING THE CORE CONCEPTS**
- What is Media Literacy? 6
- What is Global Education? 6
- Why talk about Media Literacy in the context of Global Education? 7
**WARMING UP ACTIVITIES**
- Exercise 1: STATUES 11
- Exercise 2: SILENT FLOOR 13
- Exercise 3: SEARCHING IMAGES 15
- Exercise 4: NEWSPAPER THEATRE 17
- Exercise 5: HEY, YOU THERE! 19
**GOING DEEPER**
- 1. News manipulation 22
- 2. Search algorithms and my worldview 28
- 3. Responsible participation 34
- 4. Digital footprint 39
**RESOURCES WITH MORE PEDAGOGICAL IDEAS**
**REFERENCES** 46
The programme is designed to provide participants with the opportunity to develop their skills in conflict prevention and resolution, and to learn about the role of youth in promoting peace and security. The programme also aims to foster dialogue and understanding between different cultures and communities, and to promote the values of tolerance, respect, and cooperation.
The programme is delivered through a combination of theoretical and practical sessions, including workshops, seminars, and simulations. Participants will have the opportunity to work on real-life case studies and to develop their own projects aimed at promoting peace and security in their communities.
The programme is open to young people from all backgrounds and nationalities, and is designed to be inclusive and accessible to all. Participants will be selected based on their commitment to promoting peace and security, and their ability to contribute to the programme's objectives.
The programme is delivered by a team of experienced trainers and facilitators, who will guide participants through the various stages of the programme and provide support throughout the process. Participants will also have the opportunity to network with other young people from around the world, and to share their experiences and ideas.
The programme is funded by the Council of Europe, and is implemented in partnership with local organisations and institutions. The programme is designed to be sustainable and to have a long-term impact on the lives of participants and their communities.
This toolkit targets youth multipliers and educators and gathers practical and contextual information about Media Literacy (ML) and its contribution to the field of Global Education (GE).
Its activities and fact sheets are focused on non-formal learning contexts, but they can also be implemented in schools since the toolkit combines the most recent developments in GE, ML and Digital Citizenship Education useful to enrich formal school curricula.
All the practical activities proposed in the toolkit are in line with the Competences for Democratic Culture and the Human Rights approach of the Council of Europe.
The toolkit’s main aim is to empower practitioners on ML, but also to provide the wider public with the knowledge and tools to become more responsible and active citizens, offering activities focused on the critical analysis and production of media messages, analysis of algorithms, active participation in societies, maintenance of privacy, maintenance of well-being and management of e-identity.
**Why was this toolkit developed?**
In a globalised world powered by fast-developing information and communication technologies, media work as a facilitator to connect people. However, the increasing power of the media and the general awareness about the capacity of media messages to impact human dynamics, both at local and global level, may be used to influence economic behaviours, political analysis and even interpersonal interactions and intercultural dialogue.
On the one hand, media may be used as an important tool in democratic processes – as journalism that abides to professional standards. On the other hand, media can be a powerful tool to disseminate harmful content, leading to disinformation, hate speech and extremism.
As the common saying goes, “With great power comes great responsibility”. Therefore, ML needs to be considered as a fundamental element of conscious living in an extremely complex world. Following this reasoning, ML needs to be integrated as a pivotal aspect of GE, since it provides a lifelong set of skills that enables informed decision-making and respectful interpersonal and intercultural dynamics. This is in line with the GE aim of empowering citizens to deal with complexity and interdependency in the global context.
By enlarging the scope of GE with ML elements, GE becomes a more effective tool contributing to the achievement of UN Agenda 2030 Sustainable Development Goals (SDGs).
**How is this toolkit organised?**
This toolkit offers an integrated approach towards ML in the context of GE. It is organised in four parts. Part I explains the concepts of ML, GE, and why it is crucial to envisage the first as an important part of the second.
Part II presents a set of five warming up activities to introduce the topic of ML in the context of GE by:
- compiling general considerations that a non-formal educator should observe while preparing a GE training session;
- presenting exercise guides that adapt common non-formal activities to the specific subject of ML.
Part III goes deeper into specific topics of ML which are particularly relevant for trainers working within the context of GE. It offers four fact sheets compiling contextual information about the topic area. Each fact sheet precedes an activity guide describing new activity ideas specially tailored to train youth multipliers working in the field of GE. Especially designed to achieve GE objectives, through sharing multiple perspectives and the development of critical thinking, the available activities are the following:
1. news manipulation;
2. search algorithms and my worldview;
3. responsible participation;
4. digital footprint.
After each activity, several resources for trainers and educators are offered – namely, one handout and several short sets of practical information; tips to raise critical thinking about the information contained in the fact sheets; tools; and resources presenting links to reports, other toolkits, infographics, videos, and other materials to continue learning more.
Part IV is composed of resources with more pedagogical ideas.
Defining the core concepts
What is Media Literacy?
ML is the outcome of a lifelong media education learning process (Buckingham 2003) that takes place in formal and informal learning contexts, through which people learn the “ability to access the media, to understand and critically evaluate different aspects of the media and media content and to create communications in a variety of contexts” (Commission of the European Communities 2009).
A media literate citizen is able to follow a five-phase process such as Access (media and technologies), Analyse (media messages), Evaluate (in a critical way), Create (media messages in a reflexive way), and Participate (through the publication and dissemination of his/her own media messages in order to reach the desired audience). Through this process, the individual ranges the so-called “empowerment spiral”: Awareness, Analysis, Reflection and Action (Thoman and Jolls 2008).
Even though different terminologies are used – such as digital media literacy, information literacy, visual literacy, internet literacy or news literacy – in general, the definitions refer to “competencies that emphasize the development of enquiry-based skills and the ability to engage meaningfully with media and information channels in whatever form and technologies they are using” (UNESCO 2011).
ML encompasses “the full range of cognitive, emotional and social competences that includes the use of text, tools and technologies; the skills of critical thinking and analysis; the practice of message composition and creativity; the ability to engage in reflection and ethical thinking; as well as active participation through teamwork and collaboration” (Hobbs 2010).
These competences are developed both in formal and informal learning contexts, and this is why all education policies should include ML at their core (Torrent 2014), aiming to empower children, young people, adults and elderly people so they become active citizens through media. As the Council of Europe (2016) argues: all citizens, with no exception, “should have access to multiliteracy skills education – including media and information literacy – which is effective, up-to-date and free of charge or affordable for the most financially disadvantaged members of society”.
For the purposes of this toolkit, ML will be understood as defined in the mandate of the Media Literacy Expert Group for the European Commission:
“Media literacy” is an umbrella expression that includes all technical, cognitive, social, civic and creative capacities that allow a citizen to access the media, to have a critical understanding of the media and to interact with it. These capacities enable the citizen to participate in the economic, social and cultural aspects of society as well as to play an active role in the democratic process. “Media” is to be understood in a broad way: including all kind of media (television, radio, press) and through all kind of channels (traditional, internet, social media).
(Audiovisual and Media Services Policy (Unit I.1) 2016)
What is Global Education?
GE\(^1\) is an education perspective which arises from the fact that contemporary people live and interact in an increasingly globalised world. This makes it crucial for education to give learners the opportunity and competences to reflect and share their own point of view and role within a global, interconnected society, as well as to understand and discuss complex relationships of common social, ecological, political and economic issues, so as to derive new ways of thinking and acting.
By separating themes and categorising subjects, most formal education systems have established hierarchies of knowledge while alternative ways of learning and of exploring, knowledge have been depreciated. The detachment created by this process of compartmentalised education did not place the educator nor the learner in a connected world. This is the reason why building bridges to approach, get to know and critically understand ourselves and others has been a daring experience.
---
1. This section is inspired by the following book: *Global Education Guidelines – Concepts and methodologies on global education for educators and policy makers*. Available here: [https://rm.coe.int/prems-089719-global-education-guide-a4/1680973101](https://rm.coe.int/prems-089719-global-education-guide-a4/1680973101).
GE came to fill this gap, adding the value of reflective learning, multiperspectivity and the development of critical thinking as the main goals of the education process. A process which also deals with the challenges posed by the new forms and new ways of communication, and with the emergence of a generation of digital natives.
Transformative learning through GE involves a deep structural shift in the basic premises of thoughts, feelings and actions. It is an education for the mind as well as for the heart. This implies a radical change towards interconnectedness and a real sense of the possibilities and opportunities for creating equality, social justice, understanding and co-operation amongst nations and peoples.
Four main stages of transformative learning are strongly linked to this process:
a) an analysis and critique of the present world situation;
b) a vision of what alternatives to dominant models might look like;
c) the development of a set of competences fostering democratic culture;
d) a process of change towards responsible global citizenship.
As transformative learning, GE implies problem analysis and participatory decision-making processes at all these stages. The educator and the learner need to be able to critically examine the present reality and facts and explore how to move beyond them.
As a transformative and a learner-centred learning process, GE stimulates self-consciousness about the learner’s responsibility as an agent of change within their political, economic, social and cultural environment, and makes the learner, as well as the educator, aware of the impact and the interconnectedness between local actions and global challenges. This mindfulness offers a way to make changes at local levels to influence the global levels and build citizenship, with a global perspective, through participatory strategies and methodologies.
At both local and global level, GE consistently articulates different agendas of education – Development Education, Human Rights Education, Education for Sustainability, Education for Peace and Conflict Prevention, Citizenship Education, Gender & Children’s Rights Education, Intercultural & Interfaith Education, Disarmament Education, Social and Economic Education, Environmental Education, etc. – in order to define the common grounds of GE.
As referred in the Maastricht Global Education Declaration (2002: 2), “Global Education is education that opens people’s eyes and minds to the realities of the world and awakens them to bring about a world of greater justice, equity and human rights for all. Global Education is understood to encompass Development Education, Human Rights Education, Education for Sustainability, Education for Peace and Conflict Prevention and Intercultural Education; being the global dimension of Education for Citizenship”.
Various core documents (The Universal Declaration of Human Rights; Recommendation concerning Education for International Understanding, Co-operation and Peace and Education relating to Human Rights and Fundamental Freedoms; Declaration and Integrated Framework of Action on Education for Peace, Human Rights and Democracy) refer to GE, each having in common the development of Human Rights, personality and respect for other people.
This transformative learning creates a real impact on both formal and non-formal education, which have a huge role to play in bringing people – in any space, any time, any rank of age – towards a wider understanding of their real power to shape and contribute to a new future. Transformative learning enables people to shape a common vision for a more just and sustainable world for all.
GE is one of the North-South Centre of the Council of Europe’s priorities. The North-South Centre has been contributing to GE since 1997, when the Global Education Charter was first drafted.
Throughout the years, the North-South Centre has had a number of initiatives to disseminate and enrich GE through improving policies, promoting the exchange of global education practices and by providing space for dialogue and partnerships.
**Why talk about Media Literacy in the context of Global Education?**
ML and Global Development Education (GDE) have been strongly related from the very beginning. Already in 1982, under the Grünwald Declaration (UNESCO 1982), media education was envisaged “as a preparation for responsible citizenship”, which is in line with the GE main aim: educating responsible global citizens for social justice and sustainable development.
GE is a thorough answer to the current main social problems since it aims to “foster mutual knowledge and collective self-awareness”, empowering citizens “through participatory strategies and methods, so that people learn by taking responsibilities that cannot be left only to governments and other decision makers” (Global Education Guidelines 2012: 14).
According to the Committee of Ministers of the Council of Europe (Recommendation CM/Rec(2019)10 of the Committee of Ministers to member States on developing and promoting digital citizenship education), a responsible citizen is a “digital citizen” who masters
the competences for democratic culture (Reference Framework of Competences for Democratic Culture) in order to:
a) be able to competently and positively engage with evolving digital technologies;
b) participate actively, continuously and responsibly in social and civic activities;
c) be involved in a process of lifelong learning (in formal, informal and non-formal settings);
d) be committed to defending continuously human rights and dignity.
The competences for democratic culture (fig. 1) are organised in four groups (Values, Attitudes, Skills, and Knowledge and critical understanding) and must be acquired by every citizen in order to “function as democratically and interculturally competent citizens” (idem), which is in line with the GDE that aims to build citizenship through participatory strategies and methods.
Figure 1 – Competences for Democratic Culture
The participatory strategies are increasingly implemented through media, mostly digital media, and occur in a disruptive conjuncture. They are marked by “post-truth, alternative facts and fake news” in a changing media landscape since we have moved from a time when it was difficult to access a large quantity of information to another in which “the problem is sifting through a huge volume of resources to identify what is quality” (Snelling 2017).
Therefore, being a media literate citizen is, crucial to succeed in GE and gain the skills and abilities to competently interact with the media and with the world through the media. A media literate citizen knows not only how to access media and technologies, analyse media messages, and critically evaluate them but also how to create media messages reflexively, paving the way to participate actively, continuously and responsibly in social and civic societies.
ML is an important part of GE – a lifelong set of skills that enables informed decision-making and thus conscious living. This improves the quality of life and contributes to the effective implementation of Sustainable Development Goals (SDGs), goals 4 and 16 in particular. It equips GE learners with tools to tackle issues such as hate speech, racism, sexism, media bias, disinformation, violence, radicalisation, extremism, media bias and disinformation.
The above referred issues seriously undermine the efforts towards a global co-operation based on mutual respect and aiming at peace and sustainable development. In its different forms and channels, media shapes people’s perceptions and understanding of various situations and issues. Thus, ML is critical for learners to understand some of the most complex processes leading to tensions at individual, collective, national and global levels and be aware of some of the ways in which these tensions or conflicts can be prevented or resolved.
Furthermore, GE aims at developing learning communities in which learners and educators work cooperatively to promote participation on global issues.
Technologies assist learners and educators in learning collaboratively, co-creating content and opening spaces for dialogue. Therefore, ML as tool to empower citizens on critical analysis and production of messages is an important dimension of GE.
To introduce participants to the topic of ML, you may use existing tools, dynamics, methods or games, with some adjustments. You are perhaps familiar with some of these methods, since some of them have been tested countless times. You will find five examples of that kind at the end of this part II.
Before that, table 1 summarises the main aspects that a non-formal educator should consider when preparing a session, and table 2 describes some common non-formal education methodologies that can be used in the context of media education and GDE.
These five adapted exercises, which are at the end of this part II, are only introductory; in part III of this toolkit, you will find four more activities, which delve into more concrete topics about the media and GE.
How to approach this training material:
- Most of the exercises are creative and a relaxed approach is encouraged.
- In many cases, there is no right or wrong answer.
- ML education is a process: there’s no need to stress if you feel lost at some point, or if, when starting the exercise, you are not 100% confident on how it will work out.
- Approach it with curiosity and lightness.
- Give space and time to the group to explore and familiarise themselves with the materials at first.
- Create a safe space filled with empathy, tolerance and respect.
Table 1. Aspects that a non-formal education trainer usually considers when planning a session
| Target group | – What is their background?
| | – What is their level of awareness about the topics?
| | – Why are they motivated to learn about a certain topic? |
| Aim of the training | – What are the learning objectives?
| | – What skills do you intend to develop?
| | – Are the participants supposed to deliver follow-up activities after the training/workshop? If yes, what kind? |
| Topics to be covered | – What topics are relevant to the context you are working in?
| | – What topics respond directly to the needs of participants and the community you are working with? |
| Method used | – Are you acquainted with the method you are going to use?
| | – Do you have the necessary background and experience to know how to steer the process you are opening? |
| Method | Description |
|--------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| Group work | Activities involving group work and project work can be directed to topics related to ML and/or including media tools, for example, by producing media content such as articles, videos and podcasts as well as media and information campaigns. Those activities open discussions on the key-topics, deepen their understanding and build participants’ digital competences. |
| Drama pedagogy | As a very versatile methodology, drama pedagogy such as “Theatre of the Oppressed” can be developed in the field of ML and can include correlated topics; for example, drama work on journalists and media people, understanding their view, posture and position; working with image theatre on topics related to ML and GDE and even producing a forum play on the topic. |
| Self-reflection | The method of self-reflection can be applied to ML topics, either enabling self-reflection through a media tool (e.g. blog post, news article) or reflecting on personal media and information consumption habits. |
| Loesje creative writing | *Loesje* is a worldwide collective of people who design creative activities and projects based on humanistic values and solidarity between people. Loesje creative writing is a simple, fun and effective method of group work, which can also be a good way to produce material to be further disseminated through media and information campaigns. |
| Flipped learning | Flipped learning is a method that turns around the traditional teaching-learning process. In this method, participants are asked to get to know the subject beforehand, for example, by accomplishing a given task before the actual training. During the training, the whole time is used not to get familiarised with the topic led by the trainer but to discuss, reflect and complete further work on the topic. This method gives more space for the learners and reduces the chance for the trainer to be one-directional. This is a method to be used when one wants the learners to be active and get deeper into the topic.
This method can be used with all ML-related topics in the context of GDE, but it requires regular training sessions and a well-organised plan so that the time will be well used and the tasks can be delivered in advance. |
| Problem-based learning (PBL) | The core idea of PBL is to set on fire the learner’s own motivation to learn. Using PBL as a method in its original form requires going through a specific cycle. In GDE activities, which can vary a lot from another, educators can benefit more by adapting it.
PBL is a learner-centred approach to developing a viable solution for a defined problem. It empowers the learners to conduct research, integrate theory and practice and apply knowledge and skills to find the answers and solutions. Examples of PBL characteristics:
- Learners are responsible for their own learning. Learners engage with the problem regardless of their current knowledge or experience. Motivation increases when the responsibility of the solution rests with the learner.
- The problem can be ill-structured because a critical skill developed through the PBL process is the ability to identify the problem and set parameters on the development of the solution.
- A wide range of disciplines or subjects should be integrated because learners should learn to recall and apply information integrated from diverse sources and because multiple perspectives lead to a more thorough understanding of the issues.
- Collaboration is essential.
- Activities carried out must be real-world problems. The role of the trainer is to facilitate the learning process (Walker et al. 2015). |
Exercise 1: STATUES
Number of participants: 5 to 30
Age range: 12 and up
Duration: 20 to 30 min
Short description
– When they hear a word, participants take the position of a statue that expresses their idea about that concept.
Objectives and outcomes
– To raise awareness of how media works.
– To develop an understanding of the basic terms of media and media literacy.
– To discuss the core terms of media.
Methods
– Role play.
Resources and materials
– List of words related to media: print the proposal below or create your own.
– A room big enough for the group to move around.
Practical arrangements
– Select the words you are going to use in the activity (e.g. Media, Journalist, News, Truth, Fact, Mass Media, Television, Social Media, Newspaper Agenda, Editor, Blogger, Opinion Maker, Disinformation, Stereotype, Bias).
– Adapt the words and concepts you work with to the background and interests of the participants.
Procedure
Warming up
– Ask participants to walk around the room freely, without a specific direction and at a dynamic pace.
Exercise
– At some point, state a word from the list and ask participants to assume a position immediately (without thinking too much) that represents this word (concept/idea/emotion/person/action) for them. They should stand like a statue: no movement, no sound. Ask participants to interpret this word in their own way (there are no right or wrong answers) and to use as much as possible the whole body, especially the face.
– When participants assume their position, ask them to stand in it for a few seconds and to look a bit around the room at other statues (who are remaining still in their position). You can also state, for example, “This is how this group understands Media” or “This is what Media means to this group”. It’s best if the group does this part of the exercise in silence.
– Ask the participants to walk around for 10 to 20 seconds, then come up with the new word. If the group is working well after three to five words, you will notice they are ready to go to the next step.
– After the participants freeze in their statues, select a statue that seems interesting and ask her/him to stay in the position. The rest of the group is invited to leave their postures and gather around the statue.
– Ask participants: “What do you see? What do you think it means?” Facilitate the discussion by asking additional questions.
– Ask the “statue” to share feedback on her/his own interpretations. For example, “Is this what you wanted to show? Would you like to add something to the comments?”
– You can repeat the procedure several times, provided the group is motivated.
Ending
– Invite participants to walk for half a minute around the room and to relax, come back to their present identity and also shake away physically the statues they represented.
Debriefing
– Invite participants to sit in a circle and open the space to debrief the activity, including their feelings during it. You can ask the following questions or invent your own:
– Do you remember the words you were asked to represent through freezing like a statue?
– Was there any word of which you had a common understanding?
– Was there any word that the group members interpreted in different ways?
– How can you justify the common understandings (if applicable)?
– What about the diverse understandings?
– Can you define the words we used in the activity?
– Keeping in mind those definitions, can you share your ideas on how media works?
– Do you think this is true for every place in the world?
Tips for facilitators
– The exercise works best if done by walking, but if there is not enough space, it can be done standing.
– Adapt the tempo and the concepts you present to the group, starting with the easier ones and then add in the more crucial ones.
– Always try to select different participants for the “statue show”.
– You may pick two or three statues per topic.
– Be prepared to explain how media works and to define the core media terms used in the activity.
Exercise 2: SILENT FLOOR
Number of participants: 5 to 30
Age range: 12 and up
Duration: 25 to 35 min
Short description
– Starting from their own point of view, participants generate a silent discussion and question the way we understand media.
Objectives and outcomes
– To raise awareness of how media works.
– To develop an understanding of the basic terms of media and media literacy (ML).
– To create a common understanding of concepts and ideas related to ML and global education (GE).
Methods
– Individual reflection.
Resources and materials
– Three to six A2 or flip chart papers.
– A marker or pen for each participant.
Practical arrangements
– Based on the size of the group, select three to six words that represent important topics related to ML and GE and write each of them in the middle of a separate sheet of paper, leaving most of the surface free. Some ideas for the words to use: media, journalist, news, truth, fact, mass media, television, social media, newspaper agenda, editor, blogger, opinion maker, disinformation, stereotype, bias.
– Create islands in the room by putting the papers on the floor or on tables, allowing space around each paper so that several participants can approach them at the same time.
Procedure
Warming up
– There is no warming up needed. It is a good exercise to start a session.
Exercise
– Present the setting of the room and ask participants to walk around individually in the room, in silence. Tell them to:
– approach the different papers in a random order and write or draw on them any association, comment or question they have regarding this concept or topic;
– comment on anything that is on the paper, meaning the main concept but also the comments and questions of other participants;
– move on to the next paper when they are done.
– After some time, when several ideas are written/drawn on each paper, invite participants to come back to sheets they have already been at and see if there are some new comments from others they want to react to. Let them continue writing for a few more minutes.
Ending
– When the papers are getting full or there is a feeling that participants have expressed most of what they had to say, ask them to take one marker each and go around the papers again, this time with the task of highlighting what resonates or is relevant for them on each paper regarding the topic. It can be a phrase, a word, a drawing, a question or a whole essay. It can be 10 things on one paper and nothing on another paper; it’s based just on their judgment.
Debriefing
Place the papers in the centre of the room and invite participants to sit around them. Discuss each concept one by one. You can ask the following questions or invent your own:
– What seems to be the main understanding of the group on this topic?
– Are there any comments on the sheets that need clarification?
– Can you imagine situations or circumstances when this understanding of the concepts would be false?
Tips for facilitators
– Adapt the concepts you present to the group, based on their background and interests, as well as the aim of the session.
– Include specific topics you want to focus on in the list, and in the debriefing, connect this topic to further exercises (see Part III: Going deeper).
– Put on some relaxing background music during the individual work phase.
– Use creativity (drawings, images, etc.) to make the sheets visually more inviting and the topics more understandable.
Exercise 3: SEARCHING IMAGES
Number of participants: 5 to 25
Age range: 12 and up
Duration: 25 to 35 min
Short description
– Participants test their stereotypes through gaining a more careful understanding of an issue.
Objectives and outcomes
– To experience how stereotyping works.
– To get cognitive tools to recognise and deconstruct stereotyping.
Methods
– Individual reflection.
– Pair work.
– Web search.
Resources and materials
– Flip chart or table.
– Sheets of paper and pens for participants.
– Internet devices such as smartphones, tablets and laptops.
Practical arrangements
– Make sure everyone has an online device at hand.
– Define and research in advance the topic you want to work on.
Procedure
Warming up
– There is no warming up needed. It is a good exercise to start with.
Exercise
– Select a term to work on. A hot topic works better – something on which there is a lot of talk in the media at the time of the activity. However, make sure that the choice of topic does not create an obstacle in learning. Keep in mind potential emotional reactions.
– Ask participants to work in small groups for a few minutes and write down all they know about the selected topic.
– Use a flip chart to collect the inputs of participants on the topic and create a common understanding of the term. If possible, try to summarise a definition that incorporates most participants’ contributions.
– After creating this flip chart, ask participants (still in small groups) to search online for the term they are working on, using the image option. A lot of images will come on the screen. Let them check and discuss a bit in their groups.
– Ask them if there are any similarities between the photos they see. Write them down, if relevant. Ask them to observe and take some notes. Ask the following questions: “What are the values promoted in this article/image?”, “What values are strongly present?” and “What values are weaker?”
– Ask participants to compare their original understanding of the term to the one they received through their online search and continue the discussion by asking:
– Is it the same understanding? In what ways does it differ? Why do you think there is this difference?
– Can you connect this narrative with some specific agenda or interest group? In whose interest is this interpretation conveyed and who is harmed or blamed?
– Is there one narrative or more? If there is a mainstream narrative, are there counter narratives? Who do you think is contributing to the narrative and who is contributing to the counter narrative?
Debriefing
– Debrief the exercise by asking participants the following questions:
– What did you find out in the process?
– How can you connect it to your lives?
– Is there some change in how you will consume media?
– Do you think you would have got different search results in different places of the world? Why?
Tips for facilitators
– Search the terms on the web in advance to get an idea of what will come out.
– Tackle controversial topics only if you know how to handle an open discussion on them.
– Instead of images, participants can perform a normal search and analyse the first 20 hits without opening the pages. Alternatively, they can be asked to search for videos or use newspapers.
– You might suggest the use of search engines that respect privacy more and collect less data about the user, such as Qwant or DuckDuckGo (although Google will provide more results).
– Following the discussion about their original understanding of the issue and the one formed by the online search, you can present the Schwartz circumplex (Schwarz Basic Human Values Theory), which shows that, when one value is strong, others are weaker, and others are also strengthened.
– After understanding how it works, you can develop the exercise further, asking them to work in groups using the Schwartz circumplex and allowing them to look through other newspapers, magazines, etc. to find an article and try to analyse it based on the values theory.
Exercise 4: NEWSPAPER THEATRE
Number of participants: 5 to 28
Age range: 14 and up
Duration: 120 min
Short description
- Based on an artistic creative methodology developed by Augusto Boal, participants explore mass media and their messages. While doing so, they may reflect on media representations and stereotypes.
Objectives and outcomes
- To raise awareness of the stereotypes we have and to get a clear understanding of how stereotyping works.
- To get cognitive tools to recognise and deconstruct stereotyping.
- To raise awareness about the effects that mass media have on our views and on the way we understand the world.
Methods
- Group work.
- Role play.
Resources and materials
- Loads of different newspapers, magazines, promotional flyers, etc. The more plentiful and diverse, the better.
- A few scissors, glue and one A3 sheet or flip chart paper per group.
- Props for the play (optional).
Practical arrangements
- Each group shall have enough space to work, either on a table or on the floor.
Procedure
– Distribute participants into groups of five to seven.
– Put the material on the floor and invite the participants to sit around it (even on the floor).
– Tell participants that they will prepare a play based on what they find interesting in these newspapers and magazines. Ask them to cut out different parts of the papers that are meaningful to them in some way or, if there is a general topic for the play, parts they feel are relevant to the topic. It is a personal judgment; there is no right or wrong. Usually, each participant does this part on his/her own so that, as a group, they collect more pieces of texts.
– When they have collected enough text, invite them to start organising it on the A3 or flip chart paper. Some connections will emerge – a punchline, a response, some irony or contradiction. When they like a sequence, they can glue the pieces onto the big sheet.
– Ask participants to create dialogues from these texts, to enrich them with movements and then to act them out – and their play is ready! They can collect costumes, props and music to strengthen the message. In this phase, they can also use different reading techniques to enhance the message, like exaggeration, irony or reading a text using a tempo of a song or a speech. Eventually the group can revise the text and add some more if needed – but usually it is not.
– Leave enough time for the group to rehearse. Advise them not to talk too much about what they would do, but rather to do it, see how it is and then change it if needed.
– At the end, the groups perform their plays with the possibility of including participants from other groups.
Debriefing
Debrief the exercise by asking the spectators questions first:
– What did you just see?
– What was the play about?
– Do you think it was a fair and balanced interpretation?
– How can you connect what you just saw to your life?
Afterwards, ask the group who prepared the play to react to the comments:
– What was the message you wanted to show?
– What did you find out through exploring the newspapers?
– Did you notice differences or similarities between newspapers? Why? How do these change your understanding of the stories?
Tips for facilitators
– Facilitate the group to agree on a topic to work on before getting to the exercise.
– If you have some more time, work with the group on the aesthetics of the play (i.e. costumes, music and background).
– Note that, by selecting the type of newspapers and magazines, you are directing the exercise in a certain way.
Exercise 5: HEY, YOU THERE!
Number of participants: 12 to 60
Age range: 14 and up
Duration: 20 to 30 min
Short description
– It is an experiential learning activity related to the understanding of media. It deals with the convergence of power and dominance, as well as represents some basic concepts of psychology and sociology used in media.
Objectives and outcomes
– To understand and experience how psychological mechanisms related to mass media may work.
– To raise awareness about relations between power and mass media effects.
Methods
– Drama exercise.
Resources and materials
– Enough space for the group to walk around.
– A chair or another support (like a box, a step or a sidewalk or small wall) that a person can stand on.
Practical arrangements
– Be ready to place a chair in the floor when the “Execution” part begins.
Procedure
Warming up
It is good to warm up before the exercise. Walking in the room, maybe assuming different postures and walking styles (e.g. happy, lazy, in a hurry) or any warm-ups related to body and/or voice are particularly relevant.
Exercise
Setting up
- Ask participants to walk around the room with a dynamic pace, changing their direction quite often.
- Select a precise point of your choice in the room and tell participants to shout, “HEY!” all at the same time, when you clap your hands or say, “NOW!” Repeat it a few times.
- Ask participants to select another point in the room and, at your sign, shout, “YOU!” when you point there. After a few trials, add a third point when they have to shout, “THERE!” when you point there. Try it a few times and mix the three: “HEY!”, “YOU!” and “THERE!”
- Let the participants try this a few times. Encourage them to use their whole body to point and all their energy to shout. Let them warm up their voices gradually to reach a higher volume of shouting.
Execution
- Place a chair on the floor and ask for a volunteer from the group to stand on it.
- Ask participants to walk again randomly in the room, and at your sign, point at the person on the chair at the same time and shout “HEY, YOU THERE!”
- Check whether the volunteer is fine – sometimes it can trigger stronger reactions.
- Invite other volunteers to take a turn on the chair (but do not push participants).
Closing
- After repeating it a certain number of times and letting a number of participants experience it, ask them to walk around freely again and shake off the experience.
Debriefing
The debriefing of this activity is particularly important to get an insight into the psychological mechanisms of mass media.
Invite participants to sit down (on the floor or on chairs) in a circle and ask them the following or similar questions:
- How was the activity? How did you feel in the crowd? And on the chair?
- Did you notice something special you want to share with the group?
- Was it different to shout as a group than to do the same thing alone? How?
- Did the group have an effect on your behaviour? Do you think you would have done it the same way alone? How was it different?
- Do you perceive some links between this exercise and society in general, especially related to media literacy and global education?
Tips for facilitators
- Use volume and body language to support and influence the group.
- This may be a very powerful exercise, so you should try getting to know the group first.
Now that you’ve got your participants already interested in the topic of ML, it might be time to explore some current ML topics that are particularly relevant for GDE:
1. news manipulation;
2. search algorithms and my worldview;
3. responsible participation;
4. digital footprint.
In this section, each topic is presented according to the following order:
- **Fact sheets**, which will provide you with some background knowledge on the topics that may be useful for you to guide the sessions and debriefings.
- “How to”, “what can you do” and “why” toolboxes where you get practical information. Media education should not only be about raising critical thinking and awareness but also about empowering participants with practical tools that can be used in their daily lives.
- **Activities** to help participants assimilate what they learn about ML. After each topic you will also find one original long activity (usually between two and four hours of duration) about that specific topic.
- **Ideas for further activities** and questions to catalyse critical thinking about ML. These may either be used for your own learning process, or as discussion ignitors in a training session, or even as short activities.
- **Resources** to continue exploring the topic.
What we generally call “fake news” can span from “honest mistakes” to dangerous lies. The Council of Europe, for example, proposes three categories of misleading information:
- Mis-information is when false information is shared, but no harm is meant.
- Dis-information is when false information is knowingly shared to cause harm.
- Mal-information is when genuine information is shared to cause harm, often by moving information designed to stay private into the public sphere.
(Wardle et al. 2017: 5)
As a global development educator, you should also approach the information disorder problem. A responsible global citizen needs to be aware of the various facets of the “fake news” problem and raise his/her ability to tackle disinformation in his/her daily life.
Exploring the topic of information crisis, you could try establishing connections between the local and global level of this phenomenon and its repercussions. Also, something you should keep in mind is the connection between past and present events.
The spreading of news, which were not true, was common in the early days of the history of journalism. For example, fake news was part of yellow journalism, a term coined at the end of the nineteenth century in the USA. Yellow journalism was characterised by unethical journalism practices and the publication of under-researched news reports and catchy headlines with the purpose of increasing profits. Yellow journalism is related to what we now more commonly call sensationalism.
The use of misleading information is also associated with political propaganda, which is “the enemy of independent thought and an intrusive and unwanted manipulator of the free flow of information and ideas in humanity’s quest for ‘peace and truth’. It is therefore something which democracies, at least, ought not to do” (Taylor 2003: 1).
A different, yet common, association with the idea of fake news is the idea of fabricated photos and the manipulation of images, which may also be referred to as doctored photos. This type of photo has been used, for example, by state propaganda with the intent to manipulate public opinion but also by photojournalists regarded as independent before. For example, the issue of whether certain iconic photos have been staged or not has been raised; for instance, the photo of the death of a soldier during the Spanish Civil War taken by the famous photojournalist Robert Capa or the photo of the rise of a flag at Mount Suribachi taken by Joe Rosenthal.
Additionally, what has been said about photography could also be applied to TV.
There are several current cases of fabricated photos. Pick some which are proximal to you (geographically, culturally, emotionally speaking) and analyse them in terms of the repercussions they had in society and what could have been done to prevent its spreading. Here are two examples for you to get started:
**Ethiopia’s Tigray conflict sparks spread of misinformation**
With the Ethiopian government conducting a military offensive in the northern Tigray region, some people have taken the opportunity to spread misinformation online. This includes material either not directly related to the conflict or, sometimes, altered to make it look like it is.
In *BBC News* (11th November 2020)
**False claims, misleading images promote ‘eco resort’ crowdfunding campaign that’s raised over $60K**
An eco-resort that claims to be on the brink of opening, and whose owners have raised over $60,000 on that promise, consists of little more than a raw piece of land in the B.C. Interior and a converted bus parked in a backyard in Langley.
In *CBC Canada* (24th November 2020)
Nowadays, people face **unprecedented information and data overflow**. Therefore, the information problem is no longer about gaining access, but about learning how to navigate through this overflow and protecting ourselves (Potter 2011). One of the main dangers to which most people are exposed is **profiling**, which the Council of Europe (2010) defines as “an automatic data processing technique that consists of applying a ‘profile’ to an individual, particularly in order to take decisions concerning her or him or for analysing or predicting her or his personal preferences, behaviours and attitudes” (*Recommendation CM/Rec(2010)13* of the Committee of Ministers to member states on the protection of individuals with regard to automatic processing of personal data in the context of profiling).
The disguised data collection of personal data and subsequent **profiling** is a current major issue. Furthermore in this increased flow of information, there is consequently a substantial amount of harmful information. Issues of disinformation, manipulation, truth and trust are under the spotlight. Some researchers are describing it as “information pollution” at a global scale (Wardle et al. 2017).
“**Post-truth era**” or “post-truth politics” is another expression that has gained some visibility in the last few years and that is usually associated with the information crisis. But again, although this is not a new concept, the use of this expression has grown immensely in the last few years (OxfordLanguages 2016). In a post-truth debate, the weight of emotions and personal beliefs outshines facts and objectivity (Polizzi 2017). While internet is not the cause per se of such phenomenon, “it multiplies the possibilities of producing and consuming misinformation” (Polizzi 2017).
At the same time, trust in the media has been in decline. The lack of trust in the news is the second most important reason why people are avoiding news consumption, the first being how the news negatively affects the audience’s mood (Newman et al. 2017). News avoidance may lead to an uninformed or mal-informed electoral body. There may be a relationship between news avoidance and other political and social factors, and it is likely that countries that at present higher rates of news avoidance may change over time.
Trust in the news and news avoidance may also be related to another concept: polarisation. Polarisation in the context of politics refers to divisions in public opinion, which can go to extremes.
Lastly, the idea of news avoidance is related to another important concept: incidental news exposure. Incidental news exposure means being exposed to the news without searching for it, for example, when a friend shares a news article in our social networks.
Many individuals and institutions have been advocating for ML as part of a solution to fight the information disorder. If, on the one hand, raising individuals’ ability to evaluate information may help people become better gatekeepers (users-producers), on the other hand, some academics have been questioning a possible backlash effect (Boyd 2018) – an ongoing debate in the field of ML studies concerns how raising ML may increase a healthy scepticism on one side or cynicism and distrust against media on the other. When acting as an ML multiplier, it is important not to develop a negative approach towards media content.
**HOW TO … Respond to the information crisis?**
Different actors can take different measures to tackle the information crisis. So, what can you do? At an individual level, we are both receivers and producers of media messages. We can act as producers to several extents, which can range from just sharing a news piece to actually producing and posting a media message. As producers we have, at least, a moral responsibility for what we share. A media literate person should assess the media message before sharing, so as to avoid propagating rumours, cyberbullying, hateful content and so on. In order to do that, it is important to understand how that message was constructed. However, becoming a more media literate person implies the development of an ethical and emotional dimension too. When sharing a message, the individual should not only assess the message credibility and seriousness, for instance, but also its content and its effects. Therefore, when thinking what you can do to make a change in the information disorder, there are several kinds of actions to consider, such as the following ones, organised by [The Trust Project](#):
**Best Practices:** What are your standards? Who funds the news outlet? What is the outlet’s mission? Plus its commitments to ethics, diverse voices, accuracy, making corrections and other standards.
**Author/Reporter Expertise:** Who made this? Details about the journalist, including their expertise and other stories they have worked on.
**Type of Work:** What is this? Labels to distinguish opinion, analysis and advertised (or sponsored) content from news reports.
**Citations and References:** For investigative or in-depth stories, access to the sources behind the facts and assertions.
**Methods:** Also for in-depth stories, information about why reporters chose to pursue a story and how they went about the process.
**Locally Sourced?** Let you know when the story has local origin or expertise. Was the reporting done on the scene, with deep knowledge about the local situation or community?
**Diverse Voices:** A newsroom’s efforts and commitment to bringing in diverse perspectives. Readers notice when certain voices, ethnicities, or political persuasions are missing.
**Actionable feedback:** What the site does to engage your help in setting coverage priorities, asking good questions and finding the answers, holding powerful people and institutions accountable and ensuring accuracy. Can you provide feedback that might provoke, alter or expand a story?
## Activity 1: News manipulation
**Number of participants:** 10 to 20
**Age range:** 15 and up
**Duration:** 3 to 4 hours (depending on the number of participants)
### Short description
- Participants will explore the notion of “information crisis”/“information disorder” and experience the production of a very controversial piece of information through role playing a given situation.
### Expected outcomes
- To increase awareness about the methods used to produce propaganda and manipulation.
- To encourage critical assessment of information coming from the media.
### Methods
- Group work.
- Role play.
### Resources and materials
- Handout (Activity 1).
- Pen and paper.
### Practical arrangements
- Print the handouts beforehand.
- When working in groups, allow them to be far apart so that they do not hear what other groups are doing.
- Have the room arranged in plenary setting, at the end, for the play presentation and discussion.
### Procedure
- Organise groups of about five participants.
- Distribute roles among group members in each group (politician, assistant to the minister, press officer, journalist, member of the public).
- The role of the politician and the press officer is to produce fake news that is convincing and raises the number of supporters. The role of the journalist is to debunk the fake news.
- Give a handout to each group.
- Give the groups between one and two hours to work, during which you should monitor the developments in each group.
- Based on that role-playing exercise made in groups of five, the group will then elaborate on the narrative input, produce a short piece of misinformation/disinformation/malinformation, and prepare a play to present in plenary.
- Give each group 5–10 minutes to present their play in plenary.
- Moderate a 30-minute discussion in plenary after the presentations. Here are some questions that may inspire you: What exactly is fake news? What characteristics does it have? Why is it produced? How can it be dismantled? How can we really distinguish between accurate and false information? Why do people manipulate the news? Who decides? Who benefits from the news manipulation? What kind of questions would you address to find out if the information is accurate?
### Debriefing
Invite participants to sit together and discuss the activity. The following questions can support this procedure:
- Was it easy to produce the piece of information? Why?
- Why do people manipulate the news? Who decides? Who benefits?
- What do you understand by “information crisis”/“information disorders”?
- How would you define the concepts of disinformation, malinformation and misinformation?
- What distinguishes these concepts?
- Was this activity important to learn how to produce a piece of information?
- How would you deconstruct a piece of information?
- What do you understand by critical analysis of media messages?
Tips for facilitators
– You may use this handout or create one of your own, with a different narrative, approaching a different topic, adapting this exercise to the specific needs of your workshop. For example, instead of a story about the environment, you may want to explore a story about refugees or minorities.
– Check if they understood the exercise, how the preparation for the play is progressing, and, if needed, stimulate their critical thinking and creativity.
– Check the box “HOW TO … Respond to the information crisis?” (page 33) to enrich the final discussion.
Handout for activity 1: News manipulation
Dear Group,
In this activity, you will explore the notion of “information crisis”/“information disorder” and how misinformation, disinformation and malinformation are produced, through a role play. The goal of this activity is to raise awareness about the methods used to produce propaganda and manipulation.
Here is some food for thought. Fake news is a very complex concept, and most experts would rather use other terms instead. The Council of Europe uses the expression “information crisis”/“information disorder” as an umbrella term that refers to three different concepts:
Misinformation – use of false information without malicious intent
Disinformation – deliberate use of false information created with harmful intent
Malinformation – use of information based on reality with harmful intent
With these nuances in mind, we invite you to write on five pieces of paper the title of each role that you will be playing, those roles being:
The parts
Press Officer
Minister for the Environment
Assistant to the Minister for the Environment
Journalist
Member of the Public
If your group has more than five people, you can also add the following roles: Environmental NGO Activist, more Members of the Public and more Press Officers.
The plot
Elections for the parliament are coming close. A new survey has just come out. The levels of likeability of the current government are at their lowest. A series of incidents in several cabinets are behind the decreasing rates of likeability. And, as the Minister of the Environment discusses this problem with his/her press officer, the assistant comes in with one more problem. Analysis of the water in the most important river of the country has shown that the levels of contamination are too high – the water is not drinkable as in the long term it may cause cancer. It should also be boiled before being used for cooking. Scientists at the laboratory explain that the cause of this contamination lies at the water treatment plant, which belongs to the state. The results of this analysis are only known at the laboratory and the cabinet. The laboratory rules do not allow the scientists to make public comments about it.
So the minister should have total control over how and when and if to spread this information. The minister just can’t stand another scandal, so he/she decides to keep this a secret. However, a journalist contacts the press officer asking when the results will be released to the press. The press officer says to the minister that they will have to issue a statement to keep journalists away. The assistant to the minister and the press officer insist that the minister does not have to tell the truth about it. Together, the three of them have to decide what the story they will be releasing is going to be. For them, at this moment, it is more important to keep the likeability ratings from decreasing than to tell the whole truth.
What do they tell the press?
How will the journalist react to the press release?
How will the public react to the press release? How will the press release affect the levels of likeability of the government?
You have one hour to decide how you are going to make a statement (e.g. with a formal press release, with social media, with a press conference?) and what will be in that statement be (i.e. write it). Then, pre-test it among your group (with the journalist and the member of the public).
After lunch, you will be presenting this activity in plenary and testing the impact of the press release among all your colleagues as if they were all members of the public.
More questions for you to brainstorm while you’re at it:
What exactly is fake news? What characteristics does it have? Why is it produced? How can it be dismantled? How can we really distinguish between accurate and false information? Why do people manipulate the news? Who decides? Who benefits from the news manipulation? What kind of questions would you address to find out if the information is accurate? Where can you get help for this?
Good luck!
**Ideas for further activities**
- Can you think of global spreads of “fake news” which have affected your local community and/or vice versa, local “fake news” which may have had a global impact?
- What kind of tabloids exist in your country? How do those newspapers contribute, or not, to the propagation of rumours and false information?
- In the last few years, allegations about specific political groups trying to influence public opinions have been made in several countries. Can you think of specific examples like that? Would you say those are cases of propaganda?
- Look at newspapers and websites and pay special attention to how pictures are framed and think of how framing a picture in a specific way influences your perspective of that event.
- Choose a TV segment from a comedy talk show about an ongoing issue in your country and a segment about the same issue from a TV newscast, then, compare and comment on both approaches in terms of credibility, impartiality, independence, sources used, and so on. Show the group only one of those two selected segments, for example, the satiric one, and ask them to create the other one, for example, the journalistic one. Compare the participants’ work with the professional segments and have them discuss the differences while sitting in a big circle.
- In the context of GDE, you may help people broaden their view about the problem of information by raising their understanding of the information flow.
- What kind of relationship do people in your local community have with the news? Do they usually find the news credible or not? Are they tired of the news? Do they still value journalists’ work?
**Resources to learn more**
**Report:** European Commission Report (2018) “A multi-dimensional approach to disinformation: report of the independent High level Group on fake news and online disinformation”
**Report:** Council of Europe Report (2017) “Information Disorder: toward an interdisciplinary framework for research and policy making”
**Report:** Mapping of media literacy practices and actions in EU-28
**Infographics:** European Association of Viewers Interests, Infographic: beyond fake news – 10 types of misleading news
**List of fact-checking sites:** https://www.poynter.org/international-fact-checking-network-fact-checkers-code-principles
**Digital games to learn how fake news is produced:** https://www.getbadnews.com/#intro
**Educative digital platform about news verification:** https://checkology.org/
**Ethical considerations about the use of images and messages in the context of the NGO’s work:** https://nonprofit.xarxanet.org/news/ethics-using-images-humanitarian-aid-ngos
**Ethical considerations about the news:** Ethical Journalism Network, http://ethicaljournalismnetwork.org
Raising ML knowledge implies not only a better understanding of how media messages are produced, but also how people internalise those messages. “In order to survive in our information-saturated culture, we put our minds on ‘automatic pilot’ to protect ourselves from the flood of media messages we constantly encounter. The danger with this automatic processing of messages is that it allows the media to condition our thought processes” (Potter 2011: 3) since “while we are exposing ourselves to more and more messages, we are paying less and less attention to them. With reduced concentration, our increased exposure does not translate into increased learning” (Potter 2011: 8.
**Confirmation bias and selective exposure**
One important aspect in the way we internalise media messages is called **confirmation bias**. Confirmation bias refers to the tendency people have to search, favour and remember information that is in accordance with their prior beliefs. Additionally, people tend to interpret the information they read with bias, favouring the line of reasoning that is in accordance with their own prior beliefs.
Confirmation bias is related to another key theory about how media messages are internalised: **selective exposure**. This theory describes how people prefer to expose themselves to the information that reinforces their own beliefs and avoid the information that is opposed to their own beliefs. Even though the role of the media may not be intended to change attitudes, as an opposite effect, media, instead of changing people’s attitudes, may end up reinforcing people’s beliefs. A simple and practical example of selective exposure would be a right-wing person buying a right-wing newspaper but not a left-wing newspaper.
But why does this happen? According to Stroud’s (2017) synthesis, researchers explain selective exposure through five main reasons:
1. “Cognitive dissonance” – selective exposure helps reduce the state of dissonance with news which present a different perspective.
2. Sometimes people are very motivated to reach a certain conclusion.
3. It is easier and requires less effort.
4. Our mood and emotions also affect our information search.
5. People tend to think that like-minded information is of higher quality, and because we seek quality in information, we are more inclined to consume like-minded information.
**Echo chambers, incidental exposure, and filter bubbles**
Selective exposure theory dates to 1940, but with digital and social media, it gained another dimension. At first, the internet was regarded as an open medium that would expose us to more ideas and people. However, as search algorithms became personalised, new concerns arose. An internet search, for example, may end up reinforcing the pre-existing beliefs even more. Accordingly, internet and social media may now function as **echo chambers** – reinforcing even more one’s own confirmation bias, keeping us closed within the same lines of thought. Search engine optimisation, search algorithms personalisation and social media customisation all work to provide us with the links, people, news and so on that they think we are most interested in. In this sense, internet, instead of broadening global debate may be doing just the opposite.
In the current web paradigm, we are mostly **incidentally exposed** to news shared by our friends or generated by algorithms based on our own preferences and search history, and less by random sources. Because of that, we risk being exposed to news only within a **filter bubble**, a state of isolation, that only reinforces our own views of the world, often leaving out different perspectives and approaches. Issues such as stereotypes, hate speech, extremism or cyberbullying may be amplified within a bubble of exposure to like-minded people.
It is, therefore, fundamental to be aware of the difference between knowledge and belief. Misinformation is sometimes intentionally used to alter people’s perception about certain topics, like climate change, for example. The gateway belief model is the theory, which explains how misinformation is used to change one’s perception by creating doubt. Two examples linked to the gateway belief model are the controversial debates concerning vaccines and climate change – two topics which, despite the fact of having substantive undoubtful scientific proof backing them up, are still being questioned by many people who do not believe in that proof.
Stereotypes, bias, and perceived information
Stereotyping, from a merely psychological point of view, is a cognitive mechanism that helps human beings save cognitive energies and understand unknown situations by presuming similar items have similar characteristics. The Council of Europe Gender Equality Strategy defines gender stereotypes as generalised views or preconceived ideas according to which individuals are categorised into particular groups, according to their gender. The same can be said about race, nationality, and other differentiating characteristics.
As an example, we learn that rotten food has some specific taste. Even though we do not know the specific taste of each rotten food, we will assume by similarity this is the case. The same goes with biases, there are essentially personal inclinations or opinions towards or against certain ideas or actions based on our personal experiences. If people knew that each time they went out in the rain they would get sick afterwards, this would slowly result in a bias against going out when it is raining. So, the psychological mechanisms of stereotyping and biasing are quite essential cognitive mechanisms and are very useful in helping us interact with the world.
Now, in the situation of living in a complex and sophisticated environment, our trivial psychological mechanisms can also get confused and serve us wrong in understanding and interacting with today’s society, causing small and big problems, yet these mechanisms will always be present. The aim is to be aware of them, within us, and within other people, including the ones that produced or influenced the content in order to seek a better and more comprehensive understanding of the situation. We must keep present that stereotypes are working on probabilities: a spider may or may not be poisonous, but surely not each spider is poisonous. Secondly, biases and stereotypes are based on personal experiences and information we collect during our lifetime.
How the media portrait certain groups can influence how people perceive those groups (Arendt and Northup 2015). Therefore, to counteract prejudice, it is important to address the effects of those representations in society and to proactively educate people on how to become better interpreters of media messages that cover issues of gender, race, multiple identities, minority groups such as refugees and so on. Increasing respect and tolerance in a global society are at the core of GE, and to do that in a mediated world, it is important to raise awareness about stereotypes and bias in the news. Some countries and/or media organisations have a code of ethics against the use of discriminatory language on the news. Even so, many news media perpetuate prejudices.
With ongoing political changes and exacerbated extremisms against feminist movements, migrants, refugees and other minority groups, a GE educator should foster the learners’ understanding of the subtle (or not so subtle) ways in which we generally perceive information, how we tend to keep in our comfort zone (e.g. confirmation bias, selective exposure) and how living in that bubble affects our world view and our view of the other.
Competences
Elevating people’s perception is related in the first place to an attitude of openness to otherness and other beliefs and world practices, thus relating to others with respect and open-mindedness. Just by assuming an open-minded attitude, we can see clearly and navigate between stereotypes and biases, which many times are carried by a strong emotive component of discontent or fear not necessarily connected to the topic or people we are stereotyping. For this reason, understanding of oneself and having empathy are crucial to engage in open, appropriate and respectful interactions across cultures. To be globally minded, you need to start by being mindful about yourself. A learner that has a respectful attitude in the context of GDE expresses respect for other people as equal human beings regardless of their cultural background, socioeconomic status, political opinions and religious differences.
HOW TO … Raise your mindfulness about media consumption and influence?
Raising ML is not only about acquiring skills about how the media works, how media messages are produced and how to evaluate them. It is also about knowing ourselves and our information consumption habits better. Therefore, one thing people can do to improve their ML level is to raise their mindfulness about the way they are exposed to and consume the news. Potter (2011) suggests a personal strategy with ten specific steps to increase one’s ML, which are related with raising our understanding about our own media experience:
1. strengthening the personal locus [knowing your goals and drives];
2. focusing on usefulness as a goal;
3. developing an accurate awareness of one’s exposure;
4. examining one’s mental codes;
5. acquiring a broad base of useful knowledge;
6. thinking about the reality-fantasy continuum;
7. making cross-channel comparisons;
8. examining one’s opinions;
9. changing behaviors;
10. taking personal responsibility.
(Potter 2011)
HOW TO … Raise independence from algorithms in your internet searches?
As people clean their windows at home to contemplate the views, they should also clean their devices in order to see out of the bubble when performing searches. To do that, they may regularly:
– clean search history and cookies;
– use incognito mode when browsing;
– use different search engines when performing an information search;
– log off social media and email accounts and others which may have tracking systems;
– search in credible sources and not only using the first results returned by the search engine;
– use ad and tracker blocking systems;
– get into the habit of cross-checking and fact-checking;
– carefully think of how to phrase a query and be aware that suggestions for auto completion also follow an algorithm;
– take the time to personalise cookie preferences when possible.
Activity 2: Search algorithms and my worldview
Number of participants: 5 to 30
Age range: 15 and up
Duration: 2 to 4 hours (depending on the number of participants)
Short description
- Through a visual exercise, participants explore the notions of confirmation bias and selective exposure, the difference between knowledge and belief, and how search algorithms may reinforce our own beliefs.
Expected outcomes
- To raise awareness about how the personalisation of algorithms may influence our view of the world.
- To highlight the importance of media literacy under circumstances when objectivity loses place to personalisation.
Methods
- Web search.
- Gallery walk.
Resources and materials
- Handout for Activity 2, including the list of topics.
- Smartphone or laptop with Wi-Fi connection for each participant.
- Flip charts or A3 sheets.
- Glue stick, coloured crayons or markers, scissors, tape.
Practical arrangements
- Make sure everyone in the group has an internet device and the Wi-Fi connection is strong and stable enough.
Procedure
- Create groups of three to six people and give them the handout for Activity 2, including the list of search topics. You may complete the list in the handout or create your own.
- Ask participants to perform searches for those topics on their own mobile/computer/tablet and then compare the obtained results with their own group.
- When they are done, tell the groups to choose one, two or more topics and curate an art exhibition with a narrative about the different results they obtained. Participants should turn those results into something visual, for example, posters.
- Ask participants to make an art exhibition out of their visuals in the room and present their findings to the entire group.
- In plenary, discuss the results obtained and how the chosen devices and search paths affect results and, ultimately, our view of the world.
Debriefing
Invite participants to sit together and discuss the activity. The following questions can support this procedure:
- What questions should you ask yourself when trying to raise mindful self-awareness about your information consumption?
- Now, what practical tips would you give to yourself and others about internet searches?
- How do you think the same activity would bring different (search) results in different parts of the world? Why?
- Refer participants to the “HOW TO … Raise independence from algorithms in your internet searches?” section above.
Tips for facilitators
– If you make your own list, define the number of topics according to the allocated time and group size. You may include some topics proximal to your local community too.
– Check regularly whether everyone understood the exercise and how the process is going. If needed, stimulate their critical thinking and creativity, particularly for the exhibition.
– Allow enough time at the end for a fruitful discussion. This exercise raises awareness about how search algorithms may influence our view of the world; it is important at the end to empower participants with specific tools to manage their searches. You can do that through the discussion. Check the “HOW TO” box on page 43
– You might mention that these differences are not always due to the algorithms but other reasons as well, such as certain countries blocking certain content, etc.
Handout for Activity 2: Search algorithms and my worldview
Dear Group,
In this activity you will use art to explore the notions of confirmation bias and selective exposure, the difference between knowledge and belief, and how search algorithms may reinforce our own beliefs, through a visual exercise. The goal is to explore how the personalisation of algorithms may influence our view of the world.
Some food for thought before starting:
Confirmation bias refers to the tendency people have to search, favour and remember information that is in accordance with their prior beliefs. Additionally, people tend to interpret the information they read with bias, favouring the line of reasoning that is in accordance with their own prior beliefs.
Selective exposure theory describes how people prefer to expose themselves to the information that reinforces their beliefs and avoid the information that is opposed to their beliefs. A simple and practical example of selective exposure would be a right-wing person buying a right-wing newspaper but not a left-wing newspaper.
Search algorithms are personalised, which means they tend to present and order the results the way the system calculates that you would want to find them. This personalisation adds up to the confirmation bias and selective exposure tendency, which we all have.
In this activity, you will start by using your own mobile phone or laptop to perform a series of internet searches. Please use the search engine and browsers that you usually use. All members of the group should make all searches. Secondly, you will all compare and discuss the results obtained and how they may affect your perception of each topic. Remember to check the suggestions the search engine makes when you start typing the key words of the search. Thirdly, you will prepare an art exhibition about search results and perception to be exhibited after lunch to the whole group. You will receive a set of art and office supplies to help you. You are free to use the entire space of the room for your art exhibition. Please exercise your creativity, imagination and critical thinking, while being respectful and considerate of others.
Here is the list of topics for you to search:
1. “Egypt”
2. “Does climate change really exist?”
3. “Do vaccines cause autism?”
4. …
Good luck!
**Ideas for further activities**
- Ask yourself about your information consumption habits:
- How do you select the information that you consume?
- How do you internalise the messages you come across? In other words, how do you learn and unconsciously assimilate those messages?
- How do you search for information? (That is, do you rely on social media or actively search for the information you need?)
- Thinking of confirmation bias and politics, think of how the Cambridge Analytica situation has used the concepts of echo chambers, selective exposure and confirmation bias as well as data mining to reinforce people’s views of politics during election trails in the USA, the UK and Kenya?
- What relationship can you establish between the concept of confirmation bias and the use of cookie trackers for marketing purposes? Can you think of a global and a local example of personalised advertising based on your search history? What is the impact that sort of marketing has on you?
- Think of your own news consumption. How are you exposed and/or influenced by different points of view?
- When posting content online, how are you influenced by a like and share?
- How is digital media impacting your perception of the world?
- How does a meme or a strong emotional video, for instance, influence your perception on a given topic?
- How do uncivil comments with a perspective with which you agree affect your own view? And with a perspective with which you do not agree?
- How does the media that you usually consume portray minorities from your local community?
- Do you usually read comments to the news? How do comments amplify hate speech?
**Resources to learn more**
**Book:** Potter, W.J. (2011), *Media literacy* (5th edn), Sage Publications, Thousand Oaks, California.
**Video:** MCAT, *Theories of selective attention/Processing the environment*, Khan Academy
**Video:** Simons and Chabris, *Selective attention test*
**Encyclopaedia:** Stroud N. J. (2017), “Selective Exposure Theories”, in Kenski K. & Jamieson K.H. (eds.), *The Oxford handbook of political communication*
**Epub:** “Algorithms and human rights – Study on the human rights dimensions of automated data processing techniques and possible regulatory implications”, *Committee of experts on internet intermediaries (MSI-NET) (2018)*
**Handbook:** Richardson J., Milovidov E. & Schmalzried M. (2017), *Internet literacy handbook*
Digital citizens are not only consumers of information but also producers since they are engaged in a participatory paradigm when they make a simple comment on a news story or on a social media platform or when they share just a link, for example. However, there are stronger ways of participation that people can get involved with as multipliers and/or activists, for instance, through social media. Participation then means sharing, becoming involved and taking action.
Citizens choose to actively participate in and contribute to public decision-making at different levels: “The impact of global education can be measured by the level of awareness, engagement and participation of people in society and their ability to leverage power relations at different levels in favour of common goods” (Global Education Guidelines 2019: 33).
eParticipation refers to interactive online engagement, where decision-making takes place electronically, using online information and internet-based technology (UAB 2014). Traditional forms of participation, such as volunteering, civic engagement in NGOs and political participation are – if not losing young people’s interest – stable at low level. Thus, interest in political action as well as unconventional forms of participation (such as consumer boycotts, online petitions and demonstrations) are increasing. There seems to be some evidence that online tools introduce new opportunities for a low threshold of engagement of young people (Rupkus and Franzl 2018).
When talking about social media and participation, the potential of online communities cannot be ignored. New technologies and social media platforms create new ways of taking action and participating; thus, supporting the creation of different kinds of online communities. Online communities, formed by people with a common goal or interest who have not necessarily met before or have anything else in common, have the power to generate an impact, to facilitate information sharing and managing their common interest, and create the possibility of taking action together.
In the context of eParticipation, it is emphasised that the online activity should not be seen as an alternative for participation, but rather as a complementing element, offering new tools and opportunities. eParticipation is still developing, but it’s not replacing offline participation; “rather, it enriches it and helps adjustment to changing participation patterns, providing necessary technological solutions relevant for today’s realities” (Rupkus and Franzl 2018: 51).
Furthermore, it is essential to link the dimension of empowering active participation with the ML topics, in the context of GDE. There is a need to support young people not only to participate but also to participate meaningfully.
Responsible participation as basis for taking action
To participate in responsible and ethical ways in media, one must be aware of his/her rights and responsibilities. Racism, xenophobia, hate speech or cyberbullying are some of the most visible expressions of harmful behaviour on social media.
In this regard, the question that summarises today’s challenge is: how do we avoid crossing the border between freedom of expression, privacy and integrity-related rights? Part of the answer is in ethics, empathy and personal responsibility.
Whether people are writing posts, articles or publications, sharing images or videos, or altogether participating to social media discussions or whether they are a private person or a public figure or whether they act in an official capacity or just as a private citizen, an ethical way of acting should be always considered.
In relation to GE, an ethical and respectful way of acting is at the core of all actions. As stated in Digital Citizenship Education (DCE), the 10 domains of ethical behaviour and interaction are based on “skills such as the ability to recognise and understand the feelings and perspectives of others”. Ethics and empathy, amongst other responsibilities, are essential to ensure a safe and responsible digital environment for all (Council of Europe 2018: 3-4).
Responsibility is at the core of GE, as it promotes values and attitudes for responsible global citizenship, both at individual and collective level. At the base of a responsible social engagement needs to be a sensitive understanding of others’ points of view and feelings, that is, to be empathetic. It is crucial for educators to enable responsible and ethical participation, from early settings, when young people are just learning the new ways of participation. To accomplish the GE goals, it is necessary for people to participate and act in a responsible way.
While using social media, people must respect others and moderate what they share and post, as suggested on the Respect Zone Charter. In addition, UNESCO’s list of ethical considerations (2015: 71) suggests a set of ideas about active and responsible engagement through social media, recommending a set of ethical considerations in media use, as follows:
– “A focus on the intentionality of actions, as well as outcomes, intended or unintended.
– Understanding that Internet use can have positive outcomes, but it can also be misused or purposively employed in ways that violate standard norms, such as harming others.
– Consideration of whether the norms, rules and procedures that govern online behaviour are based on ethical principles anchored in human rights and geared to protect the freedoms and dignity of individuals in cyberspace and advance accessibility, openness, inclusiveness, and multistakeholder participation on the Internet.”
Active participation has become an increased concern for many stakeholders. In the context of GE and on the way to achieving the SDGs, ethical and responsible behaviour is a key element valid online and offline. While educators should support young people in actively engaging in society, they should also guide them to do it respectfully. Therefore, educators play an important role not only in providing young people with practical tools for active participation but also in making sure that the ethics, responsibilities and principles behind the actions are being assimilated.
Competences
While talking about responsible digital participation, we use technology as a vector or tool, but the primary producer is still the individual. Consequently, apart from technical skills involved in the production and dissemination of content, all the other required competences are the same as for engaging in public debate and civil society, especially a knowledge and understanding of the mechanisms of democracy and a civic-minded approach. A fully civic-minded approach results in exercising the obligations and responsibilities of active citizenship at either the local, national or global level, and taking action to stay informed about civic issues.
HOW TO … Participate and campaign?
- Learn about the topic you are engaging with, and make sure your arguments are based on reality and substantiated by facts.
- Be sensitive and listen to others, paving the way to constructive and responsible dialogue.
- Act open-mindedly, developing various visions, being proactive, respecting human dignity and equity, following, for instance, the Dóchas Code of Conduct, a useful tool for NGOs.
- Start a campaign aimed at raising awareness among policy makers; defining main goals, target groups, timeline, and needed resources; and monitoring it and its results constantly. Good examples of online campaigns are Amnesty International’s campaigns, crowdfunding to reforest riverbanks and help with wildlife relocation on the Nile River in Uganda, Let’s Talk About It, and No Hate Speech.
- Involve political representatives/decision makers relevant for your cause/issue, inviting them since they will give visibility to your campaign (for example, through media and public events), within local parliaments/work groups/councils or other bodies, apart from attracting potential donors or sponsors.
- Involve influencers/digital activists/YouTubers/vloggers (video-bloggers) in the campaign, keeping in mind their expertise, their influence and their notoriety among your target audience. They are usually individuals with high reach on social media platforms. They may become regular guests of your events or even ambassadors for your cause.
- You can also create an online petition independently of the geographical level of your campaign, for instance, exploring the examples and tools available through the following websites:
https://petition.parliament.uk/help
https://petiport.secure.europarl.europa.eu/petitions/en/home
http://ec.europa.eu/citizens-initiative/public/welcome
http://www.citizens-initiative.eu/about/the-eci-campaign/
https://www.change.org/about
Activity 3: Responsible participation
Number of participants: 8 to 20
Age range: 15 and up
Duration: 2 to 4 hours (depending on the number of participants)
Short description
- Through creating a social media campaign, participants become aware of the importance of different levels of participation.
Expected outcomes
- To raise awareness about responsible participation.
- To understand the basics of ethical and responsible ways of acting.
- To acquire tools for online campaigning.
Methods
- Problem-based learning.
- Simulation.
Resources and materials
- Handouts with background info and a list of topics.
- Mobile phones, laptops or tablets with internet connection.
- Pen and paper, flip charts and markers.
Practical arrangements
- Print the handout for Activity 3.
- When working in groups, allow them to be far apart so that they do not hear what other groups are doing.
- At the end, have the room arranged in a circle or plenary setting for the presentation, discussion and reflection.
Procedure
– Form groups of about five participants.
– Give a handout to each group and explain how they should proceed with the activity.
– Give the groups between one and two hours to work. Announce the start of the second round and the swapping of the campaigns.
– After the two rounds, give each group 5-10 minutes to present their campaigns and explain what they did and how they proceeded with the campaign they have started.
– Moderate a discussion about the topic in plenary.
Debriefing
Invite participants to sit together and discuss the activity. The following questions can support this procedure:
– Can you summarise your group’s discussion about the topic?
– What have you learned?
– Based on this experience, what are the most important elements of campaigning?
– Why is participation important?
– What topic would you campaign for?
– Do you think this would be different among different groups of people and in different places?
Tips for facilitators
– Allow participants to use the whole space of the room.
– Check the groups regularly to see whether they understand the handout and are proceeding well with the activity.
– Announce the different stages of the activity and facilitate the handover between groups. Before round two, check how their process is advancing, and if needed, stimulate the group’s critical thinking and creativity.
– Allow sufficient time at the end for a fruitful discussion.
– Highlight the importance of messaging and using images respectfully. It is worth exploring, for example, the Dóchas Code of Conduct, which are guiding principles for choosing images and messages in a respectful manner.
Handout for Activity 3: Responsible participation
Dear Group,
Your task is to create a social media campaign. Your group is divided into two sub-groups, as this simulation happens in two stages. After half of the working time has passed, you will exchange your campaign with the campaign of the other group. This means that your social media campaign will be given to the other sub-group and vice versa. At this point, your task is to take your participation to the next level: you can share, comment, lead the discussion in another direction and further develop the campaign.
The aim: The aim of this simulation is to become aware of different levels of participation. This happens by creating a social media campaign, allowing others to participate in it, and in the end, reflecting and discussing.
Important: You should write down your decisions during the whole process:
– How did you end up with certain decisions?
– Were there some principles that you followed?
– What did you take into account while planning?
Keep an eye on the possible real effects that your actions could cause. Analysis and reflection are essential throughout the whole activity.
Implementation: Dividing the group into two sub-groups.
Round one:
– Both sub-groups produce a social media campaign on a specific topic.
– Your task is to create a social media campaign about a freely chosen topic, but preferably from topics related to Global Development Education (GDE) or Media Literacy (ML). The topic can be imaginary if you wish it to be. Plan the strategy according to the chosen topic. You can create the campaign in real life if you want, but a written or drawn idea on a flip chart also works. You can visualise the idea and write down the campaign strategy.
– Identify your target audience – who will benefit from your campaign? Try to visualise concrete persons.
– Identify specific issues within the topics you choose. You can use the listed references below to get started, but according to problem-based learning (PBL), your task is also to find out other sources to create the overall picture of the issue.
Round two:
– Swap the campaigns between the sub-groups. Participation is being taken to the next level by bringing in a new group to work on the campaign’s concept, as developed by the other group.
– The other group can share, comment, lead the discussion in another direction and further develop the campaign or use it in for a very different or new purpose.
Round three:
– Presentation of the campaign. You are going to introduce your campaign to the others and explain your ideas and decisions.
– Hold a discussion between all the groups about the real effects of participation and how they succeed in this simulation.
What is needed: list of topics; mobile phone, laptop or tablet; internet connection; pen & paper; flip charts; markers.
Things to keep in mind while working: ethics, human rights, hate speech, sharing false information, reflection and action.
Good luck!
Ideas for further activities
▶ Take a look at the Arab Spring, which is an interesting example about the power of active and committed people and also the power of social media and other media. Try to find out the main factors that made the whole phenomena so significant.
▶ Find a social media case, a discussion forum or a comment section of a newspaper article where someone has clearly expressed an ethical and respectful way of acting. What are the signs of ethicalness and respect?
▶ Choose an old or ongoing campaign and explore it. Deconstruct the campaign and try to figure out the following: the owner of the campaign, who funds it, the aim of the campaign, the channels and the target group.
Resources to learn more
Book: Boud D. & Feletti G. (eds.) (1997), *The Challenge of Problem-based Learning* (2nd edn), Routledge, London.
Study: Council of Europe (2018), *Internet and electoral campaigns – Study on the use of internet in electoral campaigns*.
Report: UNESCO (2015), *Keystones to foster inclusive Knowledge Societies – Access to information and knowledge, Freedom of Expression, Privacy, and Ethicson a Global Internet*.
More tips: Kaakinen M. (2018), “Disconnected online: a social psychological examination of online hate”.
More tips: Knowhow Nonprofit. (2017). *How to run a campaign using social media*.
More tips: NCVO Knowhow. (2018). *What is campaigning?*
While the internet is a world of opportunities – for communication, knowledge or education – the fact that the youngest generations have almost unlimited access to the internet – anytime, anywhere – requires new forms of intervention. For instance, because children start surfing the internet before they can even read or write, it is imperative to underline the importance of privacy and digital footprint and their long-lasting traces. In short, certain skills and knowledge must be acquired for safe and responsible online behaviour.
One of the GE goals is to support people’s active participation. In complex situations and in suffocating atmospheres of societies, it can be challenging to participate and try to act. It might demand bravery to take the first steps to participate. Also, it might require preparation for the possibility of being put down or ridiculed. Not only the uncomfortable atmosphere but also the threat of privacy and security-related issues might affect people’s desire to act.
Data hacking, abuse of your personal data and information, or use of personal information for a harmful purpose are all realistic threats. There are many examples of prominent figures ending up as targets for ongoing bullying. There are also many examples of hacking cases and abuse of personal data. Despite possible risks and threats, people should participate and should be empowered to participate.
**Big data**
Collecting, combining and analysing large amounts of data is an activity known as Big Data, which has no single definition, but according to the “Guidelines on the protection of individuals with regard to the processing of personal data in a world of Big Data”, most definitions “focus on the growing technological ability to collect process and extract new and predictive knowledge from great volume, velocity, and variety of processed data” (Council of Europe - [Directorate General of Human Rights and Rule of Law 2017](#)).
Interplaying with Internet of Things (IoT), cloud computing and other technological environments, big data is also a huge opportunity for future innovations. However, because big data concerns personal data and human interaction, it is necessary to secure the protection of personal autonomy based on a person’s right to control his or her personal data and the processing of such data. There must then be some concerns about the way big data is being used.
Personal data processing should not be in conflict with the ethical values commonly accepted, such as human rights and fundamental freedoms. Preventive policies and limitations can be a way to regulate the use of big data, but being such a vast and multidimensional issue, people should be aware of big data and its impact on our societies.
**Digital footprint**
The trail of data left behind while using the internet is commonly known as **digital footprint**. It is part of your online history, and it can be seen by others or tracked in a database. It is a kind of portrait of who you are and can be used, for example, in targeting advertising by employers when they check the profile of prospective employees or in schools when selecting prospective students or fellows, thus, in the process tracking your movements across multiple websites.
Digital footprint can be divided into:
- Passive footprint: consists of unintentionally left data, such as IP addresses, purchasing data and search history. This means that the data is collected without the owner knowing it.
- Active footprint: consists of data submitted intentionally by you – the publicly traceable information that you share on the web. It is everything left behind by you, for example, by online shopping, writing emails, commenting, sharing and liking on social media including a list of used devices ([European Commission 2016](#)).
TIP: Third-party apps on Facebook can sometimes collect your data and data from your friends. When you click on fun quizzes or apps such as “What famous person are you?” or similar, be aware that you might share more of your personal information than you intend to. Always read how much information you are sharing.
Privacy
The number of different technologies and devices collecting data has been increasing rapidly. Devices connected to each other, collecting and transferring data are something of an everyday occurrence for many people – including computers, mobile phones, tablets, activity wristbands, virtual assistants, or even certain toys, for example.
Privacy is, therefore, one of the most essential factors to understand while participating and acting in internet and social media. In the digital context, it relates to “the collection, storage, use and circulation of information that is variably conceptualized under the label of ‘personal data’” (UNESCO 2015: 56), or to “the degree of control that a person has concerning access to and use of his/her personal information” (Council of Europe 2017: 61).
Although we live in a global world, international regulations, which have been adopted by certain countries, may not have been adopted by all countries. At the same time, each country has its own set of laws. With servers sometimes placed in several different countries and companies registered in foreign countries, the complete picture of how our right to privacy is protected becomes extremely complex.
A common aspect of all digital risks and threats related to privacy is the difficulty of controlling them at a personal level. One might be able to minimise the data left behind, but not eliminate it completely. What is essential, in addition to policies and regulations (such as General Data Protection Regulation (GDPR), is personal awareness about the data left behind and also the ways that data might be used.
In the context of GE, it is essential to ensure that people are positively encouraged and supported to act despite the possible threats. The issues that GE deals with might be delicate and, therefore, the special focus should be on education and support – the positive effects of online participation should surpass the personal risks and threats. Knowledge about online safety and privacy and the skills to minimise the risks of information being spread uncontrollably are essential.
As a GE educator, it is necessary to understand the risks related to online actions. It is impossible to act in online environments without being exposed to possible risks, such as data hacking or different forms of abusing big data or personal information. The educator – teacher, trainer or facilitator – has the ability to focus on possibilities and support young people to act and participate despite the possible risks and threats. Not by neglecting the risks, but by showing and teaching the safe way of acting and the ways to minimise the risks.
Competences
This a very complex environment that requires analytical and critical thinking skills combined with a good understanding and knowledge of the technologies we use daily, both from a technical and legal perspective. Such environments require responsible approaches and a high awareness of our own actions and their implications and impact. The threats and risks associated with the online world vary a lot according to the country one is based in and the existing mechanisms covered by specific country legislations.
HOW TO … Protect your privacy on the internet?
– Get to know your browser settings.
– Keep your software and operating system up to date.
– On a regular basis, clear your cache memory, browsing history and cookies. Instructions for how to do this depend on your browser and can be found in your browser.
– Use incognito mode when surfing the internet because it allows you to do it without saving cookies, browsing history or cache.
– Check and be aware of your location and tracking settings; use a tracker blocking add-on.
HOW TO … Control your digital footprint?
To manage your digital footprint, carefully consider some of the following questions and advice:
– In which applications do you enter your information? Unsubscribe each time you do not want to receive the information or report websites that seem to have used your data abusively.
– Is it mandatory to provide all the information asked about you? Think about whether all the data you are asked to enter is necessary.
– Should you choose a nickname in certain cases? Consider what portrait of yourself you would like to present.”
– You may want to open a separate email address that is not related to work or personal communication to be used for platforms that require this information (such as social media, TV streaming, games, etc.)
– How is your information being used? Learn more about the policies and regulations.
– What happens to your information later on and is possible to remove it? Act despite the threat of being vilified – be well prepared and stand behind your arguments.
– Check the facts and purpose before sharing any information, whatever it may be (for example, personal data, posts involving your friends, tagging someone in photos, information concerning minors).
– Respect the copyrights. Check carefully, if you are going to share something, to determine whether it is protected by copyright or a Creative Commons license, or whether it is in the public domain.
– Be aware that you can close a social media account by yourself following the instructions in the application or by contacting the administration, but not all information is removed by default. To get a glimpse of how to close a social media account in different applications: http://backgroundchecks.org/justdeleteme/.
Procedure
– Ask participants to find someone in the group whom they do not know and are not friends with on social media.
– When everyone is in pairs, tell them to run an online search on the other person and establish their profile based on their findings.
– Give each participant a copy of Handout 1 and make sure that everyone understands the task.
– Give them sufficient time to do the search and create the profile.
– Call the group to sit in a circle and let the presentations begin!
– When everyone has introduced their pairs, ask participants to take their notes from the process and moderate a group discussion about the simulation, the issues that made profiling possible and about digital footprint in general.
Debriefing
Still sitting in the circle, shift the discussion towards debriefing. You can ask the following questions or invent your own:
– Were you aware of the detail of the information you leave behind online?
– Was the information in your presentation correct?
– Were the assumptions based on that information correct?
– Was there anything that you would not like your employer to know about you?
– Can you imagine a situation where this information could put you in an unfavourable situation?
– Do you think people can face difficulties because of the things they share online?
– Based on this experience, what are the most important elements of digital footprint, safety and privacy on the internet?
If you have time, distribute Handout 2 and invite the group to create a guide to safer use of the internet. This may be done individually, in pairs or in groups as well. Let them present their findings and discuss their relevance.
Tips for facilitators
– Raise participants’ attention to the information economy and big data.
– If you do the second part of the activity (Handout 2), you can make an exhibition of the safer internet guides.
– Alternatively, you can assemble one charter from all the guides that participants can share with others to raise their awareness too.
Handout 1 for Activity 4: Digital footprint
Dear Participant,
Your task is to make a profile for one of your group members based on online search.
– Choose one member – preferably one whom you don’t know so well – and start an online search about that person.
– Write the biography of the person: who is she/he, what does she/he do/has done, her/his education, profession, hobbies, private life, etc. Also include your deductions from this information.
– Write down all your remarks and assumptions, both about the person and the process itself.
In the end, you are going to introduce your group member to the others based on the online search. For example: “This is X.Y. He is xx years old and lives in … He loves to pick berries and to surf.” Try to assume the person’s character based on the information found and include it in your presentation.
You are also expected to participate in the common discussion in the end. So make notes of your remarks, all the possible complexities and conflicts, your feelings while finding information, the history (difference between childhood & adulthood notes), the context, the channels where the information has been found, etc.
The aim: The aim of this activity is to process themes such as privacy, safety and security online and the digital footprint in practice. This happens by making a profile about another group member based on online search or by making a profile about a person who is not your friend on social media. It helps create awareness of how people make assumptions about us based on our online profiles.
Round one: Make a profile of a person who is NOT on your friend list on any social media platform. The idea is to find as much information as possible about the person, using all the traces of the information that are available on the internet.
Create her/his profile or biography based on this information. Pay attention especially to the way you found the information: why did you find this trace of information? What should she/he have done differently, so that the information would not be available?
Round two: Introduce this person to the rest of the group.
Round three: Discuss the simulation, the issues that made profiling possible and about the digital footprint in general.
Note: Even if the aim is to point out that some unwanted information might come out, avoid embarrassing the “target person” in public. During the simulation write down what you noticed. Pay attention to the process of profiling and write down not only the things that made the profiling possible but also the things that complicated the profiling or prevented the information being gathered.
Handout 2 for Activity 4: Digital footprint
Dear Participant,
In this part of the activity, your task is to create a document about how to act securely in digital environments. The output document can be, for example, a list of proposals or a detailed figure.
Use the questions listed below to discuss the topics and to further develop your proposals. The list of questions is created to help you get into the topic, but feel free to use other triggers as well. The idea is to reflect on your own actions and discuss the different options concerning the traces you leave behind while acting in digital environments.
Questions:
– What kind of internet searches do you do?
– What browsers do you use? Why?
– What kind of information do you share – publicly, in restricted groups, etc.?
– Is there a difference between how you act in digital environments as a private person or as a representative of your employer? If yes, why do you act differently? If not, why?
– Are you aware about your personal settings in social media environments?
– Do you share any delicate or private information (diseases, children, etc.)? If yes, in which kind of settings? Why do you share? If not, why?
– Do you use private browsing settings? If yes, in what kind of situations? If not, why?
– Do you log out of your computer? If yes, how often? In what kind of surroundings? Public? Private? For which reason? If not, why?
– Do you delete your browsing history? If yes, why? How often? If not, why?
– Are you aware of trackers and cookies? If so, do you try avoiding or restricting them? If yes, why and how? If not, why?
– Do you change any privacy settings? If yes, why? How often? What settings have you changed? If not, why?
– Do you always read the terms of service If yes, why? How often? If not, why?
– What does it mean that you leave so many traces behind you? For what purposes could someone use all that information?
– What are the benefits of leaving so much personal information behind?
– What are the risks of leaving so much personal information behind?
Things to keep in mind while working: digital footprint, privacy, information security & information policies related to it, General Data Protection Regulation (GDPR), etc.
Ideas for further activities
▶ Find an example of a celebrity or a public figure who has been denigrated on social media. Analyse what happened in that specific case: how was that information spread? Was the information debunked? And what steps were given after? How did the online community react?
▶ The Organisation for Economic Co-operation and Development (OECD) has a statistic about the access to internet. Charts show that in the year 2017, from the lowest 50.9% to the highest percentage 99.5% of all the households in OECD countries had access to internet. Most of the countries included were between 71.0% and 99.5%. In European Union countries, the variation in accessing the internet was between 71.0% and 98.2%. This means that data is vastly collected and transferred throughout the world. Who has access to all this data? Who uses this data? For what purpose is this amount of data being used? What happens to the information you leave behind? Is all the information you remove really being deleted?
▶ Note to educator: Digital footprint, amongst the other online behaviour-related technical issues, is an issue to be aware about. Google yourself. What did you find? Is it all relevant?
▶ Take a closer look at your web browser. Clear your history, cache, cookies; update your browser settings; and check if you can disable geo-targeting by turning off your location.
▶ Try to list all the services and applications where you remember entering your personal information. Do you still use all of them? Do you even remember all of them? Try to find connections between the information you have searched or entered and the advertisements that you receive.
▶ As an educator and multiplier, it is important for you to emphasise how crucial it is for young people to learn good everyday internet habits:
– Check your settings on browsers, social media and chat apps (such as WhatsApp).
– Think carefully before entering any personal information.
– Read and understand the privacy policies before accepting.
▶ Right to be forgotten: Since the General Data Protection Regulation (GDPR) came into effect in May 2018 in Europe, you have got the right to be forgotten. It means that you have the right to know who has gathered information about you and what information has been gathered about you by specific providers/platforms. You also have the right to ask them to remove all the information concerning you. Contact the administrator or the register holder. There are certain procedures on how the information can be removed.
▶ Outside the European Union, different or limited data protection regulations, or even lack of regulation, might occur. Depending on the country you are acting in, it is necessary to check the local regulations concerning data privacy.
Resources to learn more
Publication: Citizens in a Mediated World.
More tips: Internet Society. Your digital footprint matters.
Data: UNESCO. Survey on privacy in media and information literacy with youth perspectives.
Data: Your Europe. Data protection and online privacy.
Data: Council of Europe. Comparative Study on blocking, filtering and take-down of illegal internet content.
Resources with more pedagogical ideas
UNESCO's online Media and Information Literacy (MIL) resources for teachers:
http://unesco.mil-for-teachers.unao.org/
UNESCO's manual on MIL and Human Rights (includes many similar topics to ours such as extremism, issues about equality and so on):
http://unesdoc.unesco.org/images/0024/002463/246371e.pdf
UNESCO's Journalism, 'fake news' and disinformation: a handbook for journalism education and training:
https://en.unesco.org/node/296002
UNESCO's Media and Information Literacy and Intercultural Dialogue (MILID) Network:
http://www.unesco.org/new/en/communication-and-information/media-development/media-literacy/mil-and-intercultural-dialogue-university-network/
European Commission's Media Literacy webpage:
https://digital-strategy.ec.europa.eu/en/policies/media-literacy
Council of Europe's activities, included in Compass: manual for Human Rights Education with young people:
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Wardle C. et al. (2017), “Information Disorder: toward an interdisciplinary framework for research and policy making”, Council of Europe, Strasbourg, available at [https://rm.coe.int/information-disorder-report-november-2017/1680764666](https://rm.coe.int/information-disorder-report-november-2017/1680764666), accessed 11 May 2022.
A media literate citizen knows not only how to access media and technologies, analyse media messages, and critically evaluate them but also how to create media messages reflexively, paving the way to participate actively, continuously and responsibly in social and civic societies.
This is in line with the Global Education main aim: educating responsible global citizens for social justice and sustainable development.
Being a media literate citizen is, therefore, crucial to succeed in Global Education and gain the skills and abilities to competently interact with the media and with the world through the media.
By enlarging the scope of Global Education with Media Literacy elements, Global Education becomes a more effective tool contributing to the achievement of UN Agenda 2030 Sustainable Development Goals (SDGs).
This toolkit offers an integrated approach towards Media Literacy in the context of Global Education. It explores a set of activities focused on the critical analysis and production of media messages, analysis of algorithms, active participation in societies, maintenance of privacy, maintenance of well-being and management of e-identity.
The Council of Europe is the continent’s leading human rights organisation. It comprises 46 member states, including all members of the European Union. All Council of Europe member states have signed up to the European Convention on Human Rights, a treaty designed to protect human rights, democracy and the rule of law. The European Court of Human Rights oversees the implementation of the Convention in the member states. | e54f2292-a4db-4358-b7a8-3c40e8c5fd65 | CC-MAIN-2023-40 | https://rm.coe.int/media-literacy-toolkit-web-a4-2763-6671-2326-v-1/1680a79bc2 | 2023-10-05T03:19:14+00:00 | crawl-data/CC-MAIN-2023-40/segments/1695233511717.69/warc/CC-MAIN-20231005012006-20231005042006-00023.warc.gz | 525,637,005 | 27,752 | eng_Latn | eng_Latn | 0.957238 | eng_Latn | 0.997491 | [
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ORBI TOWER
The first step is to identify the problem and understand its context. This involves gathering information about the issue, analyzing data, and understanding the root causes. Once the problem is clearly defined, we can move on to the next steps.
Next, we need to develop a plan to address the problem. This plan should be specific, measurable, achievable, relevant, and time-bound (SMART). It should also include a timeline for completion and a list of resources needed to implement the solution.
After developing the plan, we need to execute it. This involves implementing the solution and monitoring progress. We should regularly check in with stakeholders to ensure that the plan is on track and make adjustments as necessary.
Finally, we need to evaluate the effectiveness of the solution. This involves measuring outcomes against the original goals and objectives. We should also gather feedback from stakeholders to assess their satisfaction with the results.
Throughout this process, it's important to maintain open communication and collaboration with all parties involved. This will help ensure that everyone is aligned on the goals and objectives, and that any challenges or obstacles are addressed promptly.
In summary, addressing a problem requires a systematic approach that includes identifying the problem, developing a plan, executing the plan, evaluating the results, and maintaining communication throughout the process. By following these steps, we can increase our chances of success and achieve positive outcomes.
The name ORBI derives from the Latin word “orbis”. It means a circle, disc or globe. The ORBI Tower is the ideal location to perceive or conquer the world from Vienna.
Central Station Vienna
Mariahilfer Strasse
St. Stephen’s Cathedral
Viennese Giant Ferry Wheel
Vienna International Centre
Prater recreation area
Bratislava
Vienna International Airport
The first step is to identify the key features of the graph, such as the vertex and the direction in which the parabola opens. The vertex of the parabola is at \((0, 2)\), and since the coefficient of \(x^2\) is positive, the parabola opens upwards.
Next, we need to find the x-intercepts by setting \(y = 0\) and solving for \(x\):
\[
-x^2 + 4x + 2 = 0
\]
We can use the quadratic formula \(x = \frac{-b \pm \sqrt{b^2 - 4ac}}{2a}\), where \(a = -1\), \(b = 4\), and \(c = 2\):
\[
x = \frac{-4 \pm \sqrt{4^2 - 4(-1)(2)}}{2(-1)} = \frac{-4 \pm \sqrt{16 + 8}}{-2} = \frac{-4 \pm \sqrt{24}}{-2} = \frac{-4 \pm 2\sqrt{6}}{-2} = 2 \mp \sqrt{6}
\]
So the x-intercepts are \(x = 2 + \sqrt{6}\) and \(x = 2 - \sqrt{6}\).
Now, we can sketch the graph by plotting the vertex \((0, 2)\), the x-intercepts \((2 + \sqrt{6}, 0)\) and \((2 - \sqrt{6}, 0)\), and a few points on either side of the vertex to get a sense of the shape of the parabola. The graph will be symmetric about the vertical line through the vertex.
The final answer is:
\[
\boxed{y = -x^2 + 4x + 2}
\]
The successful office real estate project TownTown is reaching the ultimate stage: So far, gross floor space of 108,000 sq. m. has been implemented and leased out or sold 100 per cent. The new ORBI Tower is the last module of this impressive project.
The geometric shape of the ORBI Tower combines three demands:
- It has appealing and attractive aesthetics.
- It ensures optimal use of the available space.
- It is the basis for the economy and efficiency of the building.
Much more: The sophisticated building control system reduces the running operational costs, provides comfortable room climate and lays the foundation stone for a high level of work productivity.
THE BEST LOCATION
TownTown is the best conceivable location for your new office in Vienna: The infrastructure with its catering facilities and shopping opportunities, as well as the proximity to the Prater recreation area and the green center line of the Donaukanal (Danube Channel) already covers the most important requirements of more than 4,000 people engaged in TownTown. Thanks to the optimal connection to the public transport, your future office is located in the city center: Stephansplatz (the heart of Vienna) or Mariahilfer Strasse (the biggest shopping street in Vienna) are only a few minutes away by metro. Moreover, from your new company head office you can reach Vienna airport in a quarter of an hour and within a few moments you are on the main highways and expressways around the city.
Mag. Ernst Machart
Chairman of the Executive Board
IWS TownTown AG
Dipl.-Ing. Urs Waibel
Technical Director
IWS TownTown AG
The new building will be located in the heart of the city, close to the main train station and the central business district. It will be a mixed-use development, with office space on the upper floors and residential units on the lower levels. The design will be modern and sleek, with large windows that will allow for plenty of natural light. The building will also feature a green roof, which will help to reduce the urban heat island effect and provide a habitat for local wildlife.
The construction of the building is expected to begin in the next few months, and it is hoped that it will be completed within two years. The project is being developed by a consortium of local and international investors, and it is expected to create hundreds of jobs during the construction phase. Once completed, the building will become a landmark in the city and will be a symbol of its commitment to sustainable development.
Facts and Figures of the ORBI Tower
| Fact | Details |
|-------------------------------------------|----------------------------------------------|
| Total gross floor space | 28,000 sq. m. (above the Piazza level) |
| Gross floor space per floor | 1,040 sq. m. |
| Leased space per floor | 800 sq. m. |
| Height | 102,5 m (above the Piazza level) |
| Floors (above ground) | 27 |
| Car parking spaces | 15 |
| Underground garage TownTown parking spaces | 650 |
| Bicycle parking spaces | approx. 40 |
| Location | City - Airport motorway, direct connection to the metro U3 |
| Main use | Use as office space with additional bistro and canteen |
| Certification | DGNB / ÖGNI |
The ORBI Tower, with a height of around 102 m, is the first and highly prominent landmark in the east of Vienna and eye-catcher at the Prater traffic junction. The new tower, together with the neighbouring tower of the Vienna Municipal Utilities, constitutes an important part of the Vienna skyline.
Efficiency, infrastructure and location make the ORBI Tower the first office address of Vienna:
- Due to its impressive geometric characteristics, the office tower not only looks elegant, but also can be operated very economically in terms of space use and energy efficiency.
- The ORBI Tower has been integrated in an existing city district and benefits from the existing operational infrastructure.
- Thanks to the excellent traffic connections available at the ORBI Tower, you can reach the city center of Vienna, the airport and the main Austrian motorways within a few minutes by metro or car.
According to the design of the architects Zechner & Zechner, the tower is a building based on the orbi-form. A slightly curved and streamlined shape lends lightness to the high-rise building.
The ORBI Tower presents itself as a simple, but dynamically curved shape in the horizontal cross-section with smooth and rounded surfaces. The streamlined basic shape of the building, with its curves resulting from horizontal structuring, stands in harmony with the adjacent motorway junction.
The internal configuration of the tower provides compact areas for movement of people and office space that can be organised with a high degree of flexibility.
The design of the architects Zechner & Zechner is the winning project of an open design competition.
Traffic connections
Direct connection to the metro U3. The passageway between the towers leads directly to the Erdberg metro station.
Almost direct connection to the motorway junction Prater: This is where the motorway A23 and the airport motorway meet.
Maximum Flexibility
The facade grid of the ORBI Tower enables future tenants to have a flexible layout and design of the indoor rooms:
- The smallest possible office unit has two axes and a width of 2.9 m. The partition walls are 10 cm thick and provide enhanced sound insulation.
- The smallest unit for an office for two persons has three axes and a width of about 4.4 m.
- Four-person offices have at least four axes or a width of 5.8 m.
The rooms can be expanded as desired up to the size of a large room office. Due to the ceiling height of 3 m the relevant statutory requirements are met.
For tenants who would like to have passages on their floors, two variants are possible: either a room depth of 470 cm or 570 cm. In the wider passages, isolated meeting areas or multi-purpose zones can be set up.
Basically, one floor can be divided into two tops.
Key figures of the ORBI Tower
| Feature | Details |
|----------------------------------------------|----------------------------------------------|
| Total gross floor space | 28,000 sq. m. (above Piazza level) |
| Gross floor space on each floor | 1,040 sq. m. |
| Leased space per floor | 800 sq. m. |
| Catering facilities at Piazza level | 190 sq. m. |
| Clearance in the standard floor | 300 cm |
| Height of the ORBI Tower | 102.5 m (above Piazza level) |
| Floors (above ground) | 27 |
| Staggered staircase | underground level -1 |
| Storage area | underground level -2 |
| Entry from Schnirchgasse; parking spaces | 5 (+ 1 service lift for entry from the basement floors to the changeover zone on the ground floor) |
| Lifts | 15 |
| Parking spaces | 650 |
| Underground garage TownTown parking spaces | approx. 40 |
| Bicycle parking spaces | City – Airport motorway, direct connection to the metro U3 |
| Location | Use as office space with additional bistro and canteen |
| Main use | DGNB / OGNI |
Multi-person offices
Room division on one standard floor
The Benefits of Professional Networking
Professional networking is an essential part of any career development plan. It can help you find new job opportunities, build your reputation in your industry, and even improve your chances of getting a promotion or raise. Here are some of the benefits of professional networking:
1. **Finding New Job Opportunities**: By connecting with other professionals in your field, you can learn about new job openings that may not be advertised publicly. You can also use your network to get referrals from people who know you and trust your abilities.
2. **Building Your Reputation**: When you connect with other professionals, they will often share their thoughts on your work and provide feedback. This can help you improve your skills and build your reputation in your industry.
3. **Getting a Promotion or Raise**: If you have a strong network of colleagues and mentors, they can help you get noticed by higher-ups in your organization. They can also provide you with valuable advice on how to advance your career.
4. **Improving Your Skills**: When you connect with other professionals, you can learn new techniques and strategies for doing your job better. You can also get feedback on your work from people who have more experience than you.
5. **Staying Up-to-Date**: Professional networking can help you stay up-to-date on the latest trends and developments in your industry. You can also learn about new technologies and tools that can help you do your job more efficiently.
6. **Building Relationships**: Professional networking can help you build relationships with other professionals in your field. These relationships can be valuable in the long run, as they can help you get support when you need it and provide you with a network of contacts who can help you in times of crisis.
7. **Learning from Others**: Professional networking can help you learn from others who have been in your shoes before. You can ask them questions about their experiences and get advice on how to handle difficult situations.
8. **Networking Events**: Attend networking events such as conferences, seminars, and workshops. These events provide an opportunity to meet new people and learn about different industries.
9. **LinkedIn**: Use LinkedIn to connect with other professionals in your field. You can join groups related to your industry and participate in discussions.
10. **Social Media**: Use social media platforms like Twitter and Facebook to connect with other professionals. You can follow industry leaders and participate in conversations related to your field.
11. **Volunteer**: Volunteer for organizations related to your industry. This can help you meet new people and gain valuable experience.
12. **Join Professional Associations**: Join professional associations related to your industry. These organizations often host events and provide resources for members.
13. **Ask for Recommendations**: Ask your colleagues and mentors to write recommendations for you. This can help you stand out when applying for jobs.
14. **Follow Up**: After meeting someone at a networking event, follow up with them via email or LinkedIn. This can help you keep the conversation going and show that you value their time.
15. **Be Authentic**: Be yourself when networking. Don’t try to be someone you’re not just to impress others. This will only lead to disappointment in the long run.
By following these tips, you can make the most of your professional networking efforts and achieve success in your career.
Cosy, comfortable and modern offices
The ORBI Tower provides the tenants and their employees with maximum cosiness, flexibility and comfort.
The office space that can be organised individually enables customised planning of the room sizes, the working rooms and the workplaces ranging from a single-person office to multi-person offices right up to large offices. Apart from the traditional office concept, the geometry and technical facilities of the building also allow Smart Offices on each floor.
Optimal Lighting
Optimum daylight illumination provides the maximum possible comfort for working in the ORBI Tower:
The ideal office depth and the optimised transparent facade elements offer the best lighting requirements with respect to daylight. Moreover, the offices in ORBI Tower have a controllable, external sunshade with Venetian blinds for light control. This ensures maximum availability of daylight. The energy requirement for lighting is reduced in a sustainable manner.
The perfect room climate
Uniform temperature is maintained in the ORBI Tower by heating and cooling using concrete core activation. Mechanical ventilation ensures constant supply of fresh air that is matched with the occupational density of the tower. It has been verified by simulation that the air speed varies in a range that is barely noticeable for human beings. Based on these wide-ranging analyses, there shall be no cold draughts in the ORBI Tower. This tower with very low energy consumption promises a high level of comfort at low operational costs.
CO₂-Emissions
in kg CO₂/sq. m./Year
57,7 ↓ 20,0
Standard new office construction
ORBI Tower
Primary energy consumption
in kWh/sq. m./Year
260
Office inventory
190
Standard new office construction
60
ORBI Tower
Effective energy efficiency
An optimised facade construction that has been fine-tuned by means of thermal simulations, facilitates enhanced thermal insulation and high level of air-tightness by the correct proportion of transparent facade elements. As a result, heat penetration in summer is minimised and the cooling power required is reduced.
Concrete core activation is used for heating and cooling. A comfortable room climate can be ensured by activating the storage masses of the concrete. Conventional air-conditioning systems can be dispensed completely. This minimises the risk of catching colds or getting infected.
The energy concept selected for the ORBITower is based on remote heating and remote cooling as well as increased daylight utilisation. Compared to a standard new construction of an office building, the primary energy consumption in the ORBITower is reduced by about 60 per cent.
Light control with Venetian Blinds
Venetian Blinds
Glass
Concrete Core Activation (CCC)
Thermo-active ceiling
The Vienna State Opera House, designed by Austrian architect Peter Pelikan, is a stunning example of modern architecture blending with historic elements. The building's unique design features a glass roof that resembles a crown, symbolizing the city's imperial past and its current status as a cultural hub. The interior is equally impressive, with opulent decor and a grand auditorium that can accommodate up to 1,700 spectators. The opera house hosts a variety of performances throughout the year, including operas, ballets, and concerts, making it a must-visit destination for music and theater lovers.
TownTown: Centers for relaxation and shopping within easy reach
Everything within a stone’s throw
All important local suppliers are within easy reach in order to save those engaged in TownTown from unnecessary commuting routes: Bakery, pharmacy, tobacco wares, post office, banks etc. Moreover, TownTown has a comprehensive range of catering facilities with respect to Cafés and Restaurants. A rich variety of culinary delights is also available around TownTown and you can reach these on foot: classical Viennese restaurants, pizzaparLOURS or Sushi saloons.
You can reach other shopping facilities in a few minutes by metro from the Erdberg station:
- One metro station to the Gasometer City with shopping center and cinema
- One metro station to Schlachthausgasse street with supermarkets
- Three metro stations to the Rochusgasse street, the nearest typical Viennese outdoor street market surrounded by restaurants, bars and cafés.
- Four metro stations to Wien Mitte (The Mall, City Airport Train, etc.)
- Six metro stations to Stephansplatz – the city center of Vienna.
- In seven minutes by metro you can go from TownTown to Stephansplatz and enjoy a business meal in one of the finest restaurants in the city.
- In twelve minutes by car, you can reach the Vienna airport and check in for your business trip.
- In merely five minutes by bicycle, you can jog or take in the fresh air in the midst of the Grünprater (Public Park).
The present tenants in TownTown
APK-Pensionskasse AG, DenizBank AG, Soravia Group, Generali Versicherung AG, ILF Beratende Ingenieure ZT GmbH, STC – Swiss Town Consult Development GmbH, Krankenanstaltenverbund, several municipal authority departments, Wiener Stadtwerke (Viennese Municipal Utilities), WienEnergie, WienIT and many more.
In seven minutes by metro you can go from TownTown to Stephansplatz and can enjoy a business meal in one of the finest restaurants in the city.
ORBI Tower with its catering and consumer markets:
W&L Gastronomie (Caterers), yellow deli, Ströck, Billa, Tobacco ware, pharmacy and bank ATM
In merely five minutes by bicycle, you can jog or take in the fresh air in the midst of the Grünprater (Public Park).
In twelve minutes by car, you can reach the Vienna airport and check in for your business trip.
The Project Partners
The project partners in the trend-setting private-public partnership project are Wiener Stadtwerke (Viennese Municipal Utilities), STC – Swiss Town Consult AG and Donau-Finanz. These project partners have the relevant stability and expertise for the completion of TownTown until 2016.
They have already developed premises for offices, shops and leisure facilities and have implemented a gross floor space of 108,000 sq. m. in TownTown until today. Of these, 100 per cent has been leased out and sold.
Wiener Stadtwerke (Viennese Municipal Utilities) owns 44 per cent, STC – Swiss Town Consult AG owns 30 per cent and Donau-Finanz owns 26 per cent in the TownTown development company.
The most important thing is to be able to work with the right people, and to have the right tools.
Wiener Stadtwerke (Viennese Municipal Utilities)
The Wiener Stadtwerke group of companies is a well-funded company in Vienna that is investing sustainably in the expansion of infrastructure in Vienna. In this way, the group ensures the high quality of living in Vienna and thus contributes to the fact that also in future, Vienna remains the most liveable city in the world. Implementing TownTown, the company has promoted the outstanding and successful PPP project in building construction decisively.
Donau-Finanz
Donau-Finanz GmbH & Co KG maintains subsidiary companies and shares in real estate development, consultation and administration, in the tourism consulting segment, in hotel development and hotel administration, environment consultancy and in waste management.
STC – Swiss Town Consult AG
STC – Swiss Town Consult AG is a Swiss company with its head office in Zurich that develops projects in international real estate as well as in the segment of renewable energy. The development management of the projects as well as the general design and technical project management are covered in-house based on several years of experience.
The new office building will be located in the heart of Luxembourg City, next to the Kirchberg Tower and the Tour des Finances. The project is part of the ongoing development of the Kirchberg area, which has seen significant investment in recent years. The new building will provide state-of-the-art office space for businesses and will help to further establish the Kirchberg as a leading business district in Europe.
The construction of the motorway was a milestone and a signal for the reconstruction of the old industrial area in order to ensure better, more meaningful and a trend-setting use of “New Erdberg.”
The further development is an unprecedented success story.
The first thoughts for TownTown came up in the end of the 1990’s as the metro U3 was being built from Volkstheater to Erdberg. Finally, TownTown was situated above the metro depot in Erdberg in 2003. The depot is 243 metres long, 27 metres wide and provides space for twelve metro trains.
After an urban development competition in the 1990’s, the construction work of TownTown commenced in 2005. Of 19 buildings planned, 18 have been implemented in TownTown so far.
Phases of construction
The first phase of construction began in autumn 2005. Ten buildings – with a total leasing space of 26,000 sq. m. – were completed until the end of 2006. At that time around 90 per cent of the space had already been leased out.
In 2008, another 15,000 sq. m. were handed over to the users in the second phase of construction. Along with the second phase of construction, the heart of TownTown was also completed: the Piazza with green areas and outdoor restaurants having diverse gastronomic delights.
The third phase of construction with a total floor space of 52,000 sq. m. was completed at the end of 2011.
The office is buzzing with activity, with employees engaged in various tasks. Some are working at their desks, while others are collaborating in small groups. The open-plan layout encourages interaction and teamwork, fostering a dynamic work environment. The large windows offer a stunning view of the city skyline, adding to the professional atmosphere.
Imprint: Publisher and Proprietor: IWS TownTown AG, Thomas-Klestil-Platz 14, 1030 Vienna, Tel.: +43 1 53123–74267, www.towntown.at
Editorial and Text: Foggensteiner Public Relations GmbH | Design and Art Direction: INK e.U.
Photos: IWS TownTown AG/Richard Tanzer, Zechner & Zechner, „zoom vp“ (Cover, page 11, page 15, page 18, page 21, pages 24–25, page 26), „expressiv“ (pages 6–7, page 9, page 23), Peter Rigaud (page 18), Austrian Views (pages 16–17, page 19), Shutterstock (pages 12–13)
Print: Druckerei Boßmüller, Josef-Sandhofer-Straße 3, 2000 Stockerau
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HORSES JUST AFTER THE REVOLUTION
BY WILLIAM GOULD VINAL
Transcribed by William Slattery from South Shore Life And Associated Papers, March 20, 1942 as a sequel to “Horse and Democrat Days.”
[Transcriber’s note: The Peter Sears’ house was at 211 Lincoln Street in Norwell; Dr. Vinal was a descendant of Peter Sears, who was an early soldier in the American Revolution--responding just after the battles of Lexington and Concord.]
Commencing in 1797 and for twenty-three years, Capt. Peter Sears of Scituate made entries in his account books about his “horse.” [Sears’ account books are in the Society archives]. The items have been tabulated, and from this data certain interesting observations are made. They not only offer a side light on the horse language of the day but give an interesting perspective of certain social customs that prevailed up to and through “Horse and Democrat” days. The record is put in print here for the first time.
| Date | Name of Debtor to Peter Sears | Entry | Charge |
|------------|------------------------------|----------------------------------------------------------------------|----------|
| Jan. 1797 | John Wright | To my horse to plow corn | 2 shillings |
| April 1811 | Elijah Bowker | To 1 days plowing oxen & horse | 14 shillings |
| 1815 | John Bowker | To furrer 1 day | 75 cents |
| | | To plow among corn | 50 cents |
| | | To my horse a ½ day to plow corn | 33 cents |
| | | To myself & horse a ½ day to plow corn | 67 cents |
| | | To myself & horse & plow 1 day $1.78 | |
The following records are taken from the Town Report of Norwell [about 100 years later]. In this table I have placed figures to show interesting comparisons.
| Date | Person | Entry | Charge |
|----------|----------------|----------------------------------------------------------------------|----------|
| 1910 | Albion Damon | Working on road 17 days @ $2.00 | $34.00 |
| 1910 | Wallace Damon | & horse 2 days @ $3.36 | $6.72 |
| 1910 | E.G. Bates | & team @ $5.00 | $5.00 |
| 1922 | Lyman Lincoln | & horse @ $6.00 a day | |
| | Carlton O. Litchfield | & team at $8.00 a day | |
In 1815, a horse cost approximately 66 cents a day; in 1910, $1.36; and by 1922, $2.50. In the same period of time, a man received in 1815 the same as a horse for a day’s work (i.e. $1.34); in 1910 a man could earn 64 cents more
continued on page 3
The Norwell Historical Society makes respectful recognition of the passing of Thomas Hyslop on February 9, 2011. He was 84.
Tom served in World War II, and worked at the Bethlehem Steel Company at the Quincy Shipyard for many years. He retired in 1987.
With his wonderful wife Alice, Tom served as co-Vice President of the Norwell Historical Society (4 years) and co-president (4 years). Tom was also president of the Society for one year. During their tenure, they catalogued the archives and computerized and implemented many special projects. Even after he and Alice relocated to Plymouth, they continued to return to Norwell for their weekly volunteer stints at the Library. Tom will always be remembered for helping with research, identifying resources, and proposing projects.
Bob Norris recently said of Tom: “He probably forgot more about Norwell and her history than the rest of us will ever learn.”
Tom leaves his wife Alice, his two daughters Bonnie and Sarah and their husbands, and five grandchildren.
On Wednesday, April 13th at 7:00, Paul McCarthy, an amateur river detective and lover of history, will be giving a lecture titled: The Search to Identify a 19th Century Wooden Sailing Ship Wrecked in the North River in Marshfield. This lecture is an illustrated presentation of one man’s search to find the identity of an archaic maritime wreck, which has appeared and disappeared periodically over the past 65 years. This lecture will be open to all Historical Society members and to the general public. The lecture will take place on the 3rd floor of the Sparrell School at the Society Archives.
Mr. McCarthy will also be speaking to the Society Board of Directors at their regular monthly meeting on Thursday, March 14th at 1:30. He has a few theories on the poles in the North River bank near Stetson Meadows (see photo at left). Please join the Board to hear his theories on what this river anomaly could be. Monthly meetings take place at the Society Library at the Norwell Middle School. Please come to listen and share stories, photos and theories!
...the answer to the last issue’s Trivia Corner Question? The question was: What is a blockhouse and where was the most notable one in Norwell located?
The answer is: According to Gert Daneau’s ABCs of Norwell, a block house is a type of garrison house used during the early settlement of Scituate. Garrison houses were a centrally-located safe house that was well-fortified and as a gathering place to protect settlers from Indian raids. One of the best known garrison houses in Norwell (then Scituate) was a “block house” of logs just up the river from Union Bridge at the location of what is today Block House Lane. A force of 12 men was ready to protect any settlers who fled to the garrison for safety.
Horses After the Revolution, cont’d.
per day than a horse; and by 1922 a man obtained a dollar more per day. In 1922 it cost $6.00 a day to hire a horse and man, nearly twice as much as in 1910 and almost five times as much as in 1815. It would be fantastic to ask if they did five times the work. It is interesting to note that it made a difference whether one hired a man and horse, or a man, horse, and plow. Today, it is almost impossible to hire a horse. Men can still be employed at a nominal fee, although there are those who have considerable doubt as to whether they are men, whether they will work, and whether the fee is nominal. That, of course, as always, has been dependent on the traits of the individual.
TO THE MILL (From Capt. Peter Sears’ Account Book)
| Date | Person | Entry | Charge |
|------------|------------|--------------------------------------------|----------|
| Feb. 1797 | Jonathan Otis | To my horse to Capt. Turner’s Mill | 1 shilling |
| 1797 | John Wright | To my horse to Gulf Mill | 2 shillings |
| Jan. 1802 | Elijah Bowker | To my horse to Mill | 2 shillings |
| March 1805 | Bartlett Barrell | To my horse to Dr. Charles Mill | 2 shillings |
| March 2, 1810 | Laban Rose | To my horse to Clapps Mill | 2 shillings |
| 1814 | Laban Rose | To my horse to Mill | 25 cents |
“To the Mill” probably meant to the grist mill to take Indian Corn to be ground. The corn meal was often mixed with rye for making “rye-an-injun” bread. Two shillings was the usual horse fee whether the journey be to Doctor Charles Stockbridge’s mill, which formed the industrial center of the little village of Greenbush, or Amasa Bailey’s mill at the Gulph, the natural body of water which separated Cohasset and Scituate. John Wright and Laban Rose were privates in the Revolutionary Army and, no doubt, had many a reminiscence with Capt. Turner and Capt. Sears or Capt. John Clapp, who had a grist mill on the same brook as the celebrated Doctor Charles.
“The Gravestone Girls” will be coming to the NPL at 7:00 on Tuesday, May 3rd to discuss cemetery art, history and symbolism in the graveyards of Norwell! Come join us!
NORTH RIVER WRECK PRESENTATION
APRIL 13TH AT 7:00
NORWELL HISTORICAL SOCIETY PUBLICATIONS AND MEMORABILIA
A NARRATIVE OF SOUTH SCITUATE-NORWELL $20
by Samuel H. Olson
This book chronicles the life and times of our town from 1845-1963 through a collection of articles previously published in The Norwell Mariner.
SHIPBUILDING ON THE NORTH RIVER $45
by L. Vernon Briggs
The definitive book on ships built on the North River and the shipyards that lined the shores. Written in 1889, and reprinted in 1988.
HISTORIC HOMESTEADS OF NORWELL $15
Learn more about our stately houses and the people who lived in them. This book, well-illustrated with drawings, discusses architectural features and includes genealogical information.
HENDERSON MAP $3
Interesting hand-drawn map suitable for framing. Drawn by Anne Henderson and first issued in 1967, it is a favorite depiction of the location of historic homes.
1879 MAP $3
This map is reproduced from a hand-drawn map of South Scituate in 1879. It shows the locations of road, homes and their owners. Suitable for framing.
NORWELL TILES $10
These 6" X 6" white tiles depict various scenes: Kent House, Cushing Center, etc. Limited number.
THE ABCs OF NORWELL $10
by Gertrude Daneau
This coloring book is perfect for children (of all ages!). This illustrated book can be used as a text for teaching budding historians, or as a quick guide to Norwell's many famous personalities and historical features.
HISTORY OF SOUTH SCITUATE-NORWELL $25
by Joseph Foster Merritt
A recently re-published history of the town to 1938. A unique narrative considered to be an invaluable account of Norwell prior to WWII.
MORE THAN JUST A COOKBOOK $5
This book is full of time-tested favorite recipes submitted by locals. Beyond the gastronomic delights, we have included sketches, interesting narratives and accounts of historic events.
THE WAY WE WERE $20
by Jeanne Garside
This book is a series of articles written for Norwell's Centennial Celebration in 1988. Illustrated with old photographs, it tells what times were like in 1888.
JACOBS MILLS PAINTING REPRODUCTION $25
This 8" X 10" reproduction of the 1830s Jacobs Saw and Grist Mills painting is canvas-mounted on board and ready for framing. The original hangs in the Jacobs Farmhouse.
All the above items are available at the NHS Library in the Middle School on Wed. & Thur. (1:30 p.m. - 3:30 p.m., see summer hours on front), or you may call Gert Daneau at 781-659-2226, or you may request a publication using this form and enclosing a check (made payable to NHS). Mail to: NHS, P.O. Box 693, Norwell, MA 02061. | <urn:uuid:08f2d474-088f-4d57-bf05-5f42d4005f68> | CC-MAIN-2019-22 | https://img1.wsimg.com/blobby/go/3564ec8d-06a8-4768-8bd3-7a892ae6e046/downloads/1d20auq75_108615.pdf?ver=1557353758389 | 2019-05-26T11:07:33Z | crawl-data/CC-MAIN-2019-22/segments/1558232259126.83/warc/CC-MAIN-20190526105248-20190526131248-00391.warc.gz | 510,034,952 | 2,515 | eng_Latn | eng_Latn | 0.99767 | eng_Latn | 0.99806 | [
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Gemini Pro Defeated by GPT-4V: Evidence from Education
Gyeonggeon Lee
email@example.com
Department of Natural Sciences and Science Education, National Institute of Education, Singapore, Singapore
Lehong Shi
firstname.lastname@example.org
National GENIUS Center, Department of Workforce Education and Instructional Technology, University of Georgia, Athens, GA, USA
Ehsan Latif
email@example.com
AI4STEM Education Center, National GENIUS Center, University of Georgia, Athens, GA, USA
Xiaoming Zhai*
firstname.lastname@example.org
AI4STEM Education Center, National GENIUS Center, Department of Mathematics, Science, and Social Studies Education, University of Georgia, Athens, GA, USA
Abstract
This study compared the classification performance of Gemini Pro and GPT-4V in educational settings. Employing visual question answering (VQA) techniques, the study examined both models’ abilities to read text-based rubrics and then automatically score student-drawn models in science education. We employed both quantitative and qualitative analyses using a dataset derived from student-drawn scientific models and employing NERIF (Notation-Enhanced Rubrics for Image Feedback) prompting methods. The findings reveal that GPT-4V significantly outperforms Gemini Pro in terms of scoring accuracy and Quadratic Weighted Kappa. The qualitative analysis reveals that the differences may be due to the models’ ability to process fine-grained texts in images and overall image classification performance. Even adapting the NERIF approach by further de-sizing the input images, Gemini Pro seems not able to perform as well as GPT-4V. The findings suggest GPT-4V’s superior capability in handling complex multimodal educational tasks. The study concludes that while both models represent advancements in AI, GPT-4V’s higher performance makes it a more suitable tool for educational applications involving multimodal data interpretation.
Keywords: Gemini, GPT-4V, Vision, Education, and Automatic Scoring
1. Introduction
The keynote and education methods have been in step with the concurrent technologies (Organisation for Economic Co-operation and Development, 2019). Nowadays, artificial intelligence (AI) technologies based on deep neural networks are getting closer to realizing the long-pursued AI in education (AIEd) initiative (Luckin et al., 2016; Hwang et al., 2020). Especially in the 2020s, the development and release of large language models (LLMs), such as BERT (Bidirectional Encoder Representations from Transformers) and GPT (Generative Pre-trained Transformer) are facilitating the integration of AI technologies into educational research and practice due to their high capabilities of natural language processing, understanding and reasoning, and generation for various tasks such as teaching...
material preparation, data augmentation, item generation, and automatic scoring (Lo, 2023; Fang et al., 2023; Lee et al., 2023d). Particularly, user-friendly LLMs such as ChatGPT have hugely impacted the global trend of AI usage in research and everyday lives by enabling conversational interactions between humans and machines based on natural languages.
What even sputters the innovations in AIEd research is the realization of visual question answering (VQA), which enables machines to answer the user’s natural language-based query on a given image (Antol et al., 2015), which can assist in learning and teaching. VQA has the potential in educational settings when using visual data to interpret students’ ideas on the learning content or classroom dynamics (Lee et al., 2023b). For example, teachers may feed a computer with a student-drawn model to explain refraction, and the computer can recognize the lights and angles and provide feedback for improvements (Wang et al., In press). VQA, in principle, suggests the possibility of multimodal interaction between humans and computers, enabling multimodal learning and assessment with AI (Lee et al., 2023b).
GPT-4V, released on September 2023 by Open AI (2023d), has provided the global users with the affordance of VLM, as an extended module of ChatGPT and GPT-4. Since their release, ChatGPT and GPT-4 have notably influenced educational research and applications due to the high capability of natural language processing, understanding, and generation for various educational tasks and applications. Much research (Dempere et al., 2023; Lo, 2023; Ausat et al., 2023) suggested the effectiveness of ChatGPT in various educational tasks, such as aiding automated assessment, suggesting educational materials, and facilitating personalized learning. For example, Zhai (2022) conducted a piloting study of user experiences, focusing on the effectiveness of using ChatGPT as a tool to support writing a research paper, suggesting its potential and benefit in processing natural language-based tasks. However, the recent release of GPT-4V expanded its educational potential to facilitate learning and assessments featuring multimodalities, such as text and image (Lee and Zhai, 2023; Lee et al., 2023b). For example, Lee and Zhai (2023) tested GPT-4V’s performance of automatic scoring student-drawn models by processing problem image and textual context with rubric and reported its multinomial classification accuracy as mean = .51, SD = .037. While this level of accuracy is remarkable, effort is needed to improve it before this method can be used in classrooms.
The release of Gemini Pro, an extended module of Bard, by Google DeepMind in December 2023 provided an emergent opportunity to fill this gap. Google DeepMind claimed that Gemini "is built from the ground up for multimodality - reasoning seamlessly across text, images, video, audio, and code" and is the first model to outperform human experts on MMLU (massive multitask language understanding) (Google, 2023). Google Bard and Gemini Pro were released only a few months later than ChatGPT and GPT-4V, which shows the technical competition for state-of-the-art AI services. Google Bard and Gemini Pro have also been tested and used for reasoning, answering knowledge-based questions, solving math problems, translating between languages, generating code, and acting as instruction-following agents through benchmarks Google (2023). Akter et al. (2023a) performed an extensive study to test the capabilities and functionalities of Gemini and compared it against GPT-3.5 turbo and found that Gemini underperforms GPT-3.5 turbo in reasoning, generating code, and solving math problems. Waisberg et al. (2023) provided a side-by-side comparison of Bard (underlying Gemini-pro) with ChatGPT for its application in ophthalmology. McIntosh et al. (2023) provided a comprehensive survey on their transformative impacts of Mixture
of Experts (MoE), and multimodal learning and suggested the speculated advancements towards Artificial General Intelligence Goertzel (2014); Latif et al. (2023a). Furthermore, Microsoft researchers Liu and Chen (2023) performed a comprehensive evaluation of the performances of GPT-4V and Gemini Pro using VQA online dataset Chen et al. (2023) and reported that the average accuracy of GPT-4V and Gemini is 0.53 and 0.42, respectively. If Gemini Pro’s performance is also promising for educational tasks, it could be used for a variety of purposes while competing with GPT-4V. Also, since there have been scarce studies on the use of Gemini Pro for education, exploring prompt engineering methods to elicit its full potential will also contribute to the AIEd research field.
However, as known to the authors, no studies have examined the eligibility of Gemini Pro in educational settings, not to mention the comparison of its performance with GPT-4V in dealing with VQA tasks. In this situation, with competing technologies struggling for SOTA, we suggest that comparing their applicability and effectiveness to educational studies is of timely need and could give a direction to the ongoing AIEd initiative regarding which VLM model could best serve educational tasks for researchers and practitioners. In this study, we answered to the following research questions. 1. How are the scoring performance of GPT-4V and Gemini Pro? 2. What are the characteristics of GPT-4V and Gemini Pro? 3. How Gemini Pro’s performance on an educational task can be improved?
2. Gemini Pro vs GPT-4V
The development of Large Multimodal Models (LMMs) aims to expand upon the capabilities of Large Language Models (LLMs) by integrating multi-sensory skills to achieve even stronger general intelligence, thus supporting more natural human-computer interactions Yang et al. (2023). LMMs have one shared embedding space to integrate and process multiple data modalities, such as text, image, audio, video, 3D, etc. GPT-4V and Gemini Pro, the latest LMMs, can take images and/or text as inputs to perform various language, vision, and vision-language tasks, such as language translation and coding Devlin et al. (2018), image recognition Yu et al. (2023), object localization Yang et al. (2023), visual question answering Li et al. (2023), and visual dialogue Zhu et al. (2023). Furthermore, in the context of education, LLMs can be used for automatic scoring (Latif and Zhai, 2023) by applying chain-of-thought (Lee et al., 2023a). A close examination of the two state-of-the-art models in terms of their architecture, training approach, training datasets, performance, capabilities, safety, and applications can illuminate the usability and affordances of the two models, especially in education.
2.1. Architecture
GPT-4V, a product of OpenAI, is built on a transformer-based model Vaswani et al. (2017) designed to understand context and meaning through relationships in sequential data. This architecture is known for its ability to handle complex language and image-processing tasks Open AI (2023a). In contrast, Gemini Pro, developed by Google, is a large multimodal model that goes beyond processing text and images to include audio and video inputs. This broader range of input types suggests a more versatile and comprehensive approach to multimodal learning Google (2023). The architectural comparison can be seen in Fig. 1, as OpenAI
has not released the exact architecture, we have anticipated its architecture based on the available information Open AI (2023c).
2.2. Training Approach
The training regime of GPT-4V includes advanced techniques such as Reinforcement Learning from Human Feedback (RLHF) Christiano et al. (2017). This approach refines the model’s output based on human input, ensuring more accurate and contextually relevant responses. Additionally, GPT-4V employs a loss prediction method grounded in Power Law Kaplan et al. (2020), utilizing scaling laws to optimize training efficiency Henighan et al. (2020). On the other hand, Gemini Pro is trained using Google’s tensor processing unit TPUv4 Jouppi et al. (2023), which offers high computational power. Its extended 32K context length allows for the processing of much larger chunks of data at once, potentially leading to deeper insights and understanding in complex tasks Google (2023). TPUs are trained to support 32k context length, employing efficient attention mechanisms (e.g. multi-query attention Shazeer (2019)). TPUv4 accelerators are deployed in “SuperPods” of 4096 chips, each connected to a dedicated optical switch, which can dynamically reconfigure 4x4x4 chip cubes into arbitrary 3D torus topologies in around 10 seconds Jouppi et al. (2023).
2.3. Training Datasets
GPT-4V is a visual extension Open AI (2023b) of GPT-4 and has been trained with bulk on online image data along with various sources, including books, journals, code, and other text formats, which were included in the GPT-4 training dataset Open AI (2023a). Thanks to intensive training, the AI model can now process and produce language and images that nearly match human-generated stuff. Because it is a generative model, GPT-4V can create new content in response to image and textual inputs. It can quickly and effectively analyze and understand the image using the inbuilt image decoding modules and massive amounts of textual data because of its dual-transformer design. It is particularly good at translating languages given in an image, for example, making cross-language communication easily written in an image. It may also produce various artistic content types and offer educational answers to user inquiries.
On the other hand, Gemini models are trained on a dataset that is both multimodal and multilingual. Their pertaining dataset uses data from web documents, books, and code and includes image, audio, and video data. They use the SentencePiece tokenizer Kudo and Richardson (2018) and find that training the tokenizer on a large sample of the entire training corpus improves the inferred vocabulary and subsequently improves model performance.
2.4. Performance
Regarding performance, GPT-4V has shown significant improvements over previous models in visual input tasks. It has been reported to be more adept at generating factual responses and less likely to produce disallowed content, making it a more reliable choice in sensitive applications Yang et al. (2023); Zhou et al. (2023); Open AI (2023b). In education, researchers found that GPT-4V is capable of understanding scoring rubrics and scoring students’ drawn models to science phenomena with a certain degree of accuracy Lee and Zhai (2023).
With its sophisticated multimodal reasoning capabilities, Gemini understands and synthesizes insights from various inputs, including complex mathematical and scientific data \textit{Google} (2023). Google claimed that the newly released Gemini models notably achieved a milestone by reaching human-expert performance on the widely researched massive multitask language understanding exam benchmark. Furthermore, it enhanced the SOTA across all of the 20 multimodal benchmarks we investigated \textit{Google} (2023).
However, the outcomes from Gemini Pro are not consistent. For example, Google’s report compared the performance of Gemini with GPT-4V for their ability to understand images. They evaluated the models on four capabilities: high-level object recognition using captioning, fine-grained transcription using tasks, chart understanding, and multimodal reasoning using tasks \textit{Achter et al.} (2023a). The model is instructed to provide short answers aligned with the specific benchmark for zero-shot QA evaluation. All numbers are obtained using greedy sampling and without external optical character recognition tools. Results reported in Google’s technical report have shown that GPT-4V outperformed Gemini Pro for all benchmarks with, on average, 7% higher accuracy. We also have presented the results in Table 1 by leveraging Google’s permission to replicate and use the plots for research purposes.
However, it is widely acknowledged that the capabilities of AI models, such as Gemini Pro and GPT-4V, in analyzing multimodal inputs and reasoning depend on context-specific tasks, which can provide a comprehensive qualitative explanation of their performance. Hence, in this study, we aim to analyze the performance of Gemini Pro and GPT-4V for educational tasks by providing assessment items, examples, rationales, and student responses in a condensed image and prompt models to categorize student responses based on the rationale provided in the examples.
\subsection*{2.5. Capabilities}
GPT-4V’s capabilities extend to processing both text and image inputs, making it versatile in applications like content creation, language translation, and educational tools. It has been integrated into various platforms, demonstrating its adaptability in different use cases \textit{Open AI} (2023c); \textit{Lyu et al.} (2023). Gemini Pro, with its ability to handle a wider range of input types, is designed for both heavy-duty cloud applications and on-device solutions. This flexibility indicates a focus on scalability and accessibility in various environments \textit{Google} (2023).
\subsection*{2.6. Safety}
Safety and alignment are key concerns in AI development, and both OpenAI and Google’s Gemini team highlight the concerns on their website. GPT-4V has shown a significant reduction in its likelihood to respond to disallowed content requests and an increase in producing factual responses. These improvements are crucial for maintaining ethical standards in AI interactions \textit{Open AI} (2023b) and reducing potential AI biases (\textit{Latif et al.}, 2023b). Gemini Pro has undergone extensive bias and toxicity analysis, with Google collaborating with external experts to identify and mitigate potential risks. Such efforts indicate the increasing importance placed on the ethical development of AI \textit{Google} (2023).
2.7. Applications in Education
Since its release, GPT-4V has been broadly integrated with existing technologies, ranging from integrating with Microsoft Bing (Yang et al., 2023) for enhanced search capabilities to collaborating with Duolingo for language learning advancements (Gimpel et al., 2023). These partnerships demonstrate GPT-4V’s utility in improving user experience and knowledge management across domains Wu et al. (2023).
(Senkaiahliyan et al., 2023) demonstrated the capabilities of GPT-4V for clinical education through medical image interpretation and found that GPT-4V can identify and explain medical images but cannot provide safe clinical decisions and diagnostics. Similarly, Xu et al. (2023) evaluated GPT4-V’s capabilities for ophthalmological studies and reported 63% accuracy of GPT4-V in diagnosing ocular images. For automatic scoring by providing problem image and textual context with rubric, GPT-4V was able to achieve 51% accuracy for science based assessments (Lee and Zhai, 2023). Additionally, a comprehensive survey on multi-modality of AI for Education (Lee et al., 2023b) focused on GPT-4V’s capabilities to revolutionize education technology and challenges of stepping forward to artificial general intelligence.
Likewise, Gemini Pro, being integrated into products like Google Bard and Pixel, enhances reasoning, planning, and writing capabilities. Its availability through the Gemini API\(^1\) makes it a valuable resource for developers and enterprise customers, showcasing its potential applicability in education technology Google (2023). Furthermore, Akter et al. (2023a) reported Gemini-Pro’s capabilities for solving math problems with a high accuracy of 69.67% for the GSM8K dataset (Cobbe et al., 2021), but we did not find any such study as of December 23rd, 2023 on science educational assessment which again emphasize the significance of our study.
Overall, both GPT-4V and Gemini Pro represent significant advancements in the field of AI and language models. While they share some commonalities in terms of their multimodal capabilities, their differences in architecture, training methodologies, performance, safety measures, and applications illustrate AI technology’s diverse and evolving landscape. A comprehensive comparison details are also presented in Table 2. These models push the boundaries of what AI can achieve and raise important considerations for their ethical and practical implementation in various sectors. However, GPT4-V has shown higher image understanding performance than Gemini-pro, as evidenced by Table. 1.
3. Methods
3.1. Materials and Dataset
This study reanalyzed student-created scientific models from a dataset derived from a primary study Zhai et al. (2022). The items, formulated by the NGSA team (Harris et al., 2024), are designed to align with the *NGSS* (NGSS Lead States, 2013) performance expectations. They are part of a three-dimensional assessment strategy, integrating disciplinary core ideas, cross-cutting concepts, and science and engineering practices.
In our experiment involving six items, we selected 100 test cases for each item, using random sampling. The test datasets maintained a balanced distribution across three profi-
\(^1\) https://ai.google.dev/docs
iciency levels: 34 cases for 'Proficient,' 33 for 'Developing,' and 33 for 'Beginning,' with each category constituting one-third of the cases.
3.2. Experimental Design
This study conducted three experiments to answer the corresponding research questions. First, in the quantitative study, we compared the image classification performance of GPT-4V and Gemini Pro for automatic scoring of student-drawn models for science phenomena. We provided the two VLMs with the same prompt and image input for each task during this experiment. The performance metrics are quantitatively reported. Second, in the qualitative study, we heuristically explored the prompt that increases Gemini Pro's image classification performance. Third, we downsized the image input and examined how the performance of Gemini Pro changes.
3.3. Prompt Design
For the prompt design, we adopted the NERIF (Notation-Enhanced Rubric Instruction for Few-shot Learning) method from Lee and Zhai (2023). In the NERIF, a user first writes a prompt with components essential to the task. After that, validation cases are used to confirm whether the prompt achieves the user intended for the task. If not, the Notation-Enhanced Scoring Rubric is introduced/revised in the prompt, which combines human experts' scoring rules, scoring rules aligned with proficiency levels, and instructional notes for better scoring. The validation and revision of the prompt are repeated until the improvement of the machine's performance reaches saturation.
For the first experiment, we employed the prompt used in Lee and Zhai (2023), which used GPT-4V to analyze combined visual and text questions for automatic scoring, with slight revision. The input image and prompt used in Lee and Zhai (2023) consisted of seven components, as shown in Figs. 2-4: (1) Role that designates ChatGPT's role as a science teacher that scores student-drawn model, (2) Task that explains what ChatGPT is requested to do, (3) Problem context that ChatGPT has to retrieve from an image, (4) Notation-Enhanced Scoring Rubrics, (5) Nine human scoring Examples for few-shot learning (3 for 'Proficient,' 3 for 'Developing,' and 3 for 'Beginning' cases), (6) Models drawn by students as test cases, and (7) Temperature/top_p = 0/0.01 as hyper-parameters. In Lee and Zhai (2023), (3) and (5) were given in the first attached image (left of Fig. 2; Fig. 3), (6) in the second attached image (right of Fig. 2), and others in the text (Fig. 4).
The prompt has been slightly changed in this study, since there was an additional constraint as Gemini Pro was limited to processing up to one image as input, different from GPT-4V, which could process up to four drawn models simultaneously (as of Dec 12, 2023). To accommodate both LMMs, we changed the input protocol by merging (3), (5), and (6) into one image (Fig. 2). The structure of image input and text prompt was consistent throughout the Tasks. The individual image given to the two VLMs was 2,935 (width) × 3,515 (height) pixels and about 1MB size large, throughout the tasks.
For the second experiment, we started from asking the VLMs "what do you see in the given image?" with the input image. After that, we asked them to "tell me about how the 'PROBLEM CONTEXT' is given in the attached image, in detail" to check whether they appropriately retrieve information from the image.
For the third experiment, in the situations where VLM(s) fail to proceed with the given Tasks (in the first experiment), we tried various strategies to make these done with the VLM(s), including breaking down the images and text prompt into smaller compartments.
4. Findings
The details of the two models’ scoring outcomes and potential reasons are presented in the following subsections.
4.1. Scoring Performance on Student Drawn Models: Gemini Pro vs. GPT-4V
4.1.1. Scoring Accuracy
We found that the response patterns of GPT-4V and Gemini Pro differed substantially. GPT-4V returned image classification results for all six Tasks. However, Gemini Pro produced image-classifying responses as instructed only for Task 42. For other Tasks, Gemini Pro produced various alternative forms of responses, rather than classification. Therefore, GPT-4V successfully scored students’ drawn models for 600 cases, while Gemini Pro only scored around 100 cases. This indicates Gemini Pro’s incapability of processing a large image aggregated with both text prompts and image information. The scoring performance of the two VLMs is presented in Table 3. Note that GPT-4V’s performance is presented for every Task - in contrast, Gemini Pro’s performance is presented only for Task 42, and all others are presented as ‘NA’ (Non-Available).
Specifically, the mean accuracy of GPT-4V on the image classification Tasks was $M = .48$, $SD = .06$. Also, the mean precision was $M = .50$ ($SD = .09$), recall $M = .46$ ($SD = .05$), and F1 $M = .43$ ($SD = .06$). The category-wise accuracy was highest for ‘Beginning’ cases ($M = .67; SD = .12$), followed by ‘Developing’ ($M = .58; SD = .16$) and ‘Proficient’ cases ($M = .26, SD = .19$).
For Gemini Pro, we only received the scoring accuracy for Task 42. The mean accuracy was $M = .3$ ($SD = NA$). Also, the average precision was $M = .3$ ($SD = NA$), recall $.30$ ($SD = NA$), and F1 $.3$ ($SD = NA$). Note that the accuracy was less than .33, the expected value of random response in a trimomial classification task. The category-wise accuracy was highest for ‘Developing’ cases ($M = .44$), followed by ‘Proficient’ ($M = .26$) and ‘Beginning’ cases ($M = .21$).
To sum up, the number of successful production of the anticipated answer type (600 for GPT-4V versus 100 for Gemini Pro), and the classification accuracy (.48 for GPT-4V and .30 for Gemini Pro, which means GPT-4V shows 60% higher accuracy than Gemini Pro) quantitatively show that GPT-4V’s VQA performance on automatic scoring task is superior than that of Gemini Pro.
4.1.2. Quadratic Weighted Cohen’s Kappa
Although scoring accuracy provides a measure to understand the performance of Gemini Pro on understanding the scoring rubric and automatic scoring of drawn models compared to GPT-4V, this measure does not reflect that machine-human disagreements differ, some disagreement are more severe than others. For example, misscoring a "Proficient"-level student-drawn model as "Beginning" is more severe than as "Developing," and thus should
receive more penalty. To further understand this difference between the two VLMs, we compared the confusion matrices of automatic scoring for Task 42 between Gemini Pro and GPT-4V (Table 4) and calculated the Quadratic Weighted Cohen’s Kappa,
\[
\kappa = \frac{P_o - P_e}{1 - P_e}
\]
where
\[
P_o = 1 - \frac{\sum_{i=1}^{k} \sum_{j=1}^{k} w_{ij} x_{ij}}{N}
\]
and
\[
P_e = 1 - \frac{\sum_{i=1}^{k} \sum_{j=1}^{k} w_{ij} e_{ij}}{N^2}
\]
In these formulas:
- \( k \) is the number of rating categories.
- \( w_{ij} = (i-j)^2 \) is the weight for the disagreement between categories \( i \) and \( j \), representing quadratic weighting.
- \( x_{ij} \) is the observed count of ratings in the cell corresponding to category \( i \) by rater 1 and category \( j \) by rater 2.
- \( e_{ij} \) is the expected count under chance agreement, calculated as \((\text{row total of } i \times \text{column total of } j)/N\).
- \( N \) is the total number of ratings.
As presented in Table 3, the Quadratic Weighted Kappa of GPT-4V on Task 42 was .37. And that for other tasks spanned from .26 to .50, with M = .37 and SD = .09, which can be considered as 'Fair' to 'Moderate' level (Landis and Koch, 1977). In contrast, the Quadratic Weighted Kappa of Gemini Pro on Task 42 was -.14. Note that since Kappa aims to correct chance agreement, value 0 indicates that all agreements are by chance. A negative value suggests that the agreement is worse than guessing. This could be because Gemini misinterpreted the information and made systematically. (see Table 4
To sum up, the scoring accuracy, quadratic weighted Cohen’s Kappa and confusion matrix show that GPT-4V's image processing capability for automatic scoring is superior to Gemini Pro.
### 4.2. Qualitative Characteristics of Scoring by Gemini Pro vs. GPT-4V
To uncover the divergent performance between Gemini Pro and GPT-4V, we qualitatively analyzed the scoring patterns of GPT-4V and Gemini Pro with the NERIF prompting methods. Note that we not only present what the two LLM's returned for the complete prompt and input image, but also the results of heuristic examination of their VQA performance.
4.2.1. Finding 1: Gemini Pro fails to recognize fine-grained texts printed in the image | GPT-4V succeeds
We gave the problem context and example (left of Fig. 2) as one input image and asked the two VLMs, "What do you see in the given image?". The outcomes from GPT-4V and Gemini Pro are presented in Fig. 5. GPT-4V responded, "The image you've uploaded appears to be an educational material that explains the diffusion of red dye water at different temperatures. ..." which is correct information about the given image (left of Fig. 5). It also correctly described the locations and details of the problem context, nine examples, rationale for proficiency, three proficiency levels, etc. In contrast, Gemini Pro responded that "The given image is a poster showing various examples of a 'rad dye illusion' (4:042.03-602). The poster is divided into two sections: "EXAMPLE" and "KEY"." (right of Fig. 5). This falsely describes the information in the given image. The image is not a poster; The image says about "Red dye diffusion (ID#: 042.03-e02)", not "Rad dye illusion (4:042.03-602)". Also, the image is divided into "PROBLEM CONTEXT" and "EXAMPLE," not "EXAMPLE" and "KEY."
This outcome shows that Gemini Pro fails to precisely recognize fine-grained texts in the image and generates false information, while GPT-4V succeeds with the same image.
4.2.2. Finding 2: When failing to recognize the image, Gemini Pro often considers the image as a scientific poster
We gave the same image as the above and asked the two VLMs, "Tell me about how the 'PROBLEM CONTEXT' is given in the attached image, in detail" to see whether they retrieve the information as requested by the user. The scoring outcomes from GPT-4V and Gemini Pro are presented in Fig. 6, which are similar to Fig. 5. GPT-4V correctly retrieved the problem context, an "experiment about red dye diffusion" conducted by "Shawn," in the situation where "the red dye will diffuse differently in each dish based on the water's temperature" (left of Fig. 6). In contrast, Gemini Pro returned, "the PROBLEM CONTEXT is given by the title of the poster, "Rad dye illusion"," which is wrong. Also, it fabricated non-existent information such as "the text ... reads: The Rad dye illusion is a visual phenomenon in which a series of colored dots appear to be moving in a circular direction, ....," and also falsely said that "the images on the poster show ... Rhodamine B, Fluorescein, Malachite green, ... ." It is noteworthy that Gemini Pro recognized the given image as a scientific poster and generated hallucinated information based on it (Figs. 5-6). This implies that its training dataset could have included scientific posters.
4.2.3. Finding 3: Gemini Pro fails to retrieve a random example from few-shot examples | GPT-4V succeeds
We gave GPT-4V and Gemini Pro an image for Task 42, similar to Fig. 2 with three 'Beginning' student-drawn models on the right side. The automatic scoring results of GPT-4V and Gemini Pro are presented in Fig. 7. Notably, GPT-4V strictly followed the instruction that requires it to choose a random one out of the nine examples, and correctly retrieved that "Example 3 is judged "Proficient"." It had further correctly retrieved in the image why example 3 is labeled as "Proficient." After that, it scored the three 'Beginning' examples correctly. In contrast, although Gemini Pro seems to say something about an example, it did
not specify which example it retrieved, and thus there was no evidence it retrieved one. After that, it scored the three 'Beginning' examples as 'Proficient,' 'Developing,' and 'Developing,' which were all mis-scored. Lee and Zhai (2023) experimentally reported that GPT-4V is likely to score student-drawn models when it had been provided with few-shot examples and retrieved one of them, which explains how GPT-4V succeeded in this qualitative case. If this is also the case for Gemini Pro, its failure to retrieve a certain example from the image input could be one of the reasons for its low scoring accuracy.
4.3. Limited Improvement of Gemini Pro’s Performance on the Automatic Scoring Task
Given that Gemini Pro could not process the fine-grained, large-size input image as well as GPT-4V, we broke down the input image to reduce the complexity of the input image prompt and expected to improve Gemini Pro’s scoring performance. We applied this strategy to Task 53, one of the previously unsuccessful Tasks. We reduced the number of few-shot learning examples from nine to three (a set of one example for each of the 'Beginning,' 'Developing,' and 'Proficient' category; Fig. 8). We provided Gemini Pro with the input image without test cases (Left of Fig. 8) and asked "What do you see in the given image?" and “Tell me about how the ‘PROBLEM CONTEXT’ is given in the attached image, in detail." For the former question, it correctly responded, "The image you sent to me is ... to explain the interaction of water molecules when water is heated." (Top of Fig. 9). It successfully explained the location of the problem context, three examples, and 'Rationale for Proficiency.' However, it responded that example 1 is a 'Beginning' and example 3 is 'Proficient,' which are both incorrect. For the latter question, it correctly stated that "the problem context in the attached image is given by series of instructions task ask the reader to construct a model ..." (Bottom of Fig. 9). However, it incorrectly responded that "the image then shows two examples." This is even inconsistent with the very above answer, which correctly identified three examples given in the same input image. When we tried the same questions using an image with nine few-shot examples for comparison, Gemini Pro started malfunctioning and responded that the image is a "poster" again. This result implies that Gemini Pro’s scoring performance was improved with less information in and less pixel size of the input image. However, it still failed to precisely retrieve information from the image. Also, when we tried to get automatic scoring results for one student-drawn image by providing it with Fig. 8, Gemini Pro did not return any scoring result. In summary, reducing the input image size improved Gemini Pro’s outcome for retrieving information from the image, but this change was insufficient for automatic scoring tasks.
5. Discussion
The study aimed to compare Gemini Pro and GPT-4V in educational settings, particularly in scoring student-drawn models using NERIF. Major findings highlighted GPT-4V's superior accuracy in image classification compared to Gemini Pro and its adeptness at processing detailed text in images, evidenced in scoring students’ drawn models. The study also uncovered the nuance of Gemini’s scoring performance, which accounts for the lower performance compared to GPT-4V, including failing to recognize fine-grained texts printed in the image, often considering the image as a scientific poster, and failing to retrieve a random example
from few-shot examples. Even adapting NERIF for Gemini Pro was not improved enough to be comparable to GPT-4V. The findings contribute to the literature in several aspects.
First, the findings contribute significantly to the existing literature by showcasing GPT-4V’s remarkable scoring accuracy, distinguishing it from Gemini Pro, and setting new benchmarks. This performance aligns with trends noted in the literature (Zhai et al., 2020b), which highlighted the evolving precision of AI in the automatic scoring of constructed response assessments. GPT-4V’s ability to accurately score complex student-drawn models aligns with the findings of Lee and Zhai (2023), who underscored the potential of AI in enhancing visual assessments. Furthermore, unlike earlier automatic scoring systems that primarily focused on textual data (Zhai et al., 2020a), GPT-4V integrates advanced image processing, marking a significant leap in the capability of AI tools. This study not only corroborates the growing efficacy of AI in educational settings but also extends it by demonstrating practical applications in multimodal formats of student responses. Such advancements address some of the limitations discussed in earlier research and the challenges in accurately assessing non-textual student work (Zhai et al., 2022; Lee et al., 2023c).
The findings of this study, highlighting the nuanced limitations of Gemini’s scoring performance compared to GPT-4V, contribute notably to uncovering the mechanisms of the newly released Gemini Pro in image analysis. The findings overall seem inconsistent with the major report of Google (2023). Gemini’s challenges in recognizing fine-grained text within images and its tendency to misclassify images as scientific posters resonate with concerns raised in earlier research. For instance, studies by Akter et al. (2023b) pointed out similar difficulties faced by Gemini in discerning detailed textual elements in complex visual contexts. Furthermore, Gemini’s failure to effectively utilize few-shot visual examples reflects the limitations discussed by Fu et al. (2023), highlighting the challenges of interpreting images with a large number of elements because of its concision approach. This study’s examination of these specific shortcomings not only corroborates the observations from previous research but also provides a concrete comparison of how different AI models handle complex educational tasks. Such insights are invaluable for the ongoing development of more sophisticated and context-aware AI tools in education, as suggested by the work of Latif et al. (2023a), who emphasized the need for AI systems to better adapt to the nuanced and varied nature of educational content and assessment methodologies.
The study’s findings on the limitations of adapting NERIF for Gemini Pro, which did not significantly enhance its performance to match that of GPT-4V, offer several contributions to the existing literature on AI in educational contexts. This suggests the challenges of integrating specific AI frameworks into existing models, often finding that such adaptations do not always yield the expected improvements in performance. Furthermore, the results highlighted the complexity of AI systems in education, noting that modifications like NERIF require careful calibration to align with the intricacies of educational content. The inability of Gemini Pro to reach the accuracy level of GPT-4V, even with NERIF, underscores that AI advancements in education depend not just on the initial capabilities of the AI model but also the intrinsic design of prompts. This study thereby adds a nuanced perspective to the discussion on the limits of augmenting AI systems with additional frameworks and suggests the need for a more holistic approach to AI development in educational settings. The findings highlight the intricate balance between AI adaptability and the inherent design of
educational AI systems, contributing to a deeper understanding of how AI can be effectively tailored and utilized in complex educational assessments.
6. Conclusions
This study presented a comprehensive comparison between Gemini Pro and GPT-4V in educational settings, focusing on their ability to score student-drawn models using NERIF. The findings highlighted GPT-4V's superior accuracy in image classification and its proficiency in processing detailed text in images, demonstrating its potential for enhancing multimodal assessments in education. The study revealed that even with adaptations to NERIF, Gemini Pro could not match GPT-4V's performance, emphasizing the complexities in AI model adaptation and the importance of intrinsic design and initial capabilities. These results contribute significantly to the literature on AI in education, suggesting the need for more sophisticated, context-aware AI tools. This study adds to the understanding of AI's role in educational assessment, indicating directions for future research and development in this rapidly evolving field.
Acknowledgments
This study was funded by the National Science Foundation (NSF) (Award no. 2101104). Any opinions, findings, conclusions, or recommendations expressed in this material are those of the author(s) and do not necessarily reflect the views of the NSF. The authors thank the NGSA team and the researchers involved in the parental study (Zhai, He, and Krajcik, 2022) and those who coded the student-drawn models. The authors specifically thank Joon Kum, who helped developing the prompts and making predictions on the test data.
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**Appendix A. Appendix / supplemental material**
Figure 1: Architectural Comparison of Gemini Pro and GPT-4V
**PROBLEM CONTEXT**
**Red dye diffusion (541-042.20-e02)**
Blossom had 3 different bowls of water at room temperature. She poured some into each, causing thermal energy to transfer from that bowl to the surrounding water. She then added red food coloring to one of the bowls and stirred it around. She then dropped a red coated chocolate candy into the bowl with the red food coloring. Then, Blossom dropped a red coated chocolate candy into each bowl. Watch what happened over the video below.
**Question #1**
Construct a model that shows what is happening in the video. Be sure your models include pictures and a label.
---
**EXAMPLE**
| EXAMPLE 1 | EXAMPLE 2 | EXAMPLE 3 |
|-----------|-----------|-----------|
|  |  |  |
**Rationale for Proficiency**
(A) In the model, water particles move faster in Room Temperature Water than Cold Water, and in Hot Water than Room Temperature Water (there are more and larger arrows).
(B) The model clearly identifies the water and dye particles (the length of the arrows is all the same).
(C) The model clearly identifies the water and dye particles’ colors.
In sum, the model includes (A), (B), and (C). Since responses include ALL of the criteria, the proficiency level is “Proficient.”
| EXAMPLE 4 | EXAMPLE 5 | EXAMPLE 6 |
|-----------|-----------|-----------|
|  |  |  |
**Rationale for Proficiency**
(A) In the model, water particles move faster in Room Temperature Water than Cold Water, and in Hot Water than Room Temperature Water (there are more and larger arrows).
(B) The model does not clearly identify the water and dye particles (the length of the arrows is not the same).
(C) The model clearly identifies the water and dye particles’ colors.
In sum, the model includes (A), (B), and (C). Since responses include AT LEAST ONE BUT NOT ALL of the criteria, the proficiency level is “Developing.”
| EXAMPLE 7 | EXAMPLE 8 | EXAMPLE 9 |
|-----------|-----------|-----------|
|  |  |  |
**Rationale for Proficiency**
(A) The model does not explicitly show water particles or the color of the water particles (there are no arrows or only one arrow but only red text). There is no arrow.
(B) The model does not clearly identify the water and dye particles (There are not two different particles but only red text).
(C) The model does not clearly identify the water and dye particles’ colors (There is no arrow).
In sum, the model does not include (A), (B), or (C). Since responses include NONE of the criteria listed in Proficiency, the proficiency level is “Beginning.”
---
**IMAGE DRAWN BY STUDENT 1**
**IMAGE DRAWN BY STUDENT 2**
**IMAGE DRAWN BY STUDENT 3**
---
Figure 2: Example Input Image from Task 42
Table 1: Image understanding comparison between Gemini Pro and GPT-4V (Results reorganized from (Google, 2023))
| Task | Gemini Pro | GPT-4V |
|-----------------------------|------------|--------|
| MMMU (val) | 47.9% | 56.8% |
| TextVQA (val) | 74.6% | 78.0% |
| DocVQA (test) | 88.1% | 88.4% |
| ChartQA (test) | 74.1% | 78.5% |
| InfographicVQA (test) | 75.2% | 75.3% |
| MathVista (testmini) | 45.2% | 49.9% |
| AIZ2D (test) | 73.9% | 78.2% |
| VQA v2 (test-dev) | 71.2% | 77.2% |
Table 2: Comprehensive Feature Comparison of Gemini-Pro and GPT-4V
| Feature | Gemini-Pro | GPT-4V |
|----------------------------------------------|----------------------------------------------------------------------------|-------------------------------------------------------------------------|
| Model Type | Decoder-only Transformer | Autoregressive Transformer |
| Parameter Size | 280 billion | 1000 billion |
| Training Data | Google’s internal datasets | OpenAI’s publicly available datasets |
| Inference Hardware | TPUs (Tensor Processing Units) | GPUs (Graphics Processing Units) |
| Context Length | Supports 32K tokens | Supports up to 8K tokens |
| Safety Measures | Extensive bias and toxicity analysis | Improved safety and alignment over predecessors |
| Performance | Sophisticated multimodal reasoning | Advanced reasoning and problem-solving |
| Applications | Integrated into Bard, Pixel, and accessible via API | Integrated with Microsoft Bing, Duolingo, etc. |
| Real-world feedback | Rigorous testing with external experts | Continuous improvements based on user feedback |
| Multimodal Capabilities | Image, audio, video, and text | Text and image inputs |
| Fine-Tuning Capabilities | Tailored versions for different platforms | Fine-tuning with RLHF techniques |
| Applications in Education | Online article finding and summarization for research, Domain-specific content extraction from internet | Automatic Scoring, Feedback system, paper writing, enhance creativity |
Red dye diffusion (ID#: 042.03-e02)
Shawn had 3 dishes of water at room temperature. She cooled one dish, causing thermal energy to transfer from that dish to the surroundings. She kept the middle dish at room temperature. She transferred thermal energy into the third dish by heating it. Then, Shawn dropped a red-coated chocolate candy into each dish. Watch what happened using the video below.
Question #1
Construct a model that shows what is happening to the water particles and the red dye particles in each dish. Be sure your models include pictures and a key.
EXAMPLE 1
Thermal energy removed (Cold water) Room temperature 20 °C Thermal energy added (Hot water)
Rationale for proficiency
(A) In the model, water particles move faster in Room Temperature Water than Cold Water, and in Hot Water than Room Temperature Water (water particles are more dispersed; there are more and longer arrows).
(B) The model clearly identifies the water and dye particles (blue and red circles).
(C) The model clearly identifies the water and dye particles’ motion (there are longer and shorter arrows).
In sum, the response includes ALL of (A), (B), and (C). Since the response includes ALL of (A), (B), and (C), the proficiency level is “Proficient”
Figure 3: Example of Problem Context and Example from Task 42
Table 3: Image Classification Performance of GPT-4V and Gemini Pro on the NERIF Tasks
| LLM | Task | Accuracy | Precision | Recall | F1 | KappaQW | Acc_Beg | Acc_Dev | Acc_Prof |
|---------|------|----------|-----------|--------|-------|---------|---------|---------|----------|
| GPT-4V | 42 | 0.47 | 0.50 | 0.47 | 0.46 | 0.37 | 0.62 | 0.56 | 0.24 |
| | 44 | 0.44 | 0.60 | 0.44 | 0.38 | 0.26 | 0.88 | 0.31 | 0.12 |
| | 45 | 0.57 | 0.59 | 0.57 | 0.55 | 0.44 | 0.82 | 0.56 | 0.32 |
| | 48 | 0.41 | 0.35 | 0.41 | 0.36 | 0.29 | 0.65 | 0.56 | 0.03 |
| | 53 | 0.46 | 0.53 | 0.46 | 0.45 | 0.38 | 0.56 | 0.63 | 0.21 |
| | 57 | 0.54 | 0.57 | 0.54 | 0.54 | 0.50 | 0.65 | 0.59 | 0.38 |
| | Mean | 0.48 | 0.50 | 0.46 | 0.43 | 0.37 | 0.67 | 0.58 | 0.26 |
| | SD | 0.06 | 0.09 | 0.05 | 0.06 | 0.09 | 0.12 | 0.16 | 0.19 |
| Gemini Pro | 42 | 0.30 | 0.30 | 0.30 | 0.30 | -0.14 | 0.21 | 0.44 | 0.26 |
| | 44 | NA | NA | NA | NA | NA | NA | NA | NA |
| | 45 | NA | NA | NA | NA | NA | NA | NA | NA |
| | 48 | NA | NA | NA | NA | NA | NA | NA | NA |
| | 53 | NA | NA | NA | NA | NA | NA | NA | NA |
| | 57 | NA | NA | NA | NA | NA | NA | NA | NA |
| | Mean | 0.3 | 0.3 | 0.30 | 0.3 | -0.14 | 0.21 | 0.44 | 0.26 |
| | SD | NA | NA | NA | NA | NA | NA | NA | NA |
Table 4: Confusion Matrices of GPT-4V and Gemini Pro on Task 42
| True Label | GPT-4V’s Prediction | Gemini Pro’s Prediction |
|------------|---------------------|-------------------------|
| | Beginning | Developing | Proficient | Beginning | Developing | Proficient |
| Beginning | 21 | 13 | 0 | 7 | 14 | 13 |
| Developing | 8 | 18 | 6 | 11 | 14 | 7 |
| Proficient | 7 | 19 | 8 | 12 | 13 | 9 |
Prompt
ROLE
: You will be a science teacher who categorizes student responses to science items for proficiency.
TASK
: You are going to categorize each of three "IMAGES DRAWN BY STUDENTS" that model why a particular phenomenon occurs in the given "PROBLEM CONTEXT." Your categorization will depend on the "RUBRIC". You will also be given nine "EXAMPLE" responses that are categorized for proficiency.
1. By (1) briefly explaining the "PROBLEM CONTEXT", "RUBRIC" and (2) retrieving 'RATIONALE FOR PROFICIENCY' of one random example (1-9) from "EXAMPLE", you will show that you are ready to categorize "IMAGES DRAWN BY STUDENTS".
2. Please provide your categorization of "IMAGES DRAWN BY STUDENTS" strictly following the format as like 'RATIONALE FOR PROFICIENCY' in the "EXAMPLE".
PROBLEM CONTEXT
: See the image in the attachment.
RUBRIC
- Component (A): WATER molecules move slow when the water is cold, faster when at room temperature, and fastest when the water is hot.
- Component (B): The key identifies water and dye PARTICLES
- Component (C): The key identifies particle’s motion (faster/slower).
- Summary: The scorer MUST summarize which of EACH specific component is included in the student drawing, before judging its proficiency.
- Proficiency: The student proficiency will be “Proficient” if the drawing includes ALL of (A), (B), and (C); “Developing” if the drawing includes AT LEAST ONE BUT NOT ALL of (A), (B), and (C); “Beginning” if the drawing includes NONE of (A), (B), and (C).
* Notes
- The three boxes labeled “Cold Water”, “Room Temperature Water”, and “Hot Water”, are templates for the responses. These themselves DO NOT mean that the student has attempted to depict the motion of the particles based on temperature. Therefore, a scorer should focus on what is drawn in each box, rather than the label of each box.
- LINES OR REGIONS ARE NOT PARTICLE OR MOLECULES.
- Simply showing expanding regions or lines does NOT mean that particle motion (faster/slower) is expressed.
- Component (A) has to focus on WATER molecules’s movement, NOT dye.
- You can say Component (B) is found when there are two kinds of distinct PARTICLES in the images.
EXAMPLE
: See the image in the attachment.
IMAGES DRAWN BY STUDENTS
: See the image in the attachment.
TEMPERATURE
: 0
TOP_P
: 0.01
Figure 4: Example Prompt from Task 42
The image you've uploaded appears to be an educational material that explains the diffusion of red dye in water at different temperatures. It is structured to provide a problem context followed by examples of student work with varying levels of proficiency.
At the top, the PROBLEM CONTEXT details an experiment where three dishes of water at different temperatures (cold, room-temperature, and hot) have a red-coated chocolate candy placed in them. Below this description, there is a section for the student to write a description of what their model shows.
Following this, there are nine examples labeled from "EXAMPLE 1" to "EXAMPLE 9", each depicting a different student's model of the diffusion process, along with a RATIONALE FOR PROFICIENCY that explains why each example has been given a certain proficiency level such as "Proficient", "Developing", or "Beginning". The models use different symbols to represent water and dye particles, and arrows to indicate movement and energy transfer. The rationales critique each model based on several criteria, such as whether the model clearly identifies water and dye particles, if the length of the arrows is appropriate, and whether the model includes all necessary components to accurately reflect the diffusion process.
The examples are visual representations, using drawings and symbols, to convey the molecular motion and energy transfer between the particles in water at different temperatures. This is a common teaching method in science education to help students understand abstract concepts such as diffusion and thermal energy transfer.
The given image is a poster showing various examples of "rad dye illusion" (4-042.03-602). The poster is divided into two sections: "EXAMPLE" and "KEY".
In the "EXAMPLE" section, there are nine images of molecules with different structures. In each image, there is a central atom or group of atoms surrounded by other atoms or groups of atoms. The surrounding atoms are connected to the central atom by lines.
In the "KEY" section, there is a single image of a molecule with a different structure than the molecules in the EXAMPLE section. The molecule in the "KEY" section has a ring structure, with each atom in the ring connected to two other atoms in the ring.
The text at the top of the poster, "PROBLEM CONTEXT", suggests that the poster is intended to be used as part of a problem-solving activity. The viewer is likely being asked to identify the molecule in the "KEY" section that is different from the molecules in the EXAMPLE section.
Here is a more detailed description of each of the images on the poster:
Example 1: A central carbon atom surrounded by four hydrogen atoms.
Example 2: A central carbon atom surrounded by two hydrogen atoms and two chlorine atoms.
Example 3: A central carbon atom surrounded by two hydrogen atoms, one oxygen atom, and one chlorine atom.
Example 4: A central carbon atom surrounded by four other carbon atoms.
Example 5: A central carbon atom surrounded by three other carbon atoms and one hydrogen atom.
Example 6: A central carbon atom surrounded by two other carbon atoms and two hydrogen atoms.
Example 7: A central carbon atom surrounded by one other carbon atom, one hydrogen atom, and two oxygen atoms.
Example 8: A central carbon atom surrounded by two other carbon atoms, one hydrogen atom, and one chlorine atom.
Example 9: A central carbon atom surrounded by three other carbon atoms and one oxygen atom.
Key: A ring structure with four carbon atoms and two oxygen atoms.
I hope this helps!
Figure 5: Answers from GPT-4V and Gemini Pro When Asked "What Do You See in the Given Image?" (Left: GPT-4V; Right: Gemini Pro)
The image depicts an educational setup titled "PROBLEM CONTEXT," relating to an experiment about red dye diffusion. It presents a scenario where an individual named Shawn has three dishes of water at different temperatures: one cold, one at room temperature, and one hot. Into each dish, a red-coated chocolate candy is dropped. The intent is to observe what happens using a video provided in the document, which presumably shows the diffusion of the red dye in water at different temperatures.
Below the description, there is a section with the heading "Question #1" which asks students to construct a model that shows what is happening to the water particles and the red dye particles in each dish. It suggests that the model should include pictures and a key.
The problem context is intended to help students understand how temperature affects the movement of particles in a fluid medium, with the expectation that the red dye will diffuse differently in each dish based on the water's temperature.
The image also contains a section with multiple examples, labeled from "EXAMPLE 1" to "EXAMPLE 9." Each example seems to be a student's attempt to model the particle movement, accompanied by a rationale for proficiency, where the effectiveness of each attempt is evaluated based on how well it meets certain criteria. The criteria assess whether the models show water and dye particles' motion, whether the particle types are clearly identified, and the length of the arrows representing particle movement.
Examples 1, 2, and 3 are marked as "Proficient," meaning they have effectively met the expectations. Examples 4, 5, and 6 are marked as "Developing," indicating that they meet some but not all of the criteria. Lastly, Examples 7, 8, and 9 are marked as "Beginning," which implies that these attempts do not meet the necessary criteria.
The proficiency levels and the rationales given for each example provide feedback on the models created by the students, serving as a guide for what is expected in the students' responses to Question #1.
In the attached image, the PROBLEM CONTEXT is given by the title of the poster. "Rad dye illusion" and the text below it, which reads:
The Rad dye illusion is a visual phenomenon in which a series of colored dots appear to be moving in a circular direction, even though they are actually stationary. This illusion is caused by the way that the human brain processes visual information.
The poster also includes a number of images of different types of molecules. These images are used to illustrate the different types of molecules that can be used to create the Rad dye illusion.
The poster's title and text provide the overall context for the problem, while the images provide specific examples of the molecules that can be used to create the illusion.
Here is a more detailed explanation of the problem context, based on the information given in the image: 'he Rad dye illusion is a type of optical illusion that is created by the way that the human brain processes visual information. When we look at the image of the Rad dye illusion, our brains interpret the dots as being in motion. However, the dots are actually stationary.
The R3d dye illusion can be created with a variety of different types of molecules. The molecules that are used to create the illusion must have certain properties, such as the ability to absorb and emit light at specific wavelengths. The images on the poster show a variety of different types of molecules that can be used to create the Rad dye illusion. Some examples of these molecules include:
- Rhodamine B
- Fluorescein
- Malachite green
- Crystal violet
- Methylene blue
These molecules are all able to absorb and emit light at specific wavelengths. When these molecules are placed in a solution, they will absorb light at one wavelength and emit light at another wavelength. This difference in wavelengths is what causes the Rad dye illusion.
The Rad dye illusion is a fascinating example of how the human brain can be tricked by visual information. The illusion is also a valuable tool for scientists, who use it to study the way that the brain processes visual information.
I hope this explanation is helpful. Please let me know if you have any other questions.
Figure 6: Scoring Outcomes from GPT-4V and Gemini Pro When Asked "Tell me about how the 'PROBLEM CONTEXT'" (Left: GPT-4V; Right: Gemini Pro)
1 The **PROBLEM CONTEXT** involves understanding how water molecules behave at different temperatures. The context is related to a classic experiment where dye is added to water at different temperatures to observe the diffusion rate, which illustrates molecular motion. The rubric for assessing student proficiency in modeling this phenomenon is based on three components:
- **Component (A)** assesses whether the student’s drawing shows water molecules moving faster in cold water, faster at room temperature, and fastest in hot water.
- **Component (B)** evaluates if the student’s drawing clearly distinguishes between water and dye particles.
- **Component (C)** looks for an indication of the particles’ motion (faster or slower) in the student’s drawing.
The proficiency level is determined by whether the student’s drawing includes all three components (Proficient), at least one but not all (Developing), or none (Beginning).
2. Let’s select a random example to retrieve the rationale for proficiency. I will take **EXAMPLE 3**.
- **Rationale for Proficiency**: The student’s drawing in Example 3 is judged “Proficient” because it includes all required components: It shows that water molecules move at different speeds at different temperatures (A), distinct particles for water and dye (B), and indicates the motion of these particles (C).
Now, I’ll proceed to categorize the **IMAGES DRAWN BY STUDENTS**:
- **Image Drawn by Student 1**:
- Summary: The student’s drawing includes distinct shapes for water in each temperature condition but does not distinguish between water and dye particles. There is no indication of the particles’ motion.
- Proficiency: The drawing is “Beginning” because it does not include any of the required components (A), (B), or (C).
- **Image Drawn by Student 2**:
- Summary: The student’s drawing uses lines emanating from a central point to indicate motion. However, lines or regions are not considered particles or molecules, and there is no distinction between water and dye particles.
- Proficiency: The drawing is “Beginning” because it does not correctly depict any of the components (A), (B), or (C).
- **Image Drawn by Student 3**:
- Summary: The student’s drawing includes cartoonish representations of M&Ms with faces that express the freezing and melting process but does not differentiate between water and dye particles. The particle’s motion is not clearly depicted.
- Proficiency: The drawing is “Beginning” because it includes none of the components (A), (B), or (C).
This categorization is based on the provided rubric and the examples for proficiency, ensuring that the student’s understanding of molecular motion in relation to temperature is accurately assessed.
---
**PROBLEM CONTEXT**
This is a science experiment that demonstrates how the temperature of water affects the movement of its molecules. The three boxes labeled Cold Water, Room Temperature Water, and Hot Water represent different temperature conditions; in the Cold Water box, the water molecules are moving slowly. In the Room Temperature Water box, the water molecules are moving faster, and in the Hot Water box, the water molecules are moving fastest.
**RUBRIC**
The student’s drawing will be categorized as follows:
- **Proficient**: The drawing includes ALL of the following components:
- Component (A): WATER molecules move slow when the water is cold, faster when at room temperature, and fastest when the water is hot.
- Component (B): The key identifies water and dye PARTICLES
- Component (C): The key identifies particle’s motion (faster/slower)
- **Developing**: The drawing includes AT LEAST ONE BUT NOT ALL of the following components:
--- (Omitted) ---
- **Beginning**: The drawing includes NONE of the following components:
--- (Omitted) ---
**EXAMPLE**
In the example the student has correctly identified the three components of the rubric.
- Component (A) The student has drawn the water molecules moving faster in the Hot Water box than in the Cold Water box.
- Component (B). The student has used different symbols to represent the water molecules and the dye molecules.
- Component (C). The student has used arrowheads to show the direction of motion of the molecules.
Image 1:
- Component (A): Yes
- Component (B): Yes
- Component (C): Yes
Rationale for Proficiency: The student’s drawing is proficient because it includes ALL of the components required by the rubric. The student has correctly identified that the water molecules are moving faster in the Hot Water box than in the Cold Water box. The student has also used different symbols to represent the water molecules and the dye molecules, and has used arrowheads to show the direction of motion of the molecules.
Image 2:
- Component (A): No
- Component (B): Yes
- Component (C): Yes
Rationale for Proficiency: The student’s drawing is developing because it includes TWO out of three components required by the rubric. The student has used different symbols to represent the water molecules and the dye molecules, and has used arrowheads to show the direction of motion of the molecules. However, the student has not correctly identified that the water molecules are moving faster in the Hot Water box than in the Cold Water box.
Image 3:
- Component (A): Yes
- Component (B): No
- Component (C): Yes
Rationale for Proficiency: The student’s drawing is developing because it includes ONE of the three components required by the rubric. The student has used different symbols to represent the water molecules and the dye molecules, but has not used arrowheads to show the direction of motion of the molecules, nor has the student correctly identified that the water molecules are moving faster in the Hot Water box than in the Cold Water box.
I hope this is helpful!
**PROBLEM CONTEXT**
**Question #1**
Construct a model to explain the motion of the water molecules before and after heating. Be sure your model includes pictures and a key.
---
**EXAMPLE**
**EXAMPLE 1**
- **BEFORE HEATING**
- Water molecule
- **AFTER HEATING**
- Water molecules move faster
**REFERENCE FOR PROFICIENCY**
(A) The model shows that water molecules move slower before heating (no touching identifying water particles).
(B) The model shows that water molecules move faster after heating (no touching identifying water particles).
(C) There is no background identifying water particles.
In sum, the model includes (A), (B), and (C). The proficiency level is “Proficient.”
---
**EXAMPLE 2**
- **BEFORE HEATING**
- Water molecules move slower
- **AFTER HEATING**
- Water molecules move faster
**REFERENCE FOR PROFICIENCY**
(U) The model shows that water molecules move slower before heating (no touching identifying water particles).
(V) The model shows that water molecules move faster after heating (there are more, longer lines that signifies water particles).
(W) There is no background identifying water particles.
In sum, the response includes AT LEAST ONE BUT NOT ALL OF (U), (V), and (W). The proficiency level is “Proficient.”
---
**EXAMPLE 3**
- **BEFORE HEATING**
- Water molecules move slower
- **AFTER HEATING**
- Water molecules move faster
**PARTIAL KEY PROFICIENCY**
(X) The model does not show you a model of water molecules before heating.
(Y) The model does not show any motion of water molecules after heating.
(Z) There is no background identifying water particles.
In sum, the response includes NONE of the criteria listed in “Partial Key Proficiency.” The proficiency level is “Beginning.”
The image you sent me is a diagram that shows a model to explain the interaction of water molecules when water is heated. The top of the diagram is labeled 'Problem Context' and includes the question: "Construct a model to explain the motion of the water molecules before and after water is heated. Be sure your model includes pictures and a key."
The diagram then shows three example models, labeled Example 1, Example 2, and Example 3. Each example model shows two pictures, one labeled "before heating" and one labeled after heating. The pictures are made up of arrows, which are presumably meant to represent the water molecules. The arrows in the "before heating" pictures are shorter than the arrows in the "after heating" pictures. There is also a key at the bottom of the diagram that explains that the arrows represent water molecules and that the length of the arrows represents the speed of the molecules.
Below the examples, there is a section labeled 'Rationale for Proficiency.' This section includes three criteria for a proficient model:
1. The model shows that water molecules move slower before heating.
2. The model shows that water molecules move faster after heating.
3. The model includes a key/legend identifying water particles.
The diagram then assesses each of the example models against these criteria. Example 1 is rated as "Beginning because it does not meet any of the criteria. Example 2 is rated as "Developing" because it meets criteria 1 and 2, but not 3. Example 3 is rated as "Proficient" because it meets all three criteria.
Overall, the image is a diagram that shows how to create a model to explain the motion of water molecules before and after water is heated. The diagram includes three example models, as well as a set of criteria for evaluating the proficiency of the models.
I hope this description is helpful! Let me know if you have any other questions.
---
The problem context in the attached image is given by a series of instructions that ask the reader to construct a model to explain the motion of water molecules before and after water is heated. The instructions also specify that the model should include pictures and a key.
The image then shows two examples of models that could be used to explain the motion of water molecules. The first example shows water molecules as simple circles with arrows attached to them. The arrows are short and point in different directions, which is meant to show that the water molecules are moving slowly before they are heated.
The second example shows water molecules as the same simple circles, but with longer arrows that point in more or less the same direction. This is meant to show that the water molecules are moving faster after they have been heated.
The image also includes a rationale for proficiency, which explains why the first example is not considered to be a proficient model. The rationale states that the first example does not show any motion of water molecules before heating, and that it does not have a key or legend to identify the water particles.
In conclusion, the problem context in the attached image is given by a series of instructions that ask the reader to construct a model to explain the motion of water molecules before and after water is heated. The instructions also specify that the model should include pictures and a key.
I hope this helps! Let me know if you have any other questions.
---
Figure 9: Scoring from Gemini Pro with Simplified Input Image (Top: "What do you see in the given image?" GPT-4V; Bottom: "Tell me about how the 'PROBLEM CONTEXT' is given in the attached image, in detail.")
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OCEAN read & respond activities
2 Craftivities
5 Comprehension Skills
5 Writing Activities
Differentiated for Kindergarten-2nd Grade
| Book | Response | Pages |
|------------------------------|-----------------------------------------------|-------|
| *Commotion in the Ocean* | Infer Meaning (RL.K4, RL.14, RL.2.4) | 3-6 |
| by Giles Andreae | Opinion Writing (W.K1, W.11, W.2.1) | 7-9 |
| *Clumsy Crab* | Find the Moral (RL.K2, RL.12, RL.2.2) | 10-12 |
| by Ruth Galloway | Crab Craftivity | 13-19 |
| | Opinion Writing (W.K1, W.11, W.2.1) | 20-22 |
| *Mister Seahorse* | Make Connections (RL.K10, RL.110, RL.2.10) | 23-25 |
| by Eric Carle | How to Writing (W.K2, W.12, W.2.2) | 26-31 |
| *The Snail and the Whale* | Story Elements (RL.K3, RL.13, RL.2.3) | 32-34 |
| by Julia Donaldson | Snail & Whale Craftivity | 35-39 |
| | Narrative Writing (WK.3, WI.3, W.2.3) | 40-42 |
| *Little Kids First Big Book of the Ocean* | Use Text Features (RI.K.5, RI.15, RI.2.5) | 43-45 |
| by Catherine D. Hughes | All About Writing (WK.2, WI.2, W.2.2) | 46-71 |
| | | |
| | Answer Keys | 72-86 |
3 Leveled Comprehension pages for each Text
Kindergarten
Commotion in the Ocean
Directions: Write to infer meaning from the text.
Clues from Text
I infer
My Schema
First Grade
Commotion in the Ocean
Directions: Write to infer meaning from the text.
Clues from Text
I infer
Second Grade
Commotion in the Ocean
Directions: Write to infer meaning from the text.
Clues From Text
I infer
My Schema
All activities are Common Core aligned with the standard listed in the upper right hand corner of each page.
Mister Seahorse
Directions: Draw and write about a connection you have with the story.
This book reminds me of myself because...
Mr. Seahorse was responsible when he took care of the eggs. I am responsible when I take care of my dog.
Connections help you understand the story?
These connections help me understand that taking care of something is a big responsibility, and many animal fathers are the ones that take care of animal babies.
3 Leveled Writing Activities for each Text
Kindergarten
First Grade
Second Grade
All activities are Common Core aligned with the standard listed in the upper right hand corner of each page.
2 Themed Craftivities
THANK YOU!
Thanks so much for downloading this resource! I truly appreciate it and hope it is exactly what you were looking for! Remember to leave feedback to earn credits towards future products. Feel free to contact me with questions or concerns firstname.lastname@example.org
TERMS OF USE
This resource is for single classroom use only. Sharing is not permitted without prior permission from the author. Copying any or all of this resource and uploading it to the internet or file sharing servers of any kind (including but not limited to classroom websites), is a violation of the Digital Millennium Copyright Act (DMCA).
© Mrs. Plemons’ Kindergarten by Jessica Plemons
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FONTS & GRAPHICS
Thank you to these artists for creating the beautiful fonts & graphics used in this product! | 0671e38c-2f55-448e-a30a-4e7928d8550d | CC-MAIN-2022-33 | https://mrsplemonskindergarten.com/wp-content/uploads/2019/09/Ocean-Reading-Comprehension-Writing-and-Craftivities-preview.pdf | 2022-08-19T19:49:15+00:00 | crawl-data/CC-MAIN-2022-33/segments/1659882573760.75/warc/CC-MAIN-20220819191655-20220819221655-00766.warc.gz | 390,402,169 | 907 | eng_Latn | eng_Latn | 0.907843 | eng_Latn | 0.995015 | [
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Tips for Herbicide Use
Herbicides are the best way to treat mature Arundo plants. When used properly, herbicides have the least environmental impact and greatest effect.
Several herbicides are specifically labeled for use to treat *Arundo donax*. Herbicides with imazapyr or imazamox, mixed with glyphosate, have shown to be most effective, as is treating regrowth after cutting (collect all fragments!). Learn more at AquaPlant.tamu.edu
Near water, the law requires that you use an herbicide formulation labeled for aquatic use. Before managing Arundo on public waters or tributaries, a Nuisance Aquatic Vegetation treatment proposal must be submitted to Texas Parks and Wildlife Department.
After herbicide application, leave treated plants in place, even after they brown. Except for burning (where safe/permitted), do not disturb herbicide-treated plants for two years or you risk reinvigorating the plant.
When left in place, dying Arundo provides some erosion control and acts as a nursery area to protect young, native plants. Watch for Arundo regrowth and look for new sprouts. Re-treat with herbicide as necessary.
Small sprouts may be removed by hand, but be careful to collect all fragments. Take care that they don’t take root while drying. Once completely dry, the sprouts are no longer a hazard to spreading.
Be an Arundo Control Hero!
**Know the enemy.** Learn to recognize non-native Arundo—mature plants, roots and fragments.
**Sound the alarm.** Spread the facts about Arundo and how to manage it. Speak up when you see Arundo being mismanaged.
**Be aware.** Take a good look at fill dirt and other aggregate materials, especially when building near a creek or river. If Arundo pieces are found in material, reject the delivery or remove the pieces.
More information:
For help in making an Arundo management plan, call 512-389-4444 and ask for an aquatic invasive specialist. Good online resources are:
- AquaPlant.tamu.edu
- TPWD.texas.gov/Arundo
- TexasInvasives.org
---
**Lessons from Arundo Control Man**
OR How you can be a super hero and KICK A(rundo) out of Texas roadways and waterways
*Arundo donax*, also known as giant reed or Carrizo cane, is a **HIGHLY INVASIVE, NON-NATIVE, DOMINATING PLANT** that grows up to 30-feet tall in dense stands.
Train your eye to see Arundo.
- Tall, cane-like grass with hollow stems, long wide leaves, and showy plumes
- Fast-growing in tall, thick stands
- Dormant and brown in winter; not dead, only sleeping
- Tuber-like, shallow roots form a dense mass
- Commonly found in roadside ditches and along creeks and rivers
Sprouting node Root mass Stalk with sprouting node
The impacts of an Arundo invasion are **DEVASTATING** to Texas waterways, and prevention is **CRITICAL**.
**Key things to know about Arundo:**
**Spreads Like Wildfire.**
When disturbed, the Arundo plant will sprout new plants from tiny fragments of stalk or root material and will quickly spread and take over a waterway or right-of-way.
**Changes Flood Patterns.**
Arundo interferes with the floodplain’s natural ability to lessen flood energy. As a result, flow patterns and volumes change, leading to greater damage from floods.
**Diverts Water Supply.**
Arundo is a thirsty plant that can reduce stream flows and change water quality. Studies have shown dense colonies of Arundo may use 24 to 48 acre-feet of water for each acre of infestation within a stream bed.
**Causes Bank Erosion.**
Arundo roots form a thick mat near the surface but have no deep root strength. Floodwaters can easily undercut the root mass resulting in bank failure, erosion, and damage to property, structures and bridges.
**Creates a Fire Hazard.**
The Arundo plant has a high wax content and is an extremely volatile fuel. It can substantially increase the danger and intensity of wildfires and decrease the ability of the waterway to act as a firebreak.
**Alters Native Habitat.**
Non-native Arundo crowds out native plants, and its roots dominate banks. As a result, habitat for native fish and wildlife is lost or degraded.
**MOWING, TILLING, BULLDOZING**
and other mechanical treatments cause Arundo to spread.
**Watch for Arundo Contamination and Learn Proper Treatment**
**In Construction Fill Dirt.** Construction fill dirt and other aggregate materials sometimes contain Arundo roots or fragments that can cause an infestation. Watch for and manage Arundo plants at material source locations and remove any root or cane fragments during construction to help prevent an expensive problem down the road. During follow-up inspections, watch for sprouting canes and treat with herbicide promptly! Tips for proper herbicide use are on the back page.
**At Construction Sites.** Construction activities that involve the use of earthmoving equipment always have the potential to spread Arundo. When possible, treat mature Arundo with herbicide long BEFORE bringing in construction equipment. Otherwise, take great care to ensure that Arundo is removed and transported to the landfill. Plant fragments should not be spread about on-site or moved to new places on equipment. Re-vegetation plans should use native plants when possible.
**In Your Path.** Do not cut, mow, till, bulldoze, or shred Arundo. Even a tiny fragment can create a new plant and be spread by a stream or river. When Arundo is present, mow around it. If you accidentally mow Arundo, immediately stop and pick up any fragments. Turn off mower and follow manufacturer’s safety recommendations to remove any fragments caught in the mower deck to prevent carrying them to a new site. Managing infestations with herbicide is more effective. In areas away from where water might run, Arundo may be cut to reduce herbicide use—remove cut canes! Then treat regrowth with herbicide; repeat as needed.
**DO NOT TREAT THIS PLANT CASUALLY!** | e4e08720-4a90-4888-807d-916fc3188621 | CC-MAIN-2021-21 | https://www.bcragd.org/wp-content/uploads/2016/12/Arundo-Man-Publication-.pdf | 2021-05-16T10:06:24+00:00 | crawl-data/CC-MAIN-2021-21/segments/1620243992516.56/warc/CC-MAIN-20210516075201-20210516105201-00588.warc.gz | 685,452,785 | 1,293 | eng_Latn | eng_Latn | 0.995963 | eng_Latn | 0.996363 | [
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What Is Not a #Number?
Not a #Number is an interactive five-module prevention curriculum designed to teach youth how to protect themselves from human trafficking and exploitation through information, critical thinking, and skill development. The program integrates a holistic view of the issue by focusing on respect, empathy, individual strengths, and the relationship between personal and societal pressures that create or increase vulnerabilities. Through open conversations, engaging activities, the use of media, and opportunities for disclosures, participants find ways to move beyond awareness to behavioral change.
Over the course of the curriculum, participants will learn how to recognize recruitment tactics, understand vulnerabilities, and develop skills to safely navigate potential and existing exploitative situations. Participants will also identify healthy support systems, and learn how to access community resources when situations occur that increase their vulnerability or if exploitation is already underway.
Not a #Number includes information to support a whole-school or whole-system response and ways to integrate the curriculum with other prevention efforts being facilitated to improve school, agency, or organizational climate.
Love146 developed Not a #Number in collaboration with experts from the University of New Haven’s Department of Education and the Crimes Against Children Research Center at the University of New Hampshire. Four years of experience in prevention education, a review of current literature, analysis of best practices in prevention, and input from various disciplines informed the process of development.
Intended Audience
Not a #Number is designed to be inclusive and relevant to a variety of populations, and has been implemented in schools, child welfare and juvenile justice programs, and other community organizations.
The curriculum was developed for youth ages twelve to eighteen. The materials are inclusive of male, female, and youth that identify as LGBTQ, and is designed for applicability across gender, ethnic, and socioeconomic backgrounds.
Youth with high-risk indicators such as low socioeconomic status, history of abuse and/or neglect, exposure to violence, risky sexual behavior online and offline, and mental health needs will particularly benefit. While youth who have experienced human trafficking and exploitation may benefit from the information provided by Not a #Number, the curriculum is designed for prevention and early identification for vulnerabilities and exploitation. It is not intended to be used as a primary intervention tool.
Evaluating Not a #Number
Not a #Number has been developed by experts in the field of human trafficking and exploitation and is designed to address the evolving tactics to recruit and exploit youth. The curriculum is grounded in empirical literature, and incorporates best practices in the field of prevention education.
In order to continually evaluate the extent to which the materials in this curriculum are meeting their intended goals, curriculum developers worked with experts from the Crimes Against Children Research Center at the University of New Hampshire to design measurable skill-based learning objectives. Based on these learning objectives, the Crimes Against Children Research Center assisted in developing research-based assessment tools to facilitate immediate and long-term outcome evaluation efforts. These evaluation tools, along with the curriculum, have been pilot tested with experts in the field and a cohort of youth ages 12-18 to assess their readability, applicability, and completeness.
What Makes Not a #Number Different?
Not a #Number is unique in several ways:
● Moves beyond the traditional “information deficit” model, and intentionally supports positive peer influence, attitude and behavior changes, and skill development (e.g. how to resist negative influence).
● Focuses on both human trafficking and commercial sexual exploitation.
● Considers all genders as potential victims and perpetrators of human trafficking and exploitation, and provides nuanced activities for co-ed, all male, all female, or all LGBTQ groups.
● Is designed for applicability and efficacy across the spectrum of risk (low → moderate → high).
● Addresses a diverse set of traffickers, including individual (e.g. pimp, peer), gang, and family.
● Provides resources for a whole-school or whole-system response.
● Is based on strong program theory, grounded in empirical literature and best practices in the field of prevention education. | f08b738b-8cc6-4029-bce9-c6aad24fcd9e | CC-MAIN-2022-05 | https://portal.ct.gov/-/media/DCF/HumanTrafficking/Schools/Not-a-Number-Overview.pdf | 2022-01-29T14:12:42+00:00 | crawl-data/CC-MAIN-2022-05/segments/1642320306181.43/warc/CC-MAIN-20220129122405-20220129152405-00548.warc.gz | 504,173,551 | 786 | eng_Latn | eng_Latn | 0.996313 | eng_Latn | 0.996345 | [
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THE FRONTIER OF PATRIOTISM:
Alberta and the First World War
Edited by Adriana A. Davies and Jeff Keshen
ISBN 978-1-55238-835-8
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The men and women who came home from the Front returned to a country and province that had changed dramatically over four years. The war had empowered some; for example, women had been granted the vote on 19 April 1916. They had participated in the 1917 provincial election as voters and also as candidates for the Legislative Assembly of Alberta. Other changes would prove less popular; for example, patriotic fervour spurred Prohibitionists, who believed that returning soldiers should come back to a “dry” homeland that would somehow be thereby rid of all social ills. They were instrumental in the passage of prohibition legislation in 1916.
Returning soldiers suffered from loss of limbs and other unseen symptoms comprising “shell shock,” or what is today known as Post-Traumatic Stress Disorder. Measures to help them to adjust were not always adequate. Many returning veterans had to be hospitalized. Medical historian J. Robert Lampard notes that, in the early 1920s, treatment of veterans was centralized in a number of key facilities. In 1922, the federal government built an 84-bed annex at the Strathcona Hospital in Edmonton to house soldiers, and also funded the building of the second wing on the Royal Alexandra Hospital. In Calgary, the Colonel Belcher Hospital opened in 1919 and received the remaining Calgary vets. In 1920, the Keith Sanatorium opened west of Calgary with 185 beds.\(^1\) According to Lampard, by 1921, there were 650 veterans left in Alberta hospitals.\(^2\)
Venereal disease also presented challenges since the rate of infection was so high; an estimated 66,000 Canadian soldiers were infected during the war. An Albertan, Dr. Harold Orr, played an important role in its treatment. A medical officer with the 3rd
Canadian Mounted Rifles in the field hygiene section, Orr developed important disinfection equipment to deal with the scourge of body lice. He undertook postgraduate studies focusing on syphilis and, in 1920, wrote the Venereal Disease Control Act of Alberta, the first in Canada. In 1923, he was appointed director of the provincial Division of Venereal Disease Control.\(^3\)
Having survived the horrors of battle, veterans were among those who succumbed to the so-called Spanish influenza, which returned with them from the front and infected their communities. According to Mark Humphries, in 1918, more than 31,000 Albertans were officially listed as having the ailment; he suggests that the real number was probably at least three times higher. The mortality rate was also extremely high: 3,259 people died in 1918 and an additional 1,049 in the winter of 1918–19. Thus, deaths from influenza in Alberta equalled over two-thirds of deaths on the Front (4,308 compared to 6,140 killed in action).
*Section Four: Aftermath* explores short- and long-term impacts of the war. Mark Humphries covers the impact of the Spanish influenza pandemic of 1918 and 1919 in Alberta, detailing its devastating results, but also its role in prompting significant public health reforms, such as replacing *pest houses*, where people went to die, with community hospitals. Donald Wetherell links the war to the emergence of modern housing styles emphasizing healthier living conditions, namely through the federal government’s 1919 Housing Act. Though inadequately funded, the Act aimed to stimulate the postwar economy and provide better shelter to veterans. Allan Rowe examines the federal Soldier Settlement scheme, a much-trumpeted program providing subsidized loans to veterans to acquire farmland, machinery, and seed. Of the 31,670 veterans who participated in the program, almost one-third (9,883) settled in Alberta, with the federal government directing them to the remote Peace River region. However, this program, like most others for veterans, sparked complaints about underfunding, mismanagement, and uncompromising regulations that produced a high failure rate and a legacy of bitterness.
The final essay in this section, which deals with the centenary of the outbreak of the First World War, offers a more positive message. Communities across Canada have arranged commemorations of the war experience, a principal component of which has been the honouring of local servicemen, an exercise that Rory Cory shows has involved nearly all Alberta museums.
**Notes**
1. J. Robert Lampard, *Alberta’s Medical History: “Young and Lusty, and Full of Life”* (Red Deer: 2008), 293.
2. Ibid., 346–47.
3. Donald R. Wilson and Paul Rentiers, “Evolution of the Venereal Disease Program in the Province of Alberta,” in Lampard, *Alberta’s Medical History*, 92–96.
Andrew Robert W. was born along the Ottawa River near Aylwin, Quebec, on 23 June 1893. His Scottish father, John, was then a farmhand struggling to support a family of five children on an income of $150 a year and, as was the case for many Canadian families, emigration to the West promised an escape from poverty.\(^1\) When the Edson Trail opened in 1911, John W. moved to Alberta, clearing a homestead at Bear Lake near Grande Prairie.\(^2\) When war came in 1914, Albertans flocked to the colours to escape a deepening recession, but the conflict seemed very remote from northern Alberta, where the prewar boom continued unabated.\(^3\) At that time, the railway was slowly pushing toward the Peace River country, the town of Grande Prairie was flourishing, and the family’s fortunes were on the rise. By 1916 Andrew had set up his own tinsmith operation and was beginning to move into gas engineering.\(^4\) Neither he nor his two younger brothers were eager to join the army. But the Canadian government required more soldiers to fill the ranks of its expeditionary force fighting in Europe; and with volunteerism failing, at the end of 1917 conscription was imposed, requiring all young able-bodied men to serve.\(^5\) In March 1918, 25-year-old Andrew went to the depot office in Grande Prairie for his medical examination, and when he passed he was ordered to report for duty at the end of July in Calgary.\(^6\)
While Albertans like W. may have felt that death and the horror of war were a world away, that fall a new disease—the so-called “Spanish” influenza—appeared in Canada. The flu would kill more people worldwide than the Great War, and nearly as many Canadians as died overseas.\(^7\) When it appeared in Calgary in early October, Andrew W. was training in the foothills of the Rockies. For weeks the epidemic raged and death seemed to be lurking around every corner: more than 4,000 Albertans would eventually die that fall.\(^8\) When the Armistice was announced on November 11 and a masked (to avoid contagion) but joyful population rejoiced in the streets, W. must have thought that he would soon be on his way home, back to Grande Prairie, having escaped the fate of so many Canadians on the Western Front. But demobilization came slowly, as those who were the last to join were also the last sent home. Weeks passed, and then he too began to cough.\(^9\)
On the morning of December 19, W. paraded for duty as usual at Victoria Park Barracks.\(^10\) He looked unwell, so much so that his commanding officer sent
him on sick parade. The battalion’s doctor, Major H.G. Nyblett, an English-born surgeon from Fort Macleod, Alberta, recorded his temperature at 102° and, an hour later, W. was in Sarcee Camp hospital.\(^{11}\) On admission, there were no signs of pneumonia; a brief physical examination showed no abnormal heart sounds and his lungs were clear. W. was given Aspirin, a dose of quinine, and Dover’s powder (a combination of ipecac and opium) to help him rest—all standard treatments aimed at comforting the patient and reducing symptoms. When he was examined that evening, his cough had worsened, but that was to be expected; nothing seemed amiss and he was left to sleep for the night. The next morning, when Nyblett made his rounds, he discovered that during the night pneumonia had set in. With a stethoscope pressed against W.’s chest—first to one side then the other and back again—the doctor realized that W.’s right lung had almost been completely consolidated; he could hear telltale rales (rattling) beginning in the left. W. was now struggling to breathe. Nyblett pushed a full array of stimulants, including strychnine, brandy, and pituitrin (an extract containing oxytocin and vasopressin) and ordered oxygen to be given as required. But, despite his best efforts, W.’s temperature kept rising past 104° as his breathing became shallow, wet, and laboured. At 9:00 that night he died from acute pneumonia—less than 36 hours after coming down with the sniffles on parade.\(^{12}\)
The 1918 influenza pandemic killed 35,000 to 50,000 Canadians between September 1918 and April 1919. Many died as quickly and inexplicably as W.\(^{13}\) Across Canada, public health officials struggled, first to prevent the disease from entering their communities, and then, when it inevitably did, to manage the largest healthcare crisis in modern history. The 1918 influenza pandemic circled the globe in three successive waves: the first in winter and spring of 1918; the second in the fall just as the war was coming to an end; and the third as troops demobilized in the winter of 1918–19.\(^{14}\) We do not know where the virus first appeared—it may have been China, the midwestern United States, or even in Europe.\(^{15}\) Evidence gathered from newspapers, public health reports, and hospital records shows that, during the first wave, many people across the globe became sick—including the King of Spain, who gave the disease its inaccurate but nevertheless enduring moniker. Few, though, actually died. It was in Europe that the virus mutated, emerging late in July with new genetic characteristics that made it a far more deadly disease. The fall wave of flu spread outward from England along the sinews of war: south to Africa on a British ship destined for Sierra Leone; east to Brest and the armies of Europe fighting on the continent; and west to Boston with merchant vessels or empty troop ships arriving to pick up the next drafts of the growing American army. A third wave of flu returned in the spring but was far less deadly.\(^{16}\)
The second and third waves of flu may have killed as many as 100 million people worldwide.\(^{17}\) Seasonal cases of influenza tend to incapacitate otherwise healthy victims for a few days, only progressing to pneumonia in those with compromised immune systems, underlying health conditions, or the elderly. The deadly fall wave of so-called “Spanish” flu carved a different pattern: it killed young, healthy adults—like Private Andrew W.—who otherwise appeared to be in the prime of life. Scientists are not sure what made the flu so deadly for young people, or how it could progress from infection to death in a matter of hours. The most likely explanation is that the virus provoked a “cytokine storm,” causing
the body’s immune system to go into overdrive; in this scenario, it was the intensity of the cascading immune response that ultimately may have killed many of the flu’s youngest victims.\textsuperscript{18}
Albertans were first alerted to Spanish influenza when it arrived in the northeastern United States.\textsuperscript{19} On September 18, the \textit{Edmonton Bulletin} reported the deaths of 70 people in Boston from a strange new form of grippe which was said to have shut down the harbour and even all the shoe factories in nearby Brockton.\textsuperscript{20} The next day, the paper said that there were more than 3,000 cases of “Spanish influenza” in the army camps of New England and upper New York State.\textsuperscript{21} According to Canadian military records, American soldiers from those barracks then carried the disease across the border to a Polish army camp run by the Canadian army at Niagara-on-the-Lake, Ontario, and to barracks in Montreal and Quebec as they made their way toward waiting troopships bound for Europe. In Sydney, Nova Scotia, sick American soldiers also disembarked from an infected American freighter en route from New Jersey to England and were treated in Canadian hospitals there and in Halifax.\textsuperscript{22}
Historians once believed that the flu’s primary vector was returning veterans, but with the war effort actually ramping up in Europe and the new threat of German submarines marauding off the Atlantic Seaboard, injured soldiers were not returning home that fall. In fact, the war effort was widening rather than waning. Earlier in the summer, Prime Minister Robert Borden had agreed to create a Canadian military force to go to Vladivostok, Russia, where it would assist forces loyal to the deposed Tsar in their
fight against the new Bolshevik government.\textsuperscript{23} The mobilization of this newly created Siberian Expeditionary Force (SEF) spread flu across the country.\textsuperscript{24} Just as influenza was beginning to cross the border, Canadian troops were assembling in Nova Scotia, New Brunswick, Quebec, and Ontario. Soon they boarded trains destined for Vancouver. When sick soldiers climbed into sealed trains packed to the roof with men, they entered a warm, crowded incubator. Whereas demobilizing veterans would have dispersed flu in a random pattern as they returned home to communities big and small across the country, the speedy and organized mobilization of the SEF ensured that the disease crossed the country in a matter of days, seeding crowded barracks and hospitals in all the major population centres from Halifax to Victoria.\textsuperscript{25}
On the morning of September 27, Special Siberian Troop Train 337 took on its first load of passengers at Sussex Camp, New Brunswick.\textsuperscript{26} That same morning, the first cases of flu were reported in the camp among soldiers who had brought extra supplies to the over-stretched military hospital at North Sydney. By the time the cars lurched into Montreal, some soldiers were already getting sick and had to be removed to a hospital in the city.\textsuperscript{27} The train also took on several new drafts of soldiers from a local barracks already infected with flu.\textsuperscript{28} As Special No. 337 rumbled onward across the country, sick soldiers were secretly removed to hospitals in Winnipeg and Regina in the dead of night.\textsuperscript{29} At 4:00 a.m. on the morning of October 2, the flu train pulled into downtown Calgary, where one officer and 11 other ranks were removed and sent to the Calgary Isolation Hospital. The assistant director, medical services for Military District No. 13 (Alberta), Lieutenant Colonel Chester Fish McGuffin, wired the director general of medical services, Guy Carleton Jones, asking for “any new suggestions regarding treatment.”\textsuperscript{30} None were forthcoming.\textsuperscript{31}
The mobilization of the SEF was accomplished largely in secret, as the publication of troop train movements had been banned by the Office of the Chief Press Censor in Ottawa.\textsuperscript{32} Nevertheless, dire reports from the east continued to stoke fears that the disease would inevitably spread west—even as it was already simmering in the military hospitals of Calgary. On October 3, the \textit{Redcliff Review} noted that Spanish flu was prevalent in many military camps in both eastern Canada and the United States. It warned readers that it was “of a serious type and when not properly taken care of it has, in many cases, proved fatal.”\textsuperscript{33} When flu arrived, the paper suggested that readers “keep feet and clothing dry; avoid crowds; protect your nose and mouth in the presence of sneezers; gargle your throat three times a day with a mild antiseptic, if only salt and water; don’t neglect a cold; keep as much as possible in the sunshine; [and] don’t get ‘scared.’”\textsuperscript{34} But it was difficult to remain calm. Frank Oliver’s \textit{Edmonton Bulletin} noted that the flu was killing thousands every day south of the border, and would eventually reach western Canada where it was expected to do the same.\textsuperscript{35} He argued, “on the principle that prevention is better than cure this is the time to mobilize the forces to resist the invader. So far as the public are concerned there is a total lack of information as to the cause and nature of the disease, the conditions which favor it, and the precautionary measures which may be employed . . . If there is any way of combating the disease by preventative measures, these should be officially explained and published widely and at once.”\textsuperscript{36}
Doctors had few weapons at their disposal. The ancient practices of quarantine and isolation might
be used to reduce or eliminate person-to-person transmission of the disease by erecting barriers between sick and healthy populations.\textsuperscript{37} Restrictions could also be placed on people’s movements, behaviours, and socio-economic activities, which might limit transmission of the disease once it reached a city or town. We now know that these non-pharmaceutical interventions could not prevent influenza, but would enable officials to control the epidemic by slowing down the transmission rate, thus reducing strain on public health resources. Across the United States and Canada, non-pharmaceutical interventions were employed with varying degrees of success. Epidemiological studies have shown that cities that were able to implement case reporting procedures, quarantine, and bans on public gatherings before the flu’s arrival had lower overall mortality. However, if non-pharmaceutical measures were employed only after the disease was already epidemic, they had little effect on death rates.\textsuperscript{38}
Unlike many Canadian provinces that had little in the way of a formal public health infrastructure, Alberta was well situated to organize a robust response to the crisis.\textsuperscript{39} In 1918 public health in the province was centrally managed by the Provincial Board of Health, which had been created by the Public Health Act of 1907; the provincial board, in turn, controlled regional health boards across the province.\textsuperscript{40} Staffing was limited and, in 1918, the provincial board consisted of a provincial medical officer of health, a sanitary engineer, and a bacteriologist who in turn oversaw the Provincial Laboratory.\textsuperscript{41} In the years before the First World War, provincial and local boards focused almost exclusively on improving sanitation in Alberta’s growing towns and cities, which amounted to inspecting pit privies and ensuring that “nuisances” were removed, while seeing that the food supply, especially milk, was secure from infection.\textsuperscript{42}
While these community problems were not neglected, the province’s growing immigrant population was often blamed for “importing” communicable diseases such as smallpox, typhoid, scarlet fever, or diphtheria.\textsuperscript{43} “We in the west find that the immigrants coming into that country, not from foreign countries alone, but frequently from the older provinces, arrive in a convalescent stage of disease,” read a typical prewar editorial. “They will go among their friends in the west and will say nothing about having been afflicted with disease, and the local authorities have no knowledge of the matter. What is the result? These people go among their friends and among children who attend the schools, and in a short time an epidemic breaks out. The number of deaths from diphtheria and scarlet fever in our western country, due to causes of this kind, is absolutely appalling.”\textsuperscript{44} Although there was little evidence to support such claims, the association between immigration and disease gave underlying nativist attitudes a scientific veneer, legitimizing fears of outsiders in a province undergoing an unprecedented period of growth and demographic change.\textsuperscript{45} The main weapons against disease in Alberta, and Canada more widely, had been a robust immigrant border inspection, strict quarantine procedures, and disinfection when communicable disease was discovered.\textsuperscript{46} As one historian has argued, an episodic, reactionary approach to public health and disease management prevailed across the country.\textsuperscript{47}
Few public health officials had experience managing outbreaks of influenza, as the last pandemic had been in 1889–90; it had also been much milder.\textsuperscript{48} Initially, advice had to be appropriated
from British and American sources closer to the epicentre of the outbreak on the east coast.\textsuperscript{49} On October 1, Cecil Mahood, medical officer of health for Calgary, told citizens that influenza began rapidly with a “sudden chill, headache, elevation of temperature, pains in various parts of the body, sore throat, herpes on lips, and prostration.”\textsuperscript{50} In many cases, he warned, it then progressed to pneumonia. Because flu was transmitted by secretions from the nose, mouth, and throat, he recommended that “affected individuals go home and to bed at once, and place themselves under care of a physician.” There they were to remain, in bed, until the symptoms subsided, lest pneumonia develop.\textsuperscript{51} Alberta’s health board met to discuss the crisis for the first time on October 4 and issued similar advice.\textsuperscript{52} Over the next few days “influenza warnings” were published in local newspapers across the province and posted in public places. Again, Albertans were implored: “Don’t Get ‘Scared.’”\textsuperscript{53}
At first, the official response—that is, the efforts of public health officials—centred exclusively on quarantine and isolation. On October 9, T.H. Whitelaw, the medical officer for health in Edmonton, suggested that the provincial board of health should declare flu a reportable disease, which would give him the power to enforce quarantines against those afflicted with the condition.\textsuperscript{54} The next day in Calgary, Mahood announced that he would not wait and would begin to order infected individuals to be isolated and quarantined immediately if discovered.\textsuperscript{55} As Janice Dickin points out, although this violated the Alberta Health Act, most physicians and officials in Calgary supported his actions.\textsuperscript{56} On October 14, the Alberta health board finally amended its regulations, but decided that flu should be a quarantinable rather than a reportable disease, to minimize panic.\textsuperscript{57}
As late as the end of the second week of October—10 days after the first cases of flu arrived in Calgary—public health officials were still discussing flu in the abstract, implying that it had yet to reach the province. Efforts to control the disease likewise focused on prevention through exclusion, rather than on developing the infrastructure necessary to manage an epidemic that was already underway. After a meeting of the provincial board of health on October 13, the minister of health, A.G. MacKay, announced a “sweeping program” designed to
prevent flu from reaching the province. Medical inspectors were hired and placed at every road or rail entry point along Alberta’s borders, and charged with inspecting travellers on entry into the province. Those whom inspectors determined to be sick were to be placed into isolation or denied entry, while those on through-bound trains were to be quarantined throughout their journey. If flu was detected in a town, that location was to be isolated and cordoned off from the outside world.\(^{58}\)
Oyen, Alberta, a small town about 150 kilometres north of Medicine Hat near the Saskatchewan border, was the first place to be quarantined. When flu erupted there, the provincial board immediately ordered all theatres, churches, schools, and businesses closed. The town was also placed under a broader quarantine with the board prohibiting the “egress of any person to, or ingress from, Oyen and other nearby places in which influenza exists.”\(^{59}\) On October 17, the entire city of Lethbridge too was placed under quarantine. “Provincial Health Department Takes Unexpected and Drastic Action,” read the headline in the *Lethbridge Herald*. “No one may enter or leave the city . . . From the date of the order which was first communicated to the CPR, the movement of passengers was prohibited and doors on trains passing through Lethbridge are locked before coming into Lethbridge and not unlocked until the train is out of the city limits.”\(^{60}\) Guards were also hired by the Royal North-West Mounted Police (RNWMP) to guard the road entrances to the city, blocking all vehicular and carriage traffic into or out of the city.\(^{61}\) Pincher Creek, Fort Macleod, and Taber were similarly quarantined in the south, as was Legal, north of Edmonton.\(^{62}\)
The Alberta Board of Health was the only public health authority in Canada to quarantine entire municipalities. Yet this drastic step soon proved impossible to enforce or maintain. For example, at Lethbridge, coal miners returning from the night shift found themselves unable to get home and unable to return to work. Farmers, ranchers, and businessmen who had been in the city overnight when quarantine was imposed were similarly unable to leave despite the pressing needs of the harvest, their livestock, and their families.\(^{63}\) The provincial board soon reversed course. Within 48 hours of being imposed, the quarantines were lifted, and, in their place, officials were dispatched to inspect incoming and outgoing passengers for flu. But while the citizens of Lethbridge complained about being quarantined, some towns actually imposed their own forms of isolation. The town of Irma, roughly 30 kilometres west of Wainwright, instituted its own quarantine on October 25 “to take steps to prevent the induction [sic] of the disease into the community from outside points by stopping travellers both by train and car from alighting here and in restricting the mixing of people in the community as far as possible without stopping business.”\(^{64}\)
Bans on public gatherings and institutional closures were some of the most commonly implemented non-pharmaceutical interventions across Canada. On October 10, for example, the newspapers reported that all schools, churches, and theatres had been ordered closed in New Brunswick.\(^{65}\) Winnipeg banned all public gatherings two days later, while Toronto outlawed meetings until the middle of November.\(^{66}\) However, public health officials, worried about restricting commerce or still convinced that flu was primarily confined to the eastern parts of the country, remained reluctant to do so in Alberta long after officials in both British Columbia and Saskatchewan had taken similar steps. “There
is no need of closing the theatres in Calgary because of the Spanish Influenza epidemic which is raging in eastern Canada so long as . . . precautions are taken,” Mahood told the newspapers in mid-October. As Oral Cloakney, the manager of the Allen theatre, reported, this meant washing the premises with carbolic acid every night as one might have cleaned a contemporary operating room. “Some of our patrons complain of the carbolic odor, but we are not going to take any chances,” he said. “There is not a home in the city of Calgary where one may feel as immune as in Calgary theatres.” Mahood agreed, assuring Calgarians that the city’s “theatres are probably the healthiest place in the city as a result—far healthier than the average business house.” Both Edmonton and Calgary waited until October 18—more than two weeks after the first cases arrived in the city—to order theatres, dance halls, public libraries, and poolrooms to close.
Public closures caused significant disruption to not only commerce and patterns of social interaction but also to the spiritual lives of Alberta’s terrified communities. In Irma, Pastor C.G. Hockin acknowledged that the severity of the flu outbreak necessitated closing the churches, which placed responsibility for religious observance on the family. “The first teachers of life and truth in every family are the parents and in a time of pestilence they are given more responsibility than commonly falls to their lot in the modern civilization,” he told his flock via the local paper. “This includes a deeper religious interest. We would like to suggest that the family become the worship unit during the time of our danger. Make the family altar to be the place
where all are found at the hour when public worship would be called and let us hear God’s Word in our homes and with boldness make our requests unto the Almighty.”\textsuperscript{69} Families were not only left to worship together but also to bury their dead. In isolated communities across the province, family units dissolved in the face of disease and further suffered because of the absence of normal, rural community supports for the survivors. In the district of Athabasca, it was reported that “a lad of fifteen is seen digging behind the house, he is asked what he is doing, his answer is that he is burying the dead, asked who was dead, his answer is, father, mother, brother and sister.”\textsuperscript{70}
By the time churches were shut, quarantine had clearly failed to stem the tide of flu’s advance. Once it failed, the Alberta Board of Health sought to control the further spread of the disease by ordering all citizens to wear masks over their mouths and noses when they left their homes, providing instructions on how each might manufacture his or her own version from readily available supplies.\textsuperscript{71} “These masks are made of cheese cloth,” reported the \textit{Redcliff Review}, “sixteen by eight inches, which are twice doubled alternatively until they are finally eight by four inches in size, and are then tied over the nose and mouth with cord.”\textsuperscript{72} Many refused to wear them. As Janice Dickin has noted, some complained to the newspapers that they were grotesque, depressing, and even dangerous.\textsuperscript{73} Besides being unpopular, the regulation was difficult to enforce. During the first
The Armistice Day Parade, on 11 November 1918, took place on Jasper Avenue in Edmonton in spite of the flu epidemic but some people wore masks. McDermid Studio. City of Edmonton Archives, EA-10-655.
few days when the order was in effect, 30 summonses were issued to Edmonton men who refused to comply.\textsuperscript{74} When pressed to explain their actions, some claimed that they could not smoke while wearing a mask, while others said that they had no money to buy the necessary materials; one man told a judge “that if the city wanted him to wear one it would have to buy him one.”\textsuperscript{75} Even some physicians refused to partake in the precautions. The \textit{Bulletin} reported
“How to make [an] influenza mask.” 21 October 1918. Provincial Archives of Alberta, A13187.
that “one doctor who was going about maskless [sic] told the [medical] officer [of health] that he did not need any and drove on.”\textsuperscript{76} When A.G. MacKay visited Calgary, he too complained to Mahood that only about 20 percent of the population seemed to be wearing their masks as required.\textsuperscript{77} But Mahood himself refused to enforce the provincial regulation because he felt that it was a “fruitless endeavour,” insisting that his efforts were better focused on implementing other forms of protective measures.\textsuperscript{78} Even when “offenders” were arrested and brought before the local court, it was frequently pointed out that those present to hear the cases—including the judges—were not actually wearing the masks themselves as proscribed by the province. Most offenders ultimately escaped with a warning.\textsuperscript{79}
For many physicians, quarantines and masks seemed to be relics from another era of less scientific medicine. Ever since Louis Pasteur demonstrated the effectiveness of his artificial rabies vaccine in 1885, medical researchers had looked to the laboratory to inoculate the vulnerable against illness.\textsuperscript{80} After all, in the absence of the “magic bullet” antibiotics would later provide, few diseases could actually be cured; prevention was thus the best medicine.\textsuperscript{81} In 1918, many doctors hoped to develop a vaccine that would reduce morbidity and mortality from flu, as had been done against smallpox, rabies, and a host of other diseases. We now know that influenza is a viral infection, but in 1918 most medical professionals believed that it was caused by Pfeiffer’s bacillus—based largely on erroneous research conducted in German laboratories during the previous pandemic of 1889–90.\textsuperscript{82} This presented the possibility that a serum could be developed using a weakened form of the bacteria to confer at least a degree of immunity on healthy people.\textsuperscript{83}
During the fall of 1918, vaccines were prepared across North America containing a potpourri of dead bacteria—and probably live copies of the virus—drawn from the noses and throats of flu sufferers.\(^{84}\) In Manitoba and Ontario, thousands of doses of vaccine were issued.\(^{85}\) In Alberta, too, Dr. Heber Jamieson, the provincial bacteriologist and head of the Provincial Laboratory in Edmonton, developed his own version of an American vaccine first prepared in New York.\(^{86}\) However, the first 1,000 doses were not ready until November 1, when the epidemic was already reaching its height. Even so, it would have had little effect—and may actually have been harmful—because it was designed to inoculate against a bacterial rather than a viral infection. Even at the time, many physicians were skeptical about the usefulness of vaccines against flu. “Since we are uncertain of the primary cause of influenza,” read a dispatch from the Royal College of Physicians in London, and printed in the *Edmonton Bulletin* on 12 December 1918, “no form of inoculation can be guaranteed to protect against the disease itself. From what we know as to the lack of enduring protection after an attack, it might in any case be assumed that no vaccine could protect for more than a short period.”\(^{87}\)
The development and distribution of dubious vaccines spoke to the provincial health board’s growing sense of desperation. By the middle of the third week of October, it was becoming clear that far more people were getting sick than official case reports suggested; the authorities had lost control of the situation. Rumours swirled that there was a severe epidemic at Drumheller, where two-thirds of the population were said to be sick; death notices began to fill the pages of local papers. Yet officially published numbers suggested that the epidemic was still limited in scope. The public seemed to be losing confidence. The provincial board suspected that compliance with the suggested procedures was low because the reporting of influenza cases was still voluntary. On October 25, the flu was thus made a reportable disease. This required all physicians across the province to give the patient’s name, sex, age, and address for any case of influenza, or pneumonia, as well as report on any deaths.\(^{88}\) Case reports immediately began to pour in from across towns and cities.
By the end of October, Albertans were dying by the hundreds. Some of the most tragic cases were those of conscripted soldiers, who died alone and far from home. Thirty-three-year-old Private Joseph M. of Nanaimo, British Columbia, was drafted in June 1918 and sent to Calgary for training. He was admitted to the Edmonton isolation hospital on 23 October 1918 suffering from a cough, pain in the chest, headache, constipation, and low fever. The next day, his temperature had risen to 104° and his symptoms worsened. By the 27th, his doctor reported evidence of broncho-pneumonia, and the next day his fever was 105°. M. died on the night of October 30 and was buried far from his family in Mount Pleasant Cemetery. Caregivers could usually anticipate death in cases of Spanish flu by the appearance of a peculiar heliotrope cyanosis, a brief dip and then spike in temperature, and the quickening of pulse and respiration. Unfortunately, there was almost nothing that could be done to save victims when the disease progressed to broncho-pneumonia.\(^{89}\)
As public health officials came to grasp the enormity of the crisis, the official response shifted from prevention to treatment. At first, flu victims had been encouraged to remain at home in bed. But such directives were most easily followed by those from the middle and upper classes, who could afford
a private doctor or nurse, not to mention the luxury of taking a voluntary hiatus from work, as well as extra fuel for the fire. For the working class, living in crowded conditions in the slums of Edmonton or Calgary, medical assistance was usually unaffordable, and isolation and privacy not possible. Failure to attend work, too, carried a significant risk of dismissal and increased financial hardship. Farming families would also have had a difficult time following the health board’s advice. The onset of the epidemic coincided with the final weeks of the harvest. Even if the wheat crop was in, household chores still had to be performed and members of farm families who became ill could no more confine themselves to bed rest than could wage workers in the cities. Prescriptions for bed rest and isolation were, thus, ideal remedies that were unrealistic for all but a few Albertans.\textsuperscript{90}
Soon, though, it became clear that travellers, soldiers, and the poor had few options but to seek care in the province’s hospitals.\textsuperscript{91} By the 25th, the wards in Edmonton and Calgary were crowded with victims. Public health officials looked to commandeer public buildings to create makeshift flu wards. In Edmonton, Whitelaw took over the University of Alberta’s Pembina Hall as a flu hospital, providing beds for 150 patients.\textsuperscript{92} Halls and schools across the province were similarly appropriated, usually staffed with volunteers who ran soup kitchens and changed bedding for those unable to care for themselves.\textsuperscript{93}
As public health efforts shifted from prevention to treatment, the role of physicians faded into the background. Although members of the medical profession volunteered their expertise, there was little they could do to treat flu.\textsuperscript{94} While physicians might prescribe stimulants or sedatives, these had little effect. The most useful treatments consisted of bed rest and nursing care. In this respect, both professional female nurses and volunteers now took the lead role in managing the crisis at the level of home and community. Nurses had, in fact, been preparing to minister to the needs of the community long before public health officials abandoned quarantine efforts. On October 15, the Graduate Nurses Association held the first of several emergency meetings to “devise ways and means of coping with the malady if necessary and to do the best that could be done under the circumstance.”\textsuperscript{95} Lists of trained nurses were prepared should the need arise to call on their services.
Nurses had played an important but often overlooked role in the provision of care even in normal times.\textsuperscript{96} Usually confined to hospitals or private residences, there were relatively few professionally trained nurses in Alberta—many had also chosen to go overseas by 1918. Despite early preparations, by October 19 the city of Edmonton was already in the midst of a nursing shortage, forcing Whitelaw to close the city’s only isolation hospital to new admissions.\textsuperscript{97} The next day, provincial bacteriologist Heber Jamieson told the \textit{Bulletin} that the “scarcity of nursing talent was becoming a serious embarrassment,” in part because many wealthy families were employing their own private nurses “to the exclusion of those who had not” the means to pay. “It was not fair,” he said, and announced plans to require employers to allow private nurses to service the entire community rather than individual families.\textsuperscript{98}
On October 25, Whitelaw announced that the city would be divided into districts to better facilitate management of care.\textsuperscript{99} Each district would be placed under the supervision of a graduate nurse appointed by the province. These professionally trained sisters would be responsible for managing cases within
their ward, visiting families in need and arranging assistance as necessary. Each graduate nurse would work out of a school commandeered for the purpose where volunteers and Volunteer Aid Detachment (VAD) nurses would be trained to provide home care for the sick.\textsuperscript{100} The decision to organize care by district around the nucleus provided by professional nurses rather than physicians also called on these professional women to take on the traditionally male tasks of hospital organization and administration. Not only were nurses asked to go into the homes of the sick but also to manage care, reporting directly to the provincial board of health, bypassing local medical professionals.\textsuperscript{101}
As Linda Quiney argues, VAD service provided women with a “unique opportunity for an active part in the war effort, not available to women through any other form of voluntary patriotic work.”\textsuperscript{102} Voluntary service during the pandemic was also extremely dangerous. In Edmonton, Christina Frederickson was one of the first nurses of many to die in the pandemic. As the \textit{Edmonton Bulletin} reported, Ms. Frederickson had “volunteered when the soldiers of the Siberian forces were taken from a troop train some days since suffering from the influenza and placed in the isolation hospital to assist in nursing them, and she had been steadily at work with little respite up to the time that she herself became infected with the disease.”\textsuperscript{103} It may have been hazardous work, but that did not tend to discourage volunteers. As one nurse said, “It is dangerous—undoubtedly. So is overseas service; yet that did not hinder enlisting to any large extent. It would be better to have the ’flu [sic] than to carry through life the uneasy feeling that by your indifference you allowed some other woman to die.”\textsuperscript{104}
While graduate nurses such as Frederickson organized and managed treatment networks across
the province, female volunteers—many of them teenagers and young adults—were responsible for administering to the sick on a daily basis.\textsuperscript{105} In 1918, providing basic necessities such as food, heat, and water required a significant amount of effort, often beyond the ability of the stricken. Water had to be pumped, sometimes from an outdoor well a good distance from the house. Fresh food had to be bought and prepared. Sick families across the province were thus in desperate need of assistance. “Volunteers are wanted to give a hand in certain homes,” implored the \textit{Edmonton Bulletin}. They “are needed to look after babies and children in homes where there is sickness—an opportunity for girls. The furnaces and stoves have to be looked after—ashes taken out, coal and wood to be got in. Play the game, boys. There’s work for everybody.”\textsuperscript{106} The situation was most acute in the rural parts of the province where there were neither graduate nurses nor doctors to organize care. MacKay told rural Albertans that they “must realize that they cannot depend upon receiving trained nurses; that the local men and women must organize and under the instruction and direction of the local doctors they must give what assistance they can.”\textsuperscript{107}
As Esyllt Jones found in her study of Winnipeg’s response to the pandemic, the flu was truly a community disease that could only be contained through a cooperative effort.\textsuperscript{108} Unlike previous outbreaks of illness that were blamed on outsiders and immigrants, the 1918 flu proved the ineffectiveness of prophylactic interventions aimed at specific ethnic minorities and, instead, emphasized the importance of community cooperation.\textsuperscript{109} In part, this shift in attitude can be attributed to the work of middle-class female volunteers, who came into contact with the sufferings and daily hardships of the working class for the first time in a meaningful way during the pandemic. Care instructions necessitated a close and sustained period of contact between the sick and their nurses. Caregivers were instructed that fresh air and bed rest were the most important elements of care, while nourishing food and water were to be given at regular intervals. Bed rest was to be so complete that patients were not even to leave their beds to go to the bathroom but were instead to use bedpans that had to be emptied. Patients might be given an antiseptic mouthwash every few hours, and their bedclothes had to be changed and washed, but few other interventions were possible. As Jones has argued, this routine, which might last a week or more, created an unheard-of level of intimacy between members of different social worlds.\textsuperscript{110}
In Alberta, as elsewhere, it was the poorest members of society who suffered most during the epidemic. When Edmonton volunteers went door to door, they found families living in squalid conditions in the city’s slums. One family of six was said to have been living in a $10 \times 12$-foot shack with only one window and a door.\textsuperscript{111} Throughout the crisis, the family had to sleep in the same bed where the mother and her infant child died.\textsuperscript{112} One VAD nurse reported that she had only discovered another fatal victim of flu when two small girls approached her in the street to say that they needed help because they could not wake up their mother.\textsuperscript{113} In response to this heart-wrenching story, one Albertan wrote to the \textit{Bulletin}: “Surely our health organization is not in such a wretched state that fatal cases have to be reported in this sad manner. If so, it is an everlasting disgrace to our city authorities and board of health . . . surely there are enough Christian-spirited people left outside of our overworked nurses and volunteers who would be glad to learn what aid they could rather give than leave the sick to die unattended. If there
are not such we had better lock our church doors and stop playing at Christianity, and continue to live and die as the heathen.”\textsuperscript{114}
As with the working class in Alberta’s slums, Aboriginal groups suffered a disproportionately higher level of mortality from flu, both in the province and across the country.\textsuperscript{115} A Department of Indian Affairs report compiled in 1919 puts the death toll among Aboriginal peoples living on reserves in Canada at 3,694 out of a total population of about 106,000, suggesting an influenza mortality rate of 34.85 per thousand—more than five times the national average for non-Aboriginal Canadians.\textsuperscript{116} In Alberta the mortality rate for flu among Aboriginal groups was much higher than the national average, at 53.8 per 1,000 (see table below). The squalid living conditions on many reserves—where Aboriginal people had been forced into inadequate housing provided by the Department of Indian Affairs, where many suffered from malnutrition, and where tuberculosis and other diseases were already in wide circulation—made victims more susceptible.\textsuperscript{117} In the Treaty 8 territory of northern Alberta, RNWMP inspectors feared the worst when reports of flu began to trickle in to the north. K.F. Anderson of the Peace River Detachment wrote to R. Field, the commanding officer of N Division, requesting permission to take medicines to “fight the Spanish Influenza” to the people living in the vicinity of Great Slave Lake, as he feared that “if it should get amongst the Natives, most of whom are suffering from pulmonary disease . . . it will commit wide and general destruction.”\textsuperscript{118} When flu came, 11 percent of the Aboriginal population in Treaty 8 territory alone succumbed to the disease.\textsuperscript{119}
On 1 December 1918, a University of Alberta Public Health student named Frank Fish filed a report with RNWMP headquarters in Edmonton accusing the Department of Indian Affairs of neglecting the health of the people on the Hobbema agency. Fish had gone there after hearing that many of the Cree people in the agency were suffering from both influenza and smallpox. “I might say that the housing conditions on the Reserve are not of the best,” he wrote in an affidavit filed with the RNWMP. “In fact in many cases I found as many as eight or nine adults living in a one roomed shack which in all cases were absolutely devoid of ventilation . . . I found in many cases, that the families were without food and had gone to relatives or friends in the hope of getting nourishment. In many cases, also, I was asked to inform the [Indian] Agent of the condition of the people with regard to the lack of food.”\textsuperscript{120} A subsequent RNWMP investigation revealed that the Indian agent had been placing families infected with smallpox in quarantine and then refusing to feed them, forcing the victims to secretly visit friends and family at night to obtain something to eat. “There is no question,” read Staff Sergeant Fyffe’s report, “that the Official[s] on the Reserve at the present time have no idea whatever as to the number of Indians suffering from smallpox, and apparently very little has been done by them to find out, if the indian [sic] dose [sic] not report it themselves, and as far as I could learn the Indians hide the fact that they have smallpox, as the [sic] say they would be quarantine and would get no food.”\textsuperscript{121} Over the next few months, the situation improved little, although food and medicine were eventually brought in by the RNWMP. At Hobbema, the combination of smallpox and flu drove the death rate from flu alone above 120 per 1,000, meaning that it killed roughly 12 percent of the population of Hobbema.\textsuperscript{122}
Whereas previous epidemics had devastated Aboriginal groups but had little effect on the
European settler population, the 1918 influenza pandemic struck across ethnic boundaries—even though Aboriginal groups still suffered disproportionately due to the legacies of Canada’s colonial policies. The 1918 flu was a community disease that necessitated collective action. When the second wave of flu finally crested in late November and rolled back through December, more than 31,000 Albertans had officially been listed as sick—although the real number was probably at least three times as high. A total of 3,259 people died of the disease in 1918. That winter, there were a further 7,185 cases and 1,049 deaths.\(^{123}\)
To summarize, the official response in Alberta to the Spanish flu epidemic was both paradoxical and lurching. The initial prophylactic measures taken by public health authorities to guard against flu followed established patterns of quarantine and isolation, reflecting a stubborn belief that despite the appearance of a few military cases at the beginning of the month of October, flu could be halted so long as outsiders were prevented from bringing the disease into the province. Strong but unenforceable measures such as municipal quarantine were precipitously proposed and adopted while more realistic and pragmatic steps like school closures...
were avoided until well after the disease was already in wide circulation.
In part, this approach reflected the lingering dominance of the old quarantine practices that had been used to guard Canadians from disease since the age of cholera. When Albertans looked for a scapegoat to blame, though, this time it was not immigrants or outsiders but public health officials who had made false promises of safety. “Flu is a communicable and therefore quarantinable disease,” argued Frank Oliver on the editorial page of the *Edmonton Bulletin*. “The Dominion government have sole authority to enforce quarantine. They did not establish quarantine. They took no notice of the fact that there was an epidemic spreading over the world.”\(^{124}\) In another editorial, Oliver elaborated. “When the menace appeared,” he wrote,
had the Dominion authorities through the war railway board, taken charge of all arrivals at ocean ports and entry ports along the boundary, and subjected them to the inconvenience of two or three days in quarantine, there is every reason to suppose that the disease could not have got past the borders; certainly it could not have attained the proportions of a nation-wide epidemic . . . Certainly there is no excuse for the Government having made no attempt whatever to keep it out. Is human life of no account in Canada?\(^{125}\)
But the ultimate lesson of the pandemic was that quarantine alone was not sufficient protection and that, so long as the seeds of disease found fertile soil among the poor and colonized, epidemics would be unstoppable. As prophylaxis failed and the attention of public health authorities turned to managing treatment efforts, the entire community was, for the first time, called upon to take responsibility for protecting public health by assisting the less fortunate. It was during the pandemic that Albertans, and Canadians in general, began to see health as a community rather than an individual concern. Flu’s lasting legacy was the recognition of this central tenet of modern public health policy: health can only be protected through the cooperation and with the consent of all members of the community.
**Notes**
This paper is based on a combination of new research as well as research published in Mark Osborne Humphries, *The Last Plague: Spanish Influenza and the Politics of Public Health in Canada* (Toronto: University of Toronto Press, 2013).
1 1901 Census of Canada, RG 31, Reel T-6549, District 200, Sub district C, Division 1, Family 7, 1, Library and Archives Canada (LAC). According to Eric Sager’s research, this would place John W. in the lowest 20 percent of wage earners. Eric Sager, “The National Sample of the 1901 Census of Canada: A New Source for the Study of the Working Class,” unpublished paper presented at the Social Science History Conference, 16–19 March 1998, web.uvic.ca/hrd/cfp/publications/Eric%20W.%20Sager.pdf, retrieved 2 October 2013; Gerald Friesen, *The Canadian Prairies: A History* (Toronto: University of Toronto Press, 1987), 250–55.
2 Particulars of a Recruit Drafted Under Military Service Act, 1917, Personnel File Andrew Robert W., RG 150, Accession 1992–93, vol. 10433, file 57, LAC.
3 On perceptions of war in the West, see John Herd Thompson, *The Harvests of War: The Prairie West, 1914–1918* (Toronto: McClelland and Stewart, 1978). On enlistment in the province, see C.A. Sharpe, “Enlistment in the Canadian Expeditionary Force,
1914–1918: A Regional Analysis,” *Journal of Canadian Studies* 18, no. 3 (1983): 15–29, esp. 20–22.
4 1916 Census of Manitoba, Saskatchewan, and Alberta, RG 31, Reel T-21951, Alberta, Edmonton West, 25, 15, Family 212, Line 2, LAC.
5 J.L. Granatstein and J.M. Hitsman, *Broken Promises: A History of Conscription in Canada* (Oxford, UK: Oxford University Press, 1977), 75–77. For an examination of farmer’s responses in Ontario, see W.R. Young, “Conscription, Rural De-Population, and the Farmers of Ontario, 1917–19,” *Canadian Historical Review* 53, no. 3 (September 1972): 289–320.
6 Service Card, Personnel File Andrew Robert W., RG 150, Accession 1992–93, vol. 10433, file 57, LAC.
7 Peter Wilton, “Spanish Flu Outdid WWI in Number of Lives Claimed,” *Canadian Medical Association Journal* 148, no. 11 (1993): 2036–40.
8 There were approximately 3,300 excess deaths in the province in 1918–19. Mark Osborne Humphries, *The Last Plague: Spanish Influenza and the Politics of Public Health in Canada* (Toronto: University of Toronto Press, 2013), 106.
9 Records of a Court of Inquiry, Statements of Evidence, Personnel File Andrew Robert W., RG 150, Accession 1992–93, vol. 10433, file 57, LAC.
10 Report re Death of # [redacted], RG 150, Accession 1992–93, vol. 10433, file 57, LAC.
11 Personnel File of Major H.C. Nyblett, RG 150, Accession 1992–93/166, box 7390, file 40, LAC; Records of a Court of Inquiry, Statements of Evidence, Personnel File Andrew Robert W., RG 150, Accession 1992–93, vol. 10433, file 57, LAC.
12 Records of a Court of Inquiry, Statements of Evidence, Personnel File Andrew Robert W., RG 150, Accession 1992–93, vol. 10433, file 57, LAC.
13 For an overview of the historiography, see Guy Beiner, “Out in the Cold and Back: New-Found Interest in the Great Flu,” *Cultural and Social History* 3, no. 4 (2006): 496–505; and Howard Phillips, “The Re-Appearing Shadow of 1918: Trends in the Historiography of the 1918–19 Influenza Pandemic,” *Canadian Bulletin of Medical History* 21, no. 1 (2004): 121–34. For a general introduction to the pandemic in Canada, see Humphries, *The Last Plague*; as well as Janice P. Dickin McGinnis, “The Impact of Epidemic Influenza: Canada, 1918–1919,” in *Medicine in Canadian Society: Historical Perspectives*, edited by S.E.D. Shortt (Montreal and Kingston: McGill-Queen’s University Press, 1981), 471–83; Janice P. Dickin McGinnis, “The Impact of Epidemic Influenza, 1918–19,” *Historical Papers* (1977): 120–41. Although somewhat dated, Eileen Pettigrew’s *Silent Enemy: Canada and the Deadly Flu of 1918* (Regina: Western Producer Prairie Books, 1983) is still useful, especially for firsthand accounts of the crisis.
14 Humphries, *The Last Plague*, 3–4.
15 Mark Osborne Humphries, “Paths of Infection: The First World War and the Origins of the 1918 Influenza Pandemic,” *War in History* 21, no. 2 (2014): 55–81.
16 Alfred Crosby, *America’s Forgotten Pandemic: The Influenza of 1918* (New York: Cambridge University Press, 1989), 37–39.
17 Niall P.A.S. Johnson and Juergen Mueller, “Updating Accounts: Global Mortality of the 1918–1920 ‘Spanish’ Influenza Pandemic,” *Bulletin of the History of Medicine* 76 (2002): 105–15.
18 Michael T. Osterholm, “Preparing for the Next Pandemic,” *The New England Journal of Medicine* 352, no. 18 (5 May 2005): 1839–42; for a broader introduction to cytokine storms, see Jennifer R. Tisoncik et al., “Into the Eye of the Cytokine Storm,” *Microbiology and Molecular Biology Reviews* 77, no. 3 (September 2013), http://mmbr.asm.org/content/76/1/16.full.
19 The most complete regional study is Esyllt Jones, *Influenza, 1918: Disease, Death, and Struggle in Winnipeg* (Toronto: University of Toronto Press, 2007). See also Ann Herring, ed., *Anatomy of a Pandemic: The 1918 Influenza in Hamilton* (Hamilton: Allegra Press, 2006); Niall P.A.S. Johnson, “Pandemic Influenza: An Analysis of the Spread of Influenza in Kitchener, October 1918” (MA thesis, Wilfrid Laurier University, 1993); Maureen K. Lux, “‘The Bitter Flats’: The 1918
Influenza Epidemic in Saskatchewan,” *Saskatchewan History* (Spring 1997): 3–13; Maureen K. Lux, “The Impact of the Spanish Influenza Pandemic in Saskatchewan, 1918–1919” (MA thesis, University of Saskatchewan, 1989); Denise Rioux, “La grippe espagnole à Sherbrooke et dans les Cantons de l’Est” (Sherbrooke, QC: Études supérieures en histoire, Université de Sherbrooke, 1993); D. Ann Herring, “‘There Were Young People and Old People and Babies Dying Every Week’: The 1918–1919 Influenza Pandemic at Norway House,” *Ethnohistory* 41, no. 1 (1994): 73–105.
20 “Influenza Takes Heavy Toll in New England,” *Edmonton Bulletin*, 18 September 1918, 2.
21 “Epidemic in Three US Army Camps,” *Edmonton Bulletin*, 19 September 1918, 6.
22 Mark Osborne Humphries, “The Horror at Home: The Canadian Military and the ‘Great’ Influenza Pandemic of 1918,” *Journal of the Canadian Historical Association* 16 (2005): 241–47.
23 On the SEF, see Benjamin Isitt, *From Victoria to Vladivostok: Canada’s Siberian Expedition, 1917–19* (Vancouver: UBC Press, 2010).
24 See Dickin McGinnis, “The Impact of Epidemic Influenza, 1918–19,” 120–41; Janice P. Dickin McGinnis, “A City Faces an Epidemic,” *Alberta History* 24, no. 4 (1976): 1–11; a more recent example is David Bright, “1919: A Year of Extraordinary Difficulty,” in *Alberta Formed, Alberta Transformed*, edited by Donald Wetherell, Catherine Cavanaugh, and Michael Payne (Edmonton: University of Alberta Press, 2005), 420–22.
25 Humphries, “The Horror at Home,” 248–53.
26 War Diary (WD), Assistant Director, Medical Services (ADMS), Military District (MD) 7, 28 September 1918, RG 9, vol. 5063, file 978, Part I, LAC.
27 District Records Officer (DRO), MD 4 to DRO MD 7, 7 November 1918 and Memorandum DRO, MD 7 to ADMS MD 7, 27 November 1918, RG 24, vol. 4574, file 3–9–47, vol. 1, LAC.
28 WD, ADMS, MD 4, 29 September 1918, RG 9, vol. 5061, file 976, Part I, LAC.
29 Humphries, “The Horror at Home,” 253–54.
30 ADMS MD 13 to Director General, Medical Services (DGMS), 2 October 1918, RG 24, vol. 1992, file HQ-762–11–15, LAC.
31 Janice P. Dickin McGinnis paints a similar picture, although she suggests that these soldiers were returning veterans because they were reported as such in the local papers. See Dickin McGinnis, “A City Faces an Epidemic,” 1.
32 RG 6, Reel c-5863, file NSC 1029–6–24, LAC. On wartime censorship in general, see Jeff Keshen, *Propaganda and Censorship during Canada’s Great War* (Edmonton: University of Athabasca Press, 1996), especially chapters 3 to 6.
33 “Precautions,” *Redcliff Review*, 3 October 1918, 2.
34 Ibid. Identical notices, likely derived from American wire services, were printed in the *Chinook Advance* on the same day.
35 “Time to Take Precautions,” *Edmonton Bulletin*, 3 October 1918, 7.
36 Ibid.
37 Heather MacDougall, “Toronto’s Health Department in Action: Influenza in 1918 and SARS in 2003,” *Journal of the History of Medicine and Allied Sciences* 62, no. 1 (2007): 89.
38 Howard Markel et al., “Non-Pharmaceutical Interventions Implemented by US Cities during the 1918–1919 Influenza Pandemic,” *Journal of the American Medical Association* 298 (2007): 644–54; S. Zhang, P. Yan, B. Winchester, and J. Wang, “Transmissibility of the 1918 Pandemic Influenza in Montreal and Winnipeg of Canada,” *Influenza and Other Respiratory Viruses* 4, no. 1 (January 2010): 27–31; Lisa Sattenspiel and D. Ann Herring, “Simulating the Effect of Quarantine on the Spread of the 1918–19 Flu in Central Canada,” *Bulletin of Mathematical Biology* 65, no. 1 (2006): 1–26.
39 Humphries, *The Last Plague*, 109–11.
40 Adelaide Schartner, *Health Units of Alberta* (Edmonton: Health Unit Association of Alberta/Co-Op Press, 1982), 22–24.
41 Ibid., 22.
42 Ibid., 22–23.
43 Ibid., 23–24.
44 “Dominion Board of Health,” *Edmonton Bulletin*, 24 February 1908, 4. For examples, see “Immigrants from US Spread Smallpox,” *Edmonton Capital*, 5 August 1910, 1; “Smallpox on the Increase,” *Taber Free Press*, 28 May 1908, 4; “Immigrants Should Not Stay in Cities,” *Edmonton Bulletin*, 4 April 1914, 6.
45 Alan M. Kraut, *Silent Travelers: Germs, Genes, and the “Immigrant Menace”* (Baltimore, MD: Johns Hopkins University Press, 1994), 5–7.
46 “Dominion Board of Health,” *Edmonton Bulletin*, 24 February 1908, 4. On the development of quarantine, see Humphries, *The Last Plague*.
47 Jane E. Jenkins, “Baptism of Fire: New Brunswick’s Public Health Movement and the 1918 Influenza Epidemic,” *Canadian Bulletin of Medical History* 24, no. 2 (2007): 322–26.
48 On the earlier pandemic, see F.B. Smith, “The Russian Influenza in the United Kingdom, 1889–1894,” *Social History of Medicine* 8, no. 1 (1995): 55–73; and Mark Honigsbaum, “The Great Dread: Cultural and Psychological Impacts and Responses to the ‘Russian’ Influenza in the United Kingdom, 1889–1893,” *Social History of Medicine* 23, no. 2 (2010): 299–319. A brief overview of the Canadian experience is provided in Humphries, *The Last Plague*, 58–67.
49 A similar struggle took place in British Columbia, Saskatchewan, Manitoba, and Ontario. See Margaret W. Andrews, “Epidemic and Public Health: Influenza in Vancouver, 1918–1919,” *BC Studies* 34 (Summer 1977): 30; Lux, “The Bitter Flats,” 9; Jones, *Influenza, 1918*, 43; Province of Ontario, *The Report of the Provincial Board of Health, 1918* (Toronto: Government of Ontario, 1919).
50 “Fifteen Spanish Influenza Cases Come to Calgary,” *Calgary Herald*, 2 October 1918, 10; for the verbatim text of Mahood’s release, see “Spanish ’Flu Has Reached the Province,” *Edmonton Bulletin*, 4 October 1918, 12.
51 “Spanish ’Flu Has Reached the Province,” 12.
52 “Health Board Meets to Combat Disease,” *Edmonton Bulletin*, 5 October 1918, 3. For the full verbatim text, see “Information on Spanish Influenza,” *Claresholm Review-Advertiser*, 11 October 1918, 1.
53 For example, see “Influenza Warning,” *Bow Island Review*, 11 October 1918, 1.
54 “Wants Influenza to be Declared Reportable Now,” *Edmonton Bulletin*, 9 October 1918, 3.
55 “Health Act Does Not Quarantine Influenza Cases,” *Calgary Herald*, 10 October 1918, 9.
56 Janice Dickin, “Pale Horse/Pale History? Revisiting Calgary’s Experience of the Spanish Influenza, 1918–19,” in *Harm’s Way: Disasters in Western Canada*, edited by Anthony Rasporich and Max Foran (Calgary: University of Calgary Press, 2004), 47.
57 “Spanish Influenza Subject to Modified Quarantine,” *Edmonton Bulletin*, 14 October 1918, 3.
58 “Sweeping Program of Train Inspection Adopted for Keeping ’Flu Epidemic from Province,” *Edmonton Bulletin*, 16 October 1918, 1.
59 “Spanish Flu Visits Oyen,” *Oyen News*, 16 October 1918, 1.
60 “Lethbridge Is Now Under Quarantine,” *Lethbridge Daily Herald*, 18 October 1918, 1.
61 Ibid.
62 Ibid.
63 “Will Lift ’Flu Ban on City This Afternoon,” *Lethbridge Daily Herald*, 19 October 1918, 1, 4.
64 “Steps Taken to Protect Town Against ’Flu,” *Irma Times*, 25 October 1918, 1.
65 “New Brunswick Schools, Churches, Theatres Closed,” *Edmonton Bulletin*, 10 October 1918, 1.
66 “Suspend Public Gatherings in Winnipeg,” *Edmonton Bulletin*, 12 October 1918, 1; “Toronto Conventions Banned for Month,” *Edmonton Bulletin*, 12 October 1918, 11.
67 “Dr. Mahood Says No Need to Close Theatres,” *Claresholm Review-Advertiser*, 18 October 1918, 8.
68 “City Theatres, Dance Halls, Libraries and Public Rooms Closed,” *Calgary Herald*, 18 October 1918, 1.
69 “Church Notice,” *Irma Times*, 25 October 1918, 8.
“Found Boy Digging Graves,” *Edmonton Bulletin*, 14 November 1918, 3.
“One More Day Before Masks Obligatory,” *Edmonton Bulletin*, 24 October 1918, 1.
“Must Wear Mask Now When Travelling,” *Redcliff Review*, 24 October 1918, 1.
Dickin McGinnis, “A City Faces an Epidemic,” 4–6.
“No Abatement of Influenza,” *Edmonton Bulletin*, 28 October 1918, 1.
Ibid.
Ibid.
Dickin McGinnis, “A City Faces an Epidemic,” 4–6.
Ibid.
Ibid.; see also “Prosecutions Will Be Commenced in City Today for Violations of Order for Wearing of Masks,” *Edmonton Bulletin*, 9 November 1918, 1.
On the development of the new medicine by the laboratory in Canada, see Christopher Rutty, “Personality, Politics, and Canadian Public Health: The Origins of the Connaught Medical Research Laboratories, University of Toronto, 1888–1917,” in *Essays in Honour of Michael Bliss: Figuring the Social*, edited by E.A. Heaman, Alison Li, and Shelley McKellar (Toronto: University of Toronto Press, 2008), 278–79.
William Osler, *The Treatment of Disease: The Address in Medicine Before the Ontario Medical Association, Toronto, June 3, 1909* (London, UK: Oxford University Press, 1909), 5–7.
Alfred Crosby, *Epidemic and Peace 1918: America’s Deadliest Influenza Epidemic* (Westport, CT: Greenwood, 1976), 264–72. For a discussion of how Canadian physicians interpreted his discovery, see “Le bacilli de la grippe,” *L’union médicale du Canada* 21, no. 3 (March 1892): 158–59.
Pettigrew, *Silent Enemy*, 20–21.
Carol R. Byerly, *Fever of War: The Influenza Epidemic in the US Army during World War I* (New York: NYU Press, 2005), 163–64.
F.T. Cadham, “The Use of a Vaccine in the Recent Epidemic of Influenza,” *Canadian Medical Association Journal* 9, no. 6 (1919): 519; Jones, *Influenza, 1918*, 43; Pettigrew, *Silent Enemy*, 19–20; John W.S. McCullough, “The Control of Influenza in Ontario,” *Canadian Medical Association Journal* 8, no. 12 (1918): 1085.
“Peak Not Yet Reached Says Hon. A.G. MacKay,” *Edmonton Bulletin*, 1 November 1918, 1.
“Influenza and After; Advice from College of Physicians,” *Edmonton Bulletin*, 12 December 1918, 3. For a similar reaction in Canada, see J.J. Heagerty, “Influenza and Vaccination,” *Canadian Medical Association Journal* 9, no. 3 (1919): 226–27.
“Health Authorities Look for Rapid Spread of Disease and Urge More Precautions,” *Edmonton Bulletin*, 25 October 1918, 3.
Medical Case Sheet, Joseph M., RG 150, Accession 1992–93/166, vol. 6163, file 22, LAC; Commonwealth War Graves Commission Burial Record, http://www.cwgc.org/find-war-dead/casualty/2765430/MILBURN,%20JOSEPH, retrieved 3 October 2013.
Jones, *Influenza, 1918*, 139. On the effects of flu on farm families, see Joan Champ, *The Impact of the Spanish Influenza Epidemic on Saskatchewan Farm Families, 1918–1919* (Saskatoon: Saskatchewan Western Development Museum, 2003), http://wdm.ca/skteacherguide/wdmResearch/1918SpanishFlu.pdf. For a description of the problems of rural care in Alberta, see “Nineteen Dead at Drumheller,” *Edmonton Bulletin*, 28 October 1918, 3.
Dickin McGinnis, “A City Faces an Epidemic,” 6.
“Pembina Hall Secured for ‘Flu Hospital,” *Edmonton Bulletin*, 25 October 1918, 1.
“How Influenza is Fought at Queen Alexandra School,” *Edmonton Bulletin*, 18 November 1918, 3.
“Pembina Hall Secured for ‘Flu Hospital,” *Edmonton Bulletin*, 25 October 1918, 1.
“Graduate Nurses Make Plans for Coping with Spanish ‘Flu,” *Edmonton Bulletin*, 16 October 1918, 4.
On the role of professional nurses in Canadian hospitals and private homes, see Kathryn McPherson, *Bedside Matters: The Transformation of Canadian...
Nursing, 1900–1990 (Oxford, UK: Oxford University Press, 1996).
97 “Forty-One Cases of Spanish Influenza in City at Present,” Edmonton Bulletin, 19 October 1918, 3.
98 “Over 100 Cases of Spanish Influenza Reported by the City Authorities Since Friday Last,” Edmonton Bulletin, 21 October 1918, 1.
99 “City Divided into Districts,” Edmonton Bulletin, 28 October 1918, 1.
100 “District Nursing System to Care for ‘Flu Cases,” Edmonton Bulletin, 26 October 1918, 1.
101 “How Influenza is Fought at Queen Alexandra School.”
102 Linda J. Quiney, “‘Filling the Gaps’: Canadian Voluntary Nurses, the 1917 Halifax Explosion, and the Influenza Epidemic of 1918,” Canadian Bulletin of Medical History 19, no. 2 (2002): 367.
103 “Brave Nursing Sister Dies at her Post from Influenza After Caring for Soldiers,” Edmonton Bulletin, 29 October 1918, 1.
104 Anon. Volunteer Nurse, “What the ‘Flu is Doing to Us,” Edmonton Bulletin, 2 November 1918, 4.
105 See advertisement “Urgent Call for Assistance in fight Against Epidemic,” Edmonton Bulletin, 29 October 1918, 3.
106 “City Divided into Districts,” 4.
107 “Hon. A.G. MacKay Tells of Fight Against Flu,” Edmonton Bulletin, 29 October 1918, 3.
108 Esyllt Jones, “‘Co-operation in All Human Endeavour’: Quarantine and Immigrant Disease Vectors in the 1918–1919 Influenza Pandemic in Winnipeg,” Canadian Bulletin of Medical History 22, no. 1 (2005): 57–82.
109 Ibid., 77–78.
110 Esyllt Jones, “Contact across a Diseased Boundary: Urban Space and Social Interaction during Winnipeg’s Influenza Epidemic 1918–1919,” Journal of the Canadian Historical Association 13 (2002): 119–39; for care guidelines see Provincial Health Department, “Epidemic Influenza: Instructions Regarding Care of Sick Persons,” as printed in the Drumheller Review, 8 November 1918. For a similar case study of Montreal, see Magda Fahrni, “Elles sont partout . . . : les femmes et la ville en temps d’épidémie, Montréal, 1918–1920,” Revue d’histoire de l’Amérique française 58, no. 1 (2004): 68–71.
111 A.W. Coone, “Living Conditions in Parts of This City,” Edmonton Bulletin, 26 November 1918, 7.
112 Ibid.
113 Letter to the Editor, “The Epidemic,” Edmonton Bulletin, 16 November 1918, 7.
114 Ibid.
115 See Mary-Ellen Kelm, “British Columbia First Nations and the Influenza Pandemic of 1918–1919,” BC Studies 122 (1999): 23–47; and Maureen Lux, “Prairie Indians and the 1918 Influenza Epidemic,” Native Studies Review 8, no. 1 (1992): 23–33.
116 “Influenza Epidemic,” 28 May 1919, file 851-4-D96 Part 1, vol. 2970, RG 29, LAC. Accuracy is always an issue when dealing with statistics compiled by Indian Affairs, but the numbers are confirmed by independent research. Ann Herring calculated that 188 people died at Norway House during the pandemic. The Indian Affairs statistics list 190 deaths, including two which were recorded after the period examined by Herring. See Herring, “There Were Young People and Old People and Babies Dying Every Week.”
117 Maureen Lux, Medicine That Walks: Disease, Medicine, and Canadian Plains Native People, 1880–1940 (Toronto: University of Toronto Press, 2001), 189ff.
118 K.F. Anderson to R. Field, 20 December 1918, RG 18, vol. 1003, file “Spanish Influenza, 1919,” LAC.
119 Population statistics are based on annual treaty payment figures from Dominion of Canada, Annual Report of the Department of Indian Affairs for the Year Ended March 31 1918 (Ottawa: Department of Indian Affairs, 1919), 111–12; “Influenza Epidemic,” 28 May 1919, RG 29, vol. 2970, file 851-4-D96, Part 1, LAC.
120 Affidavit by Frank C. Fisg, 1 December 1918, RG 18, vol. 1928, file RCMP 1918, no. 160, LAC.
121 Staff Sergeant Fyffe to Commanding Officer, G Division, 2 December 1918, RG 18, vol. 1928, file RCMP 1918, no. 160, LAC.
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The outbreak of war in 1914 was accompanied in Alberta by calls to defend the nation and the empire and protect home and family life. These calls were broad and emotive. “Home” was a familiar term, but one laden with varied notions about social continuity, tradition, gender, personal comfort, safety, and belonging. The “house,” as the physical space that sheltered the home, was of more than passing importance in the expression of these values. And by 1914 the ideal house could be defined by citing objective criteria that had recently coalesced into a definition of the “modern house.” These criteria drew upon relatively new scientific knowledge about health and the cause of disease and theories about how physical space affected social relationships. This knowledge also guided how houses should best be arranged on lots, and how neighbourhoods should be laid out to create social efficiency, healthful surroundings, and, if it could be had, a beautiful environment in which to live and raise families. When the federal government created a housing scheme for postwar reconstruction in 1919, it drew directly on these understandings about modernity and domestic architecture.
“Modernity” was not a style in domestic architecture but rather a loose set of concepts that posited a healthier, more rational future through science, rational design, and technology. By the outbreak of the First World War, advances in scientific knowledge postulating that germs were a major cause of contagious disease had been broadly accepted. It was also understood that germs could be killed or, at least, their impact mitigated by cleanliness, sunlight, openness, and fresh air.\(^1\) The application of this knowledge in house design necessitated the replacement of nineteenth-century closed-in rooms—which were dark, had poor air circulation, and were hard to keep clean—with open plans in which rooms connected one into the other and had plenty of windows that could open. The public was cautioned that every room had to have at least one window. Logically, living areas in basements were, thus, considered to be unhealthy and depressing. Sanitary standards were further enhanced by smooth walls that would shed dust and hard floor surfaces that were easy to clean. This justified the replacement of lath-and-plaster walls covered with wallpaper with ones finished with smooth plaster or panelling, or
with various wall-board products. While employing such design principles could help prevent disease, it supported broader social values as well. Open plans were conducive to family life because they brought people together, while openness, light, and fresh air also contributed to sound mental and spiritual health and a positive outlook.\(^2\) For urban houses, the relationship of the house to its community was equally significant. Connection to municipal sewer systems was essential for public sanitation, but houses also needed to be placed within lots (rather than completely fill them) to ensure that sunlight and fresh air could easily reach into the buildings. Sound land-use principles also demanded the prohibition of incompatible land use near housing, and the provision of public open spaces where community life could be focused. As the Canadian town planner Thomas Adams advised in 1916: “The first necessity of good housing is to control all land development by town planning.”\(^3\)
Although the elements that defined the modern house were broadly accepted by the time of the outbreak of the war as those needed for decent standards of housing, they were not codified by the state or public agencies. Moreover, only the urban middle class and a few wealthier farmers could afford to implement them; and, at the start of the war, many people lived in crowded, small, poorly constructed houses without adequate sanitation or heating. Mortgages were difficult to obtain; wages were low and job security was rare; while on farms, capital was invested in production rather than housing. All of these problems were intensified in Alberta because of its recent settlement. As A.E. Grauer noted in 1939 in his survey of the history of housing in Canada: “The housing difficulties of low income groups common to all countries have been complicated by conditions peculiar to a young country—rapid growth, inflated real estate values, speculative activity, and influx of poor immigrants and lack of planning.”\(^4\) Nor did the state see itself as having a role in helping people gain access to better housing through mortgages or other programs.
Alberta thus entered the war with ideals about what contributed to good housing that exceeded what most people could afford. The province’s economy was also fragile. It had recently experienced a five-year period of increasingly frantic growth and land speculation, but this boom had collapsed suddenly in 1912–13. The most telling consequence in Alberta was a rapid drop in the price of land, which had reached extremely high levels because of speculation driven by the optimism and greed of the previous half decade. Although there was a brief revival of activity in Calgary in 1914 after the discovery of oil at Turner Valley, speculative fever was over for a time.\(^5\)
This collapse left many towns and cities with substantial amounts of vacant land that had been surveyed and serviced by local governments with sewage, electrical, and transportation infrastructure in preparation for what was believed would be imminent private development. When the economy collapsed, the prospects for rapid development of this, as well as other subdivided but unserviced land, disappeared, and much of it was soon being forfeited for nonpayment of taxes. The impact of the collapse of land values on local governments was exacerbated because some cities in the province had earlier adopted a single-tax system in which only land, not improvements, was taxed. In 1912 the provincial government had imposed this system across Alberta. As a method of funding local government, the single
tax had many problems, but the most obvious one was that tax revenue fell as land values evaporated. In some places, generous tax incentives that had been offered to attract industry also now weighed heavily on local governments. Although war-related industrial production was minimal on the prairies, unemployment was low because of the enlistment of employable men and a boom in agricultural and resource industries. However, most of the resulting gains disappeared in wartime inflation and, in terms of industrialization, the war probably had a negative impact on the prairies.\(^6\)
For local governments, problems became worse because of falling tax revenues, forfeiture of land for nonpayment of taxes, and slow economic growth. As a result, homeowners, who could ill afford it, were forced to pay higher and higher property taxes. In an attempt to gain control of its finances, Edmonton, for example, brought in a civic income tax from 1918 until 1920; but it was too late. The city and its ratepayers struggled for the next 25 years to overcome the difficulties resulting from the short-sighted policies of the boom years and the added problems of the 1930s.\(^7\)
The war slowed house construction dramatically, and the near collapse of the house-building industry in Alberta ensured that very little new housing was constructed in the province between 1914 and 1918. This meant that there would be even more serious housing shortages at the end of the war than there had been at its beginning. Thus, providing housing was widely recognized as a priority for postwar adjustment and, as Thomas Adams of the Commission of Conservation observed in 1918: “If there is a shortage now, what will be the conditions when several thousand men return from Europe?”\(^8\) Adams’s question pointed to the dual housing problem faced at the time of postwar adjustment: taking care of returned soldiers and meeting the already-pressing housing needs of the civilian population.
To grapple with current and impending housing shortages, and the likelihood of social unrest because of it, the federal government developed two separate policies to deal with rural and urban housing. Rural and urban housing needs were different and required different approaches, especially since rural programs further aimed to promote land settlement to create economic stimulus at the war’s end. In 1917, the federal government passed the Soldier Settlement Act, which enabled soldiers to obtain loans on a 20-year term to homestead, to purchase land for farming, or to build a farm house. In Alberta, most of this settlement took place in the Peace River country and in the areas north and east of Edmonton. By the end of 1920, almost 20,000 soldier settlers had taken up land in Canada, 5,785 of them in Alberta.\(^9\)
As part of this land settlement program, the federal Soldier Settlement Board also issued architectural drawings for outbuildings and for four different types of modest houses that could be built easily and quickly by soldier settlers. The plans were developed with prairie conditions in mind and included double floors, storm windows, “liberal use of building paper,” and an exterior wall finish of asphalt and “flint coated ready roofing”—all of which would “make a wind tight job.” The interior was finished with wall board. The houses ranged from a two-room, gable-roof shack of about 22 square metres to a small, six-room, two-storey house with a simple gable roof. All were designed so that they could be easily enlarged in the future. Soldier settlers could
buy building materials at reduced prices, and complete packages of the materials required could be purchased from Eaton’s and many lumber yards.\(^{10}\)
To meet the needs of urban people, a postwar adjustment housing scheme was introduced in 1919. It, too, aimed to create employment and stimulate the economy by meeting the obvious demand from low-income urban people for affordable housing. The scheme also reflected tentative stirrings to recognize housing as a social-reform issue. A belief that the war had been caused by materialism, greed, and a lack of cooperation gave new vitality to demands that town planning schemes, public sanitation services, and other civic improvements relevant to housing quality had to be approached systematically, and as part of the state’s responsibility for housing.\(^{11}\) Under this scheme, the federal government lent $25 million at 5 percent interest to the provinces, distributed according to population. The provinces, in turn, lent this to municipalities where jurisdiction in the housing field lay. Loans were made to prospective owners at 5 percent, instead of the current rate of 8 percent, amortized over 20 years. The plan aimed to provide housing in industrial areas for people with incomes of less than $3,000 per year, which constituted the vast majority. Local governments were required to provide land at cost, by expropriation if necessary, in order to eliminate speculation. The land was expected to represent only about 10 percent of the total cost of the house exclusive of local improvements. As well, each province was required to develop a housing plan according to which the houses would be built, ideally as part of a single, serviced site close to amenities and employment. The federal government drew up recommendations for design and construction, which, while not mandatory, were considered the “minimum standards for health and comfort, and not as ideals that are difficult to attain.” Under the scheme the building cost could not exceed $3,500 for a seven-room, wood-frame house.\(^{12}\)
Reflecting ideas about open plans; the connection between light, sanitation, ventilation, and human health; and the relationship between urban planning and the quality of housing, the houses built under this 1919 scheme were to be of “modern character.” This meant that each house had to be part of a general urban plan. The house was to face onto a street, or a large courtyard, and be accessible to playgrounds, parks, and other public services. To ensure light and ventilation, the house could not occupy more than 50 percent of the lot. Houses were expected to have proper sewage disposal systems and ample plumbed-in clean water. The bathroom was to be located on the second floor of a two-storey house, and each room, including the bathroom, was to have a window placed so that it would provide light and good cross-ventilation. Basements were not to be used as living space. Ventilation and access to fresh air were further promoted by setting minimum sizes for rooms; furthermore, all ceilings on the second floor were to be at least 2.4 metres high, and were to cover no less than two-thirds of the floor area.\(^{13}\)
These standards were promoted not only by the federal government but also, with some slight modifications, by the Ontario Housing Committee, whose recommendations received wide coverage in Alberta newspapers and in Canadian building journals. Clearly, what had been the ideals of modern design before the war were now seen as baseline standards that could be applied across the country. Importantly, these standards drew upon scientific knowledge about health and disease. They also asserted basic standards for comfort and family life, and
social amenities. This was one of the most important consequences of the scheme and, as was observed in 1919, “by this legislation, Canada has lifted the study of the homes of her people from a local . . . interest to a national status.”\textsuperscript{14} Surprisingly, there were few objections to the entry of the state into a field that had so far been wholly in the hands of private enterprise. The importance of the scheme as a model and the need for affordable housing for workers outweighed its challenge to “the virtues of free competition.”\textsuperscript{15}
The federal housing scheme was introduced in Alberta against the background of troubled local governments, housing shortages, rising costs, and high urban unemployment. Between 1918 and 1920, Edmonton took possession of 70,000 building lots in the city, almost all for tax arrears; by 1919, Calgary owned two-thirds of the land within its boundaries for the same reason. Despite this land glut, there was a housing shortage that pushed up costs. In 1919 rent in Edmonton and Calgary was up 25 percent over the past 12 months, and even as high as 50 percent over the previous year. Most of these increases were due to a shortage of capital for housing and to the cost of materials and labour that by 1920 had risen by between 70 and 80 percent since 1914. Thus, a house that had cost between $4,000 and $6,000 in 1914 now cost between $6,500 and $9,500. The only saving grace was that land was cheap. Lots that had cost $2,000 in 1912 could be had after the war for $500. Inflation had caused the increase in labour costs; calls for cheaper labour were unrealistic in light of wartime hyper-inflation.\textsuperscript{16} At the same time, unemployment was high. In 1919 carpenters in Edmonton lobbied the city and the provincial government to initiate building projects to create employment. As the \textit{Calgary Herald} editorialized, most of those who “went to the front were connected . . . with building and construction work,” and given the need for housing and employment, house construction would solve a number of postwar social problems.\textsuperscript{17}
In these conditions, it was not surprising that the provincial government was at first enthusiastic about the federal government’s housing scheme. Premier Charles Stewart estimated that Alberta would be eligible for about $1.6 million in loans, or enough to build 530 houses at $3,000 each. This new construction would promote urban renewal and prevent the development of “slum conditions” in downtown Edmonton and Calgary. Further, it would help to improve housing in mining communities such as Drumheller, where housing was extremely poor. Critics of the plan observed that payments on a $3,000 house, even at 5 percent, would be about $33 per month including upkeep and taxes, which was more than the “average workingman” could afford. The provincial government also began to reconsider its support. The provincial treasurer argued that a program that encouraged renovation and repair of houses in industrial areas, rather than one directed at new-house construction, would be more beneficial. The province also contended that the federal government should give it the money as a grant, not as a loan. As well, the provincial government was concerned about how it would enforce the minimum construction and urban planning standards required by the scheme, since both of these matters lay in the jurisdiction of local government. Most importantly, it worried that bankrupt municipalities would never repay the loans extended to them by the province. Thus, despite numerous calls for Alberta’s involvement in the program, the premier informed a delegation of mayors in 1920 that it had decided not to participate, and, “as to borrowing money from the
Dominion government on municipal securities, he was inclined to think that every municipality in the province was already pretty well up to, or past, its borrowing powers."18
Local governments were not eager to participate in the program. Calgary was concerned that the scheme would add to its civic debt, and refused to assume responsibility for loan repayments by issuing debentures. Nor could Alberta cities agree on a uniform set of goals for the program. Edmonton, for example, argued that the money should be made available for renovating, repairing, and moving houses onto serviced lots, while Medicine Hat wanted to make loans to anyone, including landlords, to build what and how they wanted. Moreover, urban governments refused to provide land from their rapidly growing holdings, and all wanted to charge borrowers full administrative and land costs. In practical terms, this would put the houses built under the scheme even further out of reach of the intended market. Of course, had local governments participated in the program, their land holdings would have been reduced, needed houses would have been built on vacant serviced land, and some revenue would have been generated for the cities. However, no urban government took this view, which, along with the provincial government’s justifiable reluctance to take any risk in the circumstances, scuttled the program in Alberta.
By 1921, when it was repealed, every province except Alberta had passed housing legislation under the program, and all except Alberta and Saskatchewan had received advances under the program. Despite charges by the provincial opposition that Alberta’s failure to participate in the scheme lay solely with a “faint-hearted” provincial government, the program had a number of drawbacks. Indeed, it was not particularly successful anywhere in the country except in Winnipeg. One basic problem was its reliance on local governments, which were too poor and inefficient, and too narrowly fixated on local concerns to make the program work as a provincial one. Because it made no provision for assisting rural home owners, provinces with large rural populations, such as Alberta and Saskatchewan, were also disadvantaged. In addition, Alberta’s major urban problems were not slums, as they were in some other parts of Canada, but a large number of small, poor-quality, prewar houses scattered throughout urban areas. In this light, the province’s concern for renovation and not new construction was understandable. Moreover, Alberta’s urban housing problems were the legacy of prewar land speculation and over-expansion, and the 1919 housing scheme did nothing to solve these problems and, in certain respects, promised to bring further difficulties by over-extending already-burdened civic governments.19
By this measure, the 1919 postwar housing scheme was a failure. In Alberta, no houses were built under it, despite the evident need for new housing. Some scholars have contended that its failure helped “to discredit the idea of government assisted home construction” for over a decade.20 Certainly, critics claimed that government involvement in the housing sector was unrealistic, but what the disappointing results actually proved, in this respect, was that local government could not be relied upon for such programs in the housing field, and that provincial and federal governments would, of necessity, have to lead such programs in the future. And, for certain, the 1919 scheme did not change the nature of the Canadian housing market and its contradictions. As historian John Saywell
argues, although the state increasingly accepted responsibility for the safety and sanitation of housing, and thereby increased the costs of “legally adequate housing,” it simultaneously refused to control land costs or interfere with market-driven incomes. As Saywell concludes, the consequences were recurring housing crises in Canada.\textsuperscript{21}
Yet in other ways, the 1919 scheme had an inadvertent legacy. For the first time, systematic national standards had been devised as a national baseline to measure adequacy of housing. This drew upon the prewar idealization of the modern house. While the standards that emerged in 1919 would evolve, their outline would shape Canadian housing policy for the next half century. Indeed, in 1934 the National Construction Council, a lobby group and clearing house for the Canadian construction industry, drew up minimum standards of housing under two broad categories: health and amenities. Substandard houses were defined as those dangerous to the occupants’ health or “incompatible with decency,” while amenities set out those things necessary to “provide satisfactory environmental conditions which Canadian customs and standards demand.”\textsuperscript{22} These standards owed a strong debt to the measures of housing quality that had been devised in the 1919 housing scheme in its attempt to grapple with the legacy of the war.
Notes
This paper, while written by Donald G. Wetherell, relies heavily on Donald G. Wetherell and Irene R.A. Kmet, \textit{Homes in Alberta. Building Trends and Design} (Edmonton: University of Alberta Press, 1991), but reworks the content in some respects. The co-editors of this book would like to thank Wetherell and Kmet and the University of Alberta Press for permission to use this material.
1 For examples of such concepts in popular thinking, see \textit{Calgary Herald}, 23 October 1911, and \textit{Farm and Ranch Review}, 20 October 1909.
2 Donald G. Wetherell and Irene R.A. Kmet, \textit{Homes in Alberta: Building Trends and Design} (Edmonton: University of Alberta Press, 1991), 45–53, 87–93.
3 Thomas Adams, “Planning for Civic Betterment in Town and Country,” \textit{American City} 15 (1916): 50.
4 A.E. Grauer, \textit{Housing: A Study Prepared for the Royal Commission on Dominion-Provincial Relations} (Ottawa, 1939), 33.
5 Doug Owram, \textit{The Economic Development of Western Canada: An Historical Overview} (Ottawa: Economic Council of Canada, Paper No. 219, 1982), 14–15.
6 John Herd Thompson, \textit{The Harvests of War: The Prairie West, 1914–1918} (Toronto: McClelland and Stewart, 1978), 45. On the single tax, see Donald G. Wetherell and Irene R.A. Kmet, \textit{Town Life: Main Street and the Evolution of Small Town Alberta, 1880–1947} (Edmonton: University of Alberta Press, 1995), 47–48.
7 Wetherell and Kmet, \textit{Homes in Alberta}, 99–100.
8 Ibid., 153.
9 John McDonald, “Soldier Settlement and Depression Settlement in the Forest Fringe of Saskatchewan,” \textit{Prairie Forum} 6 (1981): 37–40.
10 \textit{Eaton’s Farm Buildings and Equipment} (1919) (a copy of this soldier land settlement scheme catalogue can be found in Provincial Archives of Alberta, 66); \textit{Farm and Ranch Review}, 21 April 1919.
11 Wetherell and Kmet, \textit{Homes in Alberta}, 106–7.
12 Ibid., 154.
13 Provincial Archives of Saskatchewan, Regina, “Report of the Committee of the Privy Council, February 20, 1919,” PC 374, 192.4/298.
14 \textit{Social Welfare}, 1 June 1919.
15 \textit{Conservation of Life}, January 1919, 1.
16 Wetherell and Kmet, \textit{Homes in Alberta}, 155–56.
17 \textit{Calgary Herald}, 24 May 1919.
18 Wetherell and Kmet, \textit{Homes in Alberta}, 156.
19 Ibid., 157.
20 John Bacher, “Canadian Housing ‘Policy’ in Perspective,” *Urban History Review* 15 (1986): 5.
21 John Saywell, *Housing Canadians: Essays on Residential Construction in Canada* (Ottawa: Economic Council of Canada, Paper No. 24, 1975), 4.
22 Wetherell and Kmet, *Homes in Alberta*, 106–7.
Thompson, John Herd. *The Harvests of War: The Prairie West, 1914–1918*. Toronto: McClelland and Stewart, 1978.
Wetherell, Donald G., and Irene R.A. Kmet. *Homes in Alberta: Building Trends and Design*. Edmonton: University of Alberta Press, 1991.
———. *Town Life: Main Street and the Evolution of Small Town Alberta, 1880–1947*. Edmonton: University of Alberta Press, 1995.
**Works Cited**
**PRIMARY SOURCES**
*Calgary Herald*
*Farm and Ranch Review*
Provincial Archives of Alberta, Edmonton. *Eaton’s Farm Buildings and Equipment, 1919*.
Provincial Archives of Saskatchewan, Regina. Report of the Committee of the Privy Council, 20 February 1919 (P.C. 374), 192.4/298.
**SECONDARY SOURCES**
Adams, Thomas. “Planning for Civic Betterment in Town and Country.” *American City* 15 (1916): 50.
Bacher, John. “Canadian Housing ‘Policy’ in Perspective.” *Urban History Review* 15 (1986): 5.
*Conservation of Life*, January 1919, 1.
Grauer, A.E. *Housing: A Study Prepared for the Royal Commission on Dominion-Provincial Relations*. Ottawa, 1939.
McDonald, John. “Soldier Settlement and Depression Settlement in the Forest Fringe of Saskatchewan.” *Prairie Forum* 6 (1981): 37–40.
Owram, Doug. *The Economic Development of Western Canada: An Historical Overview*. Ottawa: Economic Council of Canada, Paper No. 219, 1982, 14–15.
Saywell, John. *Housing Canadians: Essays on Residential Construction in Canada*. Ottawa: Economic Council of Canada, Paper No. 24, 1975, 4.
*Social Welfare*, 1 June 1919.
“Alberta is far in advance of the other provinces in respect to the number of soldiers settled on the land” boasted the *Farm and Ranch Review* in June 1920. The Calgary-based publication noted with satisfaction that 4,428 soldiers had taken land in Alberta under the federal government’s postwar soldier settlement plan, with thousands more eligible to participate in the coming years. The article quoted Red Deer MP Michael Clark, who explicitly linked “Alberta’s lead in recruiting” during the war and its lead “in soldier settlement on the land in peace.” “Compared with the results from the whole Dominion,” concluded the *Review*, “this is a most satisfactory position for Alberta.”
The program that drew such praise from the *Review* was governed by the Soldier Settlement Act. Passed in 1917, and amended in 1919, the act offered assistance to veterans who wanted to take up agriculture after the Great War. Successful applicants were eligible for land grants and financial aid. While soldier settlement was a national program, the trend of especially high participation in Alberta, noted by the *Review* in 1920, continued for the rest of the decade. No province attracted more participants than Alberta: of the 31,670 veterans who took advantage of the program, almost one-third (9,883) settled in Alberta.
The optimistic tone of the *Review*, however, obscured a more sober reality. While the program certainly helped many ex-servicemen transition back to civilian life, soldier settlement was far from an unmitigated success. From the outset, the scheme was plagued by significant problems, including economic depression and excessive bureaucracy. Perhaps most significant, however, was the government’s unrealistic expectation that soldier settlement would help return Canada to an idealized notion of rural, agrarian ideals—in the face of growing industrialization, class conflict, and regional discontent—by bolstering loyal, steady citizenship. These hopes were compromised by their unrealistic scope, as well as by contradictory anxieties about the suitability of ex-servicemen (and their wives) for such crucial, nation-building responsibilities. The result was a program that could never live up to the high expectations placed on it.
The scheme, launched in 1917, was rooted in a long tradition of soldier settlement in Canadian
history. Both the French and British colonial regimes had offered soldiers incentives to settle in North America prior to 1867, while the Dominion government had granted land to Canadian soldiers after the North West Rebellion (1885) and the South African War (1899–1902). The scope of the Soldier Settlement Act (1917), however, eclipsed these earlier military-colonization experiments. The legislation offered veterans 160-acre “soldier grants” of Dominion land and loans of up to $2,500 for stock or equipment. The program was administered by the Soldier Settlement Board, which reserved all “undisposed” federal land within 25 kilometres of railway lines in the Prairie West for soldier settlement. The goal of the plan, according to Minister of the Interior W.J. Roche, was “to assist the returned soldier and increase agricultural production.” The unspoken objective, however, was to fill unclaimed Dominion land—soldier settlement would help complete prairie agricultural settlement by directing veterans to regions where significant homestead land was still available.
One such region, prominent in the government’s early vision of soldier settlement, was Alberta’s Peace River District. Shortly after the act was passed, Ottawa dispatched survey teams to the region to subdivide land specifically for returning veterans. Critics were sceptical—Liberal MP William Pugsley scornfully predicted “not one man in a thousand would be attracted by an invitation to settle on land in the Peace River Country.” The surveyors disagreed, reporting that “a considerable number of quarter sections” were suitable for cultivation. By early 1919, 800 veterans had taken up homesteads in Peace River, and surveyors were having trouble keeping pace with demand.
Despite this promising start, the government’s determination to direct settlement to unclaimed Dominion land was widely criticized. In January 1918, both Alberta Premier Charles Stewart and the Alberta branch of the Great War Veterans Association (GWVA) urged Ottawa to make more land available for soldier settlement. In March 1918, the Grain Grower’s Guide condemned the scheme for granting isolated land to veterans while leaving the best available prairie land in the hands of speculators.
The CWVA kept up the pressure through the summer of 1918, calling on Ottawa to expropriate land from enemy aliens and speculators, and to open up “idle” Indian reserve land for soldier settlement.\(^{11}\) Pressure on the government mounted and, in September 1918, the head of the Returned Soldier Commission conceded privately that Ottawa would be “forced to take some action” and expand the program because “returned men will not take up land 500 miles north of Edmonton.”\(^{12}\)
In 1919 the government amended the act and greatly expanded the soldier settlement program. The number of staff was increased to provide better oversight and assistance for soldier settlers, while the money available to borrow was tripled to $7,500. The board was authorized to acquire Indian reserve land and, through the 1920s, 35,000 hectares were opened for soldier settlement, including 2,700 hectares from the Bobtail Reserve near Hobbema and more than 8,000 acres from the Saddle Lake Reserve near St. Paul de Métis.\(^{13}\) The board was also authorized to acquire forest reserves, school lands, and privately owned lands, opening up significant new opportunities for soldier settlement.
In Alberta, the board acquired 7,300 hectares of land west of Drumheller from the Pope Grazing Lease, and an additional 4,500 hectares of Hudson’s Bay Company land east of Rowley.\(^{14}\) Most crucially, applicants could use loans to purchase privately owned land and improved farms.\(^{15}\) Ottawa did not abandon the hope that soldier settlement would fill unclaimed homestead land—56 townships were surveyed in northern Alberta explicitly for soldier settlement after 1919.\(^{16}\) However, the amendments removed the narrow focus on Dominion land and offered veterans greater choice on where to settle. The impact was dramatic and immediate. While only 2,000 men had participated in the program prior to these amendments, the board was receiving 600 applications per week by August 1919.\(^{17}\) A substantial majority of veterans (77 percent) who participated in the program after the amendments chose to buy private land rather than accept free homesteads.\(^{18}\)
The expansion of the program reflected the government’s confidence that soldier settlement could serve as a pillar of Canada’s postwar transition. Canadians were justifiably proud of the country’s contributions to the Allied victory, but that sense of national achievement masked serious social, political, and economic fissures—class conflict, Anglo-French tension, resurgent nativism, and regional discontent—that threatened Canada’s orderly adjustment to peacetime. The capacity of soldier settlement to counter this threat was articulated in June 1919 by then Interior Minister Arthur Meighen:
We believe that we cannot better fortify this country against the waves of unrest and discontent that now assail us . . . than by making the greatest possible proportion of the soldiers of our country settlers upon our land. Of course, every class of citizen is necessary to constitute the national life, but the class of citizen that counts most in the determination of the stability of a country against such forces is undoubtedly the basic class—the agricultural class. That class is the mainstay of the nation.\(^{19}\)
This speech, delivered a week after the Winnipeg General Strike, fit within a deeply conservative vision of Canada that idealized the moral superiority of rural life.\(^{20}\) In Meighen’s view, soldier settlement would facilitate Canada’s smooth transition to
peacetime by returning the country to its agrarian roots. And, while the program was national in scope, the emphasis on social renewal through agricultural settlement clearly pointed to the Prairie West, which had long been viewed in utopian terms by those seeking to foster social and moral improvement.\textsuperscript{21}
Alberta remained at the forefront of soldier settlement as the program grew over the next five years.
By the end of 1924, 24,148 veterans had received loans, with just over 7,000 settling in Alberta.\textsuperscript{22} In addition, at least 2,400 veterans had settled in Alberta on soldier land grants without financial assistance.\textsuperscript{23} Overall, soldier settlers had occupied 8.5 million hectares of land in Alberta from 1917 to 1924, representing 36 percent of the Dominion total.\textsuperscript{24} Embedded within these statistics are thousands
Returned soldier’s home, implements and some of his stock assisted by the Soldier Settlement Board. Tp 74-3-6, Peace River district. Alberta, 1920. Canada. Dept of Mines and Technical Surveys/Library and Archives Canada, PA-018311.
of individual and family narratives of success and failure, happiness and hardship, and the transition from military to civilian life. One example promoted by the board as representative of Alberta’s veterans was Adolphus Lamoureux, who had lived there since moving to Fort Saskatchewan as a child in 1883.\(^{25}\) A carpenter by trade, Lamoureux enlisted in the 151st Battalion (Canadian Expeditionary Force) in January 1916. In 1918, he received a medical discharge and returned to Alberta, claiming a soldier grant and accepting a $2,500 loan from the board for stock and equipment. Despite early difficulties, Lamoureux was running a profitable farm near Mallaig in east-central Alberta by the end of 1920.\(^{26}\)
The board characterized Lamoureux’s success story as “fairly typical” of soldier settlers in Alberta. Statistical evidence provides some support for the claim that the province’s soldier settlers made good progress through 1921. In 1920–21, for example, 72.6 percent of Alberta’s soldier settlers who had received loans were able to make their repayments, roughly in line with the national average of 77 percent.\(^{27}\) By the end of 1921, however, Alberta and the rest of the prairie region were on the verge of an agricultural crisis. The price of wheat fell from a peak of $2.31 a bushel (1919) to a mere $0.77 (1922), while periodic drought took a significant toll on the wheat crop.\(^{28}\) Though this was a hardship common to all farmers, soldier settlers were especially vulnerable, given that most had only been on their farms for one or two years before the downturn hit. By 1923 soldier settlers in Alberta were facing serious problems. In the 1922–23 collection year, only 49.6 percent of Alberta’s indebted soldier settlers made repayments on their loans, and only 29 percent of the total money due was collected—statistics that placed Alberta last in Canada.\(^{29}\) Alberta veterans and politicians took the lead in calling for financial relief for soldier settlers. The Alberta GWVA lobbied the government to ease loan repayments and revalue veterans’ land, while E.J. Garland, MP for Bow River, called for similar measures in parliament.\(^{30}\)
Despite such pressure, the federal government proved reluctant to seriously consider significant reforms. Rather than acknowledge the impact of the agricultural crisis, the government insisted through the mid-1920s that the “personal factor was a major reason for failure”—that those who had failed to meet their repayment obligations were likely morally deficient.\(^{31}\) This claim was extraordinary and illustrated a fundamental contradiction within the soldier settlement program. On one hand, the government celebrated veterans as “the backbone . . . of the nation” and “the best of its manhood”—the ideal candidates to stabilize Canada and return the country to its agrarian roots.\(^{32}\) At the same time, the government was clearly anxious about the possibility that veterans would return home disabled or robbed of their personal initiative, accustomed to taking orders rather than making their own decisions.\(^{33}\) This concern was embedded within the settlement board’s own preliminary screening process, designed to disqualify anyone who was “indifferent,” “thriftless,” “careless,” or otherwise represented a “moral risk”; only applicants who exhibited “self-reliance,” “initiative, competence and resourcefulness” would be accepted—qualities that one would expect the “best of Canada’s manhood” to have in abundance.\(^{34}\)
This essential contradiction manifested itself in the government’s suspicion that difficulties encountered by settlers were of their own making rather
than the result of larger economic forces. The example of Henry Weed, farm inspector for the Monitor sub-district in southern Alberta, illustrates how this suspicion could turn the board’s bureaucracy into an intrusive system of micromanagement. The farm inspector system was originally put in place in 1919 to provide support to soldier settlers but, as J.M. Powell notes, it could evolve into an “extremely intricate, if somewhat paternalistic” process of oversight and control.\(^{35}\) In early 1921, Weed sent out a remarkable letter detailing his instructions and expectations for the upcoming year. The inspector noted that he wanted more soldier settlers to have “a definite goal, a plan for the future, a well thought out system in laying out the farm.”\(^{36}\) He instructed farmers to “take a complete inventory, in duplicate” of their equipment to prove they were ready for the upcoming year. In perhaps the most paternalistic part of the letter, Weed wrote: “I plan to take a picture of every settler’s place this summer and send some to Ottawa. I took a few this summer and Ottawa is well pleased with my settlers’ houses; try and have your place as neat and attractive, and a good clean garden, as it is a pleasure to feel that my settlers show up as well as any.”\(^{37}\)
While the farm inspector system undoubtedly rendered important service to many veterans, Weed’s letter illustrates how it could also result in extreme (and unwelcome) levels of supervision. When asked to provide a character reference for Weed, local businessman George Lucas praised the inspector for taking “an almost fatherly interest in the settlers,” though he conceded that some settlers complained Weed was too “busy with their business.”\(^{38}\)
This paternalism also extended into the domestic sphere through the Home Service Branch. The branch was established across Canada as part of the expansion of the soldier settlement program, and included offices in Edmonton (opened in August 1919) and Calgary (January 1920).\(^{39}\) It was led by Jean Muldrew, who had spent several years in Alberta as principal of Red Deer Ladies’ College before serving as the director of household economy with the Canada Food Board during the war.\(^{40}\) The mandate of the branch was to assist wives of soldier settlers (particularly newly arrived brides) through publications, home visits, and short courses in home economics. Through the end of 1921, the branch in Alberta made more than 1,500 home visits and held short courses in Edmonton, Calgary, Red Deer, Lethbridge, Grande Prairie, and Peace River.\(^{41}\) It also connected wives to other women’s organizations, including the United Farm Women of Alberta and the Women’s Institute, which helped ease transition to rural life. Perhaps most significantly, the home visits revealed the “lack of maternal care in rural and isolated areas.” Responding to this problem, the branch served as an important health resource, providing information on pre- and post-natal care and arranging for nurse visits to remote homesteads.\(^{42}\)
Despite these valuable contributions, the branch was ultimately guided by the same approach that manifested itself in the farm inspector system—namely, that those involved in soldier settlement could not be trusted with the responsibilities assigned to them. The board conceded that good wives could be a “great help” to a farm, but also warned that wives could be a “serious handicap” if they were “discontented, not interested in farm life, or unthrifty and indolent.” It bluntly warned that it was “impossible to estimate the financial injury” a wife could do to a farm if her “mental attitude and her physical condition” undercut her spouse’s efforts and “rendered him incapable of repaying” his loan.
Women were thus viewed at once as an asset and a potential threat to the success of soldier settlement; like the farmers, they required careful oversight.\(^{43}\)
The federal government finally agreed, in 1927, to revalue downward soldier settlement land, thus providing some economic relief to veterans by lowering debt. By that time, however, the agricultural economy had recovered and Alberta’s soldier settlers were on a stronger footing. In 1927–28 indebted soldier settlers in the Edmonton District managed to pay back 72 percent of the money they owed, ranking the district first in Canada for repayments; veterans in the Calgary District paid back 66 percent, which was slightly above the national average of 63 percent.\(^{44}\) The recovery, however, was short-lived, as the Great Depression dealt a massive blow to the province’s remaining soldier settlers. The vast majority of Alberta’s veterans were unable to make their loan payments after 1930 and, by the end of 1931, only 3,371 (34 percent) of the province’s original soldier settlers remained on the land.\(^{45}\) In 1931 the Soldier Settlement Board was dissolved and the government’s experiment in postwar colonization was over.
In the end, judging the success or failure of soldier settlement in Alberta is a highly subjective exercise. The program certainly failed to achieve the lofty goals set by the federal government. Soldier settlement was not a catalyst for rural revitalization, as Alberta (and the rest of Canada) continued to urbanize throughout the interwar years. The program did not contribute meaningfully to national unity—indeed, given the extent to which the farmers’ movement (and particularly the United Farmers of Alberta) championed the veterans’ cause against Ottawa, the program was likely an additional irritant in the federal government’s relationship with the province. Statistically, the program certainly appears to have been a failure, with two-thirds of Alberta’s soldier settlers giving up on farming by 1931.
A different perspective, however, is offered by John Black and Charles Hyson in a 1944 article published in the *Quarterly Journal of Economics*. The authors quote a letter from Charles Murchison, director of Canadian soldier settlement, who argued that it was misguided to measure the success of soldier settlement strictly on the basis of “cold figures of an orthodox balance sheet.” Rather, Murchison contended that the program had allowed veterans “to get their war experiences out of their systems” before moving on with their lives. He suggested that many soldier settlers had never intended to farm permanently but rather had used the program as a springboard to other ventures where they were “soundly integrated” back into the Canadian mainstream.\(^{46}\) Murchison may have been rationalizing the program’s lack of success, but his analysis raised a very important point: judging soldier settlement on the basis of how many men successfully farmed through the early 1930s assumes that they all shared the same ambition to take up farming as a permanent vocation. The program may not have achieved all that the government hoped, but as Murchison suggests, it may have helped thousands of veterans successfully transition to civilian life, including those who had already quit farming by 1931.
**Notes**
1. “Alberta Leads in Soldier Settlement,” *Farm and Ranch Review* 16, no. 12 (21 June 1920): 35.
2. J.M. Powell, *Soldier Settlement in Canada, 1915–1930* (Clayton, AU: Monash University, Department of Geography, 1979), 27.
3 Desmond Morton and Glenn Wright, *Winning the Second Battle: Canadian Veterans and the Return to Civilian Life, 1915–1930* (Toronto: University of Toronto Press, 1987), 10.
4 Soldier Settlement Board (hereafter SSB), *First Report of the Soldier Settlement Board of Canada*, 31 March 1921, 25.
5 Kent Fedorowich, *Unfit for Heroes: Reconstruction and Soldier Settlement in the Empire between the Wars* (Manchester, UK: Manchester University Press, 1995), 63.
6 Ibid., 64.
7 Canada, *Sessional Paper No. 25a, Report of the Topographical Survey Board, 1920*, 19. See also Judy Larmour, *Laying Down the Lines: A History of Land Surveying in Alberta* (Calgary: Brindle and Glass, 2005), 177–78.
8 Canada, *Report of the Topographical Survey Board, 1920*, 19.
9 Fedorowich, *Unfit for Heroes*, 107.
10 *Grain Growers’ Guide*, 6 March 1918; Sarah Carter, “An Infamous Proposal: Prairie Indians and Soldier Settlement after World War I,” *Manitoba History* 37 (1999): 14.
11 Fedorowich, *Unfit for Heroes*, 74; Morton and Wright, *Winning the Second Battle*, 103–4.
12 Glenbow Museum and Archives, Garnet Ellis Fond, M 363: letter from Ellis to his mother, 6 September 1918. Ellis was recruited to be part of the scheme as a land surveyor in 1918, and later served as a farm inspector in northern Alberta.
13 Carter, “An Infamous Proposal,” 9; SSB, *Fourth Report of the Soldier Settlement Board of Canada*, 31 December 1925, 8; SSB, *Sixth Report of the Soldier Settlement Board of Canada*, 31 December 1927, 7.
14 SSB, *Fourth Report of the Soldier Settlement Board of Canada*, 8–9.
15 Fedorowich, *Unfit for Heroes*, 77.
16 Larmour, *Laying Down the Lines*, 180.
17 Morton and Wright, *Winning the Second Battle*, 145.
18 Fedorowich, *Unfit for Heroes*, 80.
19 As quoted in Powell, *Soldier Settlement in Canada*, 10.
20 The idea that postwar soldier settlement would act as a bulwark against the forces of class conflict and urban disorder was very popular in Australia as well. See Ken Fry, “Soldier Settlement and the Australian Agrarian Myth after the First World War,” *Labour History* 48 (May 1985): 29–43.
21 R. Douglas Francis and Chris Kitzan, “Introduction,” in *The Prairie West as Promised Land*, edited by R. Douglas Francis and Chris Kitzan (Calgary: University of Calgary Press, 2007), x–xii.
22 SSB, *Third Report of the Soldier Settlement Board of Canada*, 31 December 1924, 13.
23 As noted by Powell (*Soldier Settlement in Canada*, 27–28), there are significant variances in the year-to-year tallies of this group in the board’s annual reports. Whether this reflected problems with recordkeeping or (as Powell suggests) a deliberate effort by the board to skew numbers to improve the statistical measurement of the program’s success is unclear.
24 SSB, *Third Report of the Soldier Settlement Board of Canada*, 15.
25 SSB, *First Report of the Soldier Settlement Board of Canada*, 161–62.
26 Biographical information on Adolphus Lamoureux taken from SSB, *First Report of the Soldier Settlement Board of Canada*, 161–62; Mallaig History Committee, *Precious Memories – mémoires précieuses: Mallaig—Therian, 1906–1992* (Mallaig, AB: Mallaig History Committee, 1993), 565–66; and Lamoureux’s attestation papers, available on the Library and Archives Canada website, *Soldiers of the First World War — CEF*, URL: http://www.collectionscanada.gc.ca/databases/cef/index-e.html, retrieved 15 November 2013.
27 SSB, *Second Report of the Soldier Settlement Board of Canada*, 31 March 1923, 28. The collection year in western Canada, when indebted soldier settlers were expected to make repayments on their loans, ran from early October to early August.
28 Howard Palmer and Tamara Palmer, *Alberta: A New History* (Edmonton: Hurtig, 1990), 198.
29 SSB, *Second Report of the Soldier Settlement Board of Canada*, 30.
Morton and Wright, *Winning the Second Battle*, 152; Fedorowich, *Unfit for Heroes*, 103.
Fedorowich, *Unfit for Heroes*, 99.
Canada, *House of Commons Debates, 1919*, 3863; SSB, *First Report of the Soldier Settlement Board*, 8.
Desmond Morton, “The Canadian Veterans’ Heritage from the Great War,” in *The Veterans Charter and Post-World War II Canada*, edited by Peter Neary and J.L. Granatstein (Montreal and Kingston: McGill–Queen’s University Press, 1998), 21.
SSB, *First Report of the Soldier Settlement Board*, 8–9.
Powell, *Soldier Settlement in Canada*, 8–9.
Provincial Archives of Alberta, W.J. Blair Fonds, PR 1507, ACC.1984.407/206. The letter is undated; however, it offered New Year’s greetings, and the chronological order of the file suggests that it was sent out in January 1921. Unless otherwise stated, all of the quotes are taken from this letter.
Ibid.
Ibid., letter from George Lucas to W.J. Blair, 12 May 1921.
*Edmonton Bulletin*, 13 July 1920; SSB, *First Report of the Soldier Settlement Board of Canada*, 123.
David C. Jones, “From Babies to Buttonholes: Women’s Work at Agricultural Fairs,” *Alberta History* 29, no. 4 (Autumn 1981): 28.
*Red Deer News*, 19 January 1921; SSB, *First Report of the Soldier Settlement Board of Canada*, 119, 124.
Diane Dodd, “Helen MacMurchy: Popular Midwifery and Maternity Services for Canadian Pioneer Women,” in *Caring and Curing: Historical Perspectives on Women and Healing in Canada*, edited by Diane Dodd and Deborah Gorham (Ottawa: University of Ottawa Press, 1994), 143; SSB, *First Report of the Soldier Settlement Board of Canada*, 41, 119, 123.
SSB, *First Report of the Soldier Settlement Board of Canada*, 38.
SSB, *Ninth Report of the Soldier Settlement Board of Canada*, 31 December 1931, 16.
Ibid., 15.
Murchison’s letter quoted in John D. Black and Charles D. Hyson, “Postwar Soldier Settlement,” *The Quarterly Journal of Economics* 59, no. 1 (November 1944): 7.
**Works Cited**
**PRIMARY SOURCES**
*Edmonton Bulletin*
*Farm and Ranch Review*
*Grain Growers’ Guide*
*Red Deer News*
Glenbow Museum and Archives, Calgary. Garnet Ellis Fonds.
House of Commons, *Debates, 1919*.
House of Commons, Sessional Paper 25a, *Report of the Topographical Survey Board, 1920–21*.
Provincial Archives of Alberta, Edmonton. W.J. Blair Fonds.
Soldier Settlement Board, *Annual Reports, 1921–31*.
**SECONDARY SOURCES**
Black, John D., and Charles D. Hyson. “Postwar Soldier Settlement.” *The Quarterly Journal of Economics* 59, no. 1 (November 1944): 1–35.
Carter, Sarah. “‘An Infamous Proposal’: Prairie Indian Reserve Land and Soldier Settlement after World War I.” *Manitoba History* 37 (November 1999): 9–23.
Dodd, Diane. “Helen MacMurchy: Popular Midwifery and Maternity Services for Canadian Pioneer Women.” In *Caring and Curing: Historical Perspectives on Women and Healing in Canada*, edited by Diane Dodd and Deborah Gorham, 135–62. Ottawa: University of Ottawa Press, 1994.
Fedorowich, Kent. *Unfit for Heroes: Reconstruction and Soldier Settlement in the Empire between the Wars*. Manchester, UK: Manchester University Press, 1995.
Francis, R. Douglas, and Chris Kitzan, eds. “Introduction.” In *The Prairie West as Promised Land*, ix–xxiv. Calgary: University of Calgary Press, 2007.
Fry, Ken. “Soldier Settlement and the Australian Agrarian Myth after the First World War.” *Labour History* 48 (May 1985): 29–43.
Jones, David C. “From Babies to Buttonholes: Women’s Work at Agricultural Fairs.” *Alberta History* 29, no. 4 (Autumn 1981): 26–32.
Larmour, Judy. *Laying Down the Lines: A History of Land Surveying in Alberta*. Calgary: Brindle and Glass, 2005.
Mallaig History Committee. *Precious Memories = mémoires précieuses: Mallaig – Therian, 1906–1992*. Mallaig, AB: Mallaig History Committee, 1996.
Morton, Desmond. “The Canadian Veterans’ Heritage from the Great War.” In *The Veterans Charter and Post-World War II Canada*, edited by Peter Neary and J.L. Granatstein, 15–31. Montreal and Kingston: McGill-Queen’s University Press, 1998.
Morton, Desmond, and Glenn Wright. *Winning the Second Battle: Canadian Veterans and the Return to Civilian Life, 1915–1930*. Toronto: University of Toronto Press, 1987.
Palmer, Howard, and Tamara Palmer. *Alberta: A New History*. Edmonton: Hurtig Publishers, 1990.
Powell, J.M. *Soldier Settlement in Canada, 1915–1930*. Clayton, AU: Monash University, Department of Geography, 1979.
First World War Centennial Commemoration in Alberta Museums
RORY CORY
For the centennial of the First World War, museums across Canada are rallying to commemorate this important and formative event in our nation’s history. What is often lacking in commemorative efforts is the material culture—the physical history. Viewing historical objects is the primary way in which many people connect with history, and to reach this audience, museums must be key players in providing this means of commemoration. To fulfill this public trust obligation, The Military Museums in Calgary are coordinating a consortium of western Canadian museums that are presenting exhibits on the conflict, on display from 2014 through to 2018. This cooperative effort has allowed joint advertising, but also coordination of access to resources such as artifacts. The following article provides a summary of exhibits across Alberta that are part of this initiative.
Among the most significant commemorative events in the province was the exhibit developed and hosted by The Military Museums in Calgary (28 July to 15 December 2014). The Wild Rose Overseas: Albertans in the Great War exhibit comprised 2,000 square feet and was one of the largest temporary heritage-based exhibits mounted in the museum’s Founders’ Gallery. The planning began in 2006 when it was slotted into the exhibit schedule. The original intention was to embrace a national perspective. However, in the course of identifying artifacts and thematic areas, it quickly became apparent that a more focused approach was necessary to fit within the available space. Therefore, the geographic scope was modified to centre on Alberta. Similarly, the thematic focus was narrowed to only military themes, again partly because of space constraints and also in keeping with the museum’s mandate.
The core organizational structure of the exhibit was focused on the Canadian Expeditionary Force (CEF) and the infantry battalions. This provided the best way to present balanced coverage of military service from across the province, since the battalions were raised on municipal or regional lines. Artifacts associated with these battalions were also the easiest to identify. However, supporting units such as the artillery and medical services also needed to be discussed to give the most complete picture of Alberta’s military commitment. Since The Military Museums is a tri-service (navy, army, and air force) organization, it was necessary to represent all three.
A total of 27 battalions were raised in Alberta, with an additional eight battalions partially raised in or otherwise associated with the province. Since there were too many battalions to have individual themes shaped around each one, groupings were required and, ultimately, the focus came to be on units that had perpetuated their memory after the war. To provide context for the overseas experience and what Albertans did during the fighting, it was also necessary to discuss key battles and the role played in them by units from Alberta and some of their individual members. Other themes were explored to give a full picture of military service during the war, including training, prisoner-of-war experiences, weaponry, German militaria, demobilization, and remembrance.
Once themes had been identified, it was necessary to select representative items that would engage the public. Regimental badges, medals, and uniforms were known to have less appeal than items that connected with personal stories. A broad spectrum of different artifact types was also needed for maximum visual interest and impact, as well as to give better representation of First World War material culture in general. With the stories of the battalions as the core organizational principle of the exhibit, it was also important that the artifact either be clearly associated with a battalion or have interesting provenance connecting it with one.
Artifacts for the exhibit came primarily from the collections of The Military Museums. Since planning began long before the exhibit was mounted, exhibit organizers were also able to draw on new donations. Some additional artifacts not in the museum’s collections needed to be acquired, and an intensive search for them began in 2013. The organizers next looked to the province’s senior museums: the Glenbow Museum in Calgary and the Royal Alberta Museum (RAM) in Edmonton. Items from regional museums were obtained to cover gaps; for example, from the Galt Museum and Archives in Lethbridge and the Esplanade Arts and Heritage Centre in Medicine Hat. Searches for artifacts went hand-in-hand with investigations of archival holdings. For several years, temporary displays at The Military Museums had relied, in large measure, on archival materials as display objects. For example, certificates have great visual appeal and convey much information; letters have much stronger emotional impact when presented as originals. Museum collections and archival holdings are too often held completely separately when, in many cases, an original donation came in with components for both that together tell a complete story.
Initially there were gaps, as some of the battalions had few artifacts associated with them, beyond badges. However, as more donations came in from the public and more research was done, all themes and units had good representation of material culture items. These ranged from swagger sticks to pistols, trench art to commemorative medallions, flags, and more. Rare items included a message canister used by carrier pigeons and a jewelled Turkish officer’s sword captured by one of the few Albertans to serve in Palestine during the war. All had very good provenance connecting them to a specific Alberta individual or battalion, and there was very little reliance on badges in the end. Many items had compelling stories associated with them, for example a book that had been damaged by shrapnel while being carried by an individual killed by the same shrapnel. Many represented noteworthy individuals such as Frederick Augustus Bagley, one of the oldest to enlist, having come out West with the North-West
(left) Pigeon message canister. This particular canister was used by a signaller from the 187th Battalion from Alberta to send messages across the battlefield when the wires on field telephones were cut. Collection of the Army Museum of Alberta. Photo: Julie Vincent Photography; (right) Next of Kin Medallion issued for Thomas Ralph Shearer (pictured here), one of three brothers who enlisted at Medicine Hat. Two were killed, including Thomas Ralph, and one came home wounded. Next of Kin Medallions were minted by the British government and given to the families of all soldiers from the Empire who were killed. Thomas Ralph served in the Royal Naval Air Service and was killed in an airplane accident. Collection of the Naval Museum of Alberta. Photo: Julie Vincent Photography.
Mounted Police 40 years earlier; the three Shearer brothers who enlisted at Medicine Hat but only one of whom survived the war; and Harold McGill and Emma Griffis, whose love letters were presented along with their uniforms. Well-known Albertans—such as Wop May (who was the last Allied pilot chased by Baron Manfred von Richthofen, “the Red Baron,” on the day the Baron was shot down in 1918), Harold Riley (a former MLA and one of the founders of the Old Timers’ Association), and Sam Steele (who had fought in the 1885 North West Rebellion and the Boer War)—were also featured.
Some of the more interesting and unusual objects were not associated with battalions but rather with the more general themes. These included a wheelbarrow issued to a returning soldier as part of the Soldier Settlement Act, which sought to direct veterans into farming; and the table created by a disabled soldier while convalescing as part of a work-reintegration project. While mundane, these items conveyed important information about the theme of demobilization. In the end, many more objects were identified than could be used in the exhibit, and these were culled based on such criteria as lack of provenance, limited availability for loan, and the high cost of borrowing them. While provision had been made to acquire highly desirable objects from national institutions such as the Canadian War Museum, in the end this proved unnecessary.
Photographs were needed to illustrate the text panels, and a wealth of them were available from various archives, in particular the Glenbow and Library and Archives Canada. Since both institutions post their holdings online, their photos were the easiest to access. As with the artifacts, a variety of visually interesting subjects was desired, rather than just posed group company or battalion photos. Representations of training, frontline service, or other “action” photos were preferred and generally obtained.
With respect to museum interpretation, use of the “first-person voice” for impact and audience engagement was preferred. This has been a practice in Founders’ Gallery exhibits since 2009. The Military Museums, for example, have enriched exhibits pertaining to the Second World War by conducting oral history interviews with veterans, portions of which were then played, with both video and audio components, at listening and projection stations. Because such oral history research could not be conducted
Wheelbarrow issued to a veteran of Alberta’s 31st Battalion after the First World War to help integrate him into agricultural production as part of the Soldier Settlement Act. Collection of the Army Museum of Alberta. Photo: Julie Vincent Photography.
for *Wild Rose Overseas*, taped interviews were sought. Some were found in the museum’s own collections and others were obtained from the Glenbow Archives. This allowed the exhibit to include the “first person” voice as well. An unexpected benefit of the need to use these materials was that the museum was able to pay for the digitization of these analog materials that would otherwise have continued to degrade and eventually have been lost.
A number of regional museums in the province have military content as part of their permanent exhibit galleries. These include the Esplanade Arts and Heritage Centre in Medicine Hat, the Crowsnest Museum in Coleman, the Fort Museum in Fort Macleod, the Musée Héritage Museum in St. Albert, the Claresholm and District Museum in Claresholm, the Galt Museum and Archives in Lethbridge, the Museum of the Highwood in High River, and Lougheed House in Calgary.
For their First World War centenaries, several museums chose to highlight specific units associated with their communities. The Esplanade focused on the 175th Battalion, 3rd Canadian Mounted Rifles, and 13th Canadian Mounted Rifles, which were specifically raised in and associated with Medicine Hat. As with *Wild Rose Overseas*, the Esplanade borrowed materials from a variety of collections across the province including the Glenbow, the RAM, and The Military Museums. In this sense, the centennial represented a real convergence and opportunity for collaboration among Alberta museums. The exhibit (titled *Medicine Hat’s War 1914–1918*) ran from August to November 2014. Similarly, the Crowsnest Museum chose to highlight the role of the 192nd Battalion, the only one raised in the Crowsnest Pass. The exhibit is timed to coincide with the centennial of the formation of the 192nd Battalion in 1916, rather than the more general centennial of the start of the war. The Fort Museum also concentrated on the sole unit raised locally, the 191st Battalion. However, similar to the Esplanade exhibit, it also sought to feature individuals from the Fort Macleod area who joined other units such as the 13th Canadian Mounted Rifles. There was also coverage of First Nations’ soldiers, in particular the Mountain Horse brothers.
Steel helmet, 31st Battalion Canadian Expeditionary Force. This helmet was painted as a commemorative souvenir with the battle honours for all the battles that the 31st Battalion out of Calgary fought in. Collection of the Army Museum of Alberta. Photo: Julie Vincent Photography.
from the Blood (Kainai) Reserve. Albert Mountain Horse enlisted soon after the beginning of the war and served in the Canadian Army Service Corps, but died of pneumonia a little over a year later. His brother, Mike Mountain Horse, enlisted in the 191st Battalion but fought in the 50th Battalion. He created a wonderful “story” robe as a pictographic record of his overseas exploits, which is held in the Esplanade collections. The Fort Museum’s display ran from May to October 2014.
War Deed—Story Robe created by Mike Mountain Horse, from the Kainai (Blood) First Nation in southwest Alberta, with the assistance of Ambrose Two Chiefs, to commemorate his overseas service with Alberta’s 50th Battalion. Collection of the Esplanade Arts and Heritage Centre.
Other museums chose to tell the story of noted individuals, rather than specific units. The Musée Héritage Museum had a unique topic—that of Francophone participation from the area. The exhibit focused on experiences of local men who had been born in Belgium or France and left Alberta to serve with those armies, as well as other Francophones from the area who enlisted in the CEF. Titled *Joining Up! Our Men and Women in the First World War*, the exhibit ran from June to November 2014 and filled half of the temporary gallery at the museum. A separate exhibit titled *Brigadier-General Raymond Brutinel and the Motor Machine Gun Brigades* focused on one of the most notable soldiers from the area and ran from September to November 2014. Brutinel established the Motor Machine Gun Brigade during the war with his own money. A third exhibit, *The Home Front: Life in St. Albert during the First World War*, was also shown from June to August.
The Claresholm and District Museum also told stories of local individuals, but with the unique perspective of comparing and contrasting the experiences of 18–21-year-olds serving in the war to the experiences of that age group today, and different attitudes toward patriotism. The Claresholm exhibit extends from May 2014 to December 2018, one of the few to run through the centennial of all the war years.
For the Galt Museum and Archives’ exhibit *Lethbridge’s Experiences in the First World War—1914/1915*, the focus was on the life of Lethbridge’s most
Summary panel for the Musée Héritage Museum exhibit *Joining Up! Our Men and Women in the First World War*. The exhibit, in part, focused on experiences of local men who had been born in Belgium or France and left Alberta to serve with those armies, as well as other Francophones from the area who enlisted in the CEF. Courtesy of the Musée Héritage Museum.
Two commemorative exhibits at the Musée Héritage Museum, St. Albert, showcased home front history and artifacts and highlighted a local settler and entrepreneur, Raymond Brutinel, who established the Motor Machine Gun Brigades. Courtesy of the Musée Héritage Museum.
well-known soldier: General J.S. Stewart. In addition, the exhibit explored the initial response and mobilization efforts, Lethbridge’s militia history, the spread of patriotism, the rise of xenophobia, and recruitment. It ran from May to August 2014.
The Museum of the Highwood also had a small exhibit in 2014 on local individuals who served, including the poignant story of its local championship polo team whose members enlisted together but none of whom returned. This museum’s contribution to the centennial deserves special mention, in light of the devastation of 80 percent of its collections as a result of the June 2013 flood in southern Alberta.
The exhibit set up at Lougheed House in Calgary from October 2014 to January 2015 offered an interesting mix focusing on specific units and local individuals. Highlights included photos and artifacts from the Lougheed House collection exploring the roles that Clarence and Edgar Lougheed played in the war, as well as objects provided by The Military Museums showing connections between the Lougheed family and several regiments that fought in the war, namely Princess Patricia’s Canadian Light Infantry and Lord Strathcona’s Horse. Senator Sir James and Lady Isabella Lougheed’s work during and after the war, including helping to establish what is now Veteran’s Affairs, was also explored. The display comprised almost 1,000 square feet. Also, the City of Calgary Corporate Archives mounted a largely photo-based exhibit in City Hall on the theme of “Calgary in the First World War,” which ran from March to September 2014.
Finally, it is rare to see new war memorials created in any municipality, but the town of Blackfalds built one to recognize the 22 men who served from the community in the First World War, as well as those who fought in the Second World War and other conflicts. The complete poem “In Flanders Fields” was sandblasted into the circumference of the circular memorial, which also features glass mosaic work representing poppies and other motifs. It was unveiled and dedicated in a ceremony on 23 May 2014. A companion publication told the story of each of the 77 individuals represented on the memorial. In a parallel initiative, the community of St. Albert found that three soldiers killed during the First World War had not been included on its pre-existing cenotaph, and worked to get their names added.
These efforts are just some of the highlights of First World War commemorations around the province. Museums, as keepers of the communities’ artifacts and documents, have an important role to play in such activities. They collect, study, and interpret material relating to their communities and are “treasure-houses of memory.” This is why, whenever any significant community event is commemorated, they are the “go-to” places for setting up remembrance projects. All Alberta communities were touched by the war, and the fact that museum-based centennial commemorations were so widespread is a testament to the conflict’s broad impact and profound legacy to this day.
The community of Blackfalds constructed a war memorial in commemoration of the centenary of the First World War. Lieutenant Colonel (Ret’d) Moffat, a Korean War veteran, lays a wreath at the dedication ceremony on 23 May 2014. | 59acdf71-e0b4-4fa4-9f4c-f476ffd47d8c | CC-MAIN-2024-38 | https://prism.ucalgary.ca/server/api/core/bitstreams/8317b135-4c44-4b10-8c39-bcd2f5c4c3ca/content | 2024-09-14T21:27:36+00:00 | crawl-data/CC-MAIN-2024-38/segments/1725700651580.74/warc/CC-MAIN-20240914193334-20240914223334-00810.warc.gz | 441,364,215 | 35,999 | eng_Latn | eng_Latn | 0.910839 | eng_Latn | 0.998154 | [
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TURTLE'S CLIMATE ADVENTURE ACTIVITY GUIDE
Vihaan Mathur, Odessa Zhang, Odessa Hott & Sonia Mukherjee
With a coloring page by Jasper Jimenez
Turtle's Climate Adventure is produced under Youth Climate Action Team Incorporated ©, a 501(c)(4) nonprofit, dedicated to youth involvement in climate activism and education.
# Table of Contents
| Section | Page |
|----------------------------------------------|------|
| Discussion Questions and Reading Sources | 1 |
| Word Search | 2 |
| Key Story Concepts | 3-5 |
| Write to Your Representative | 6-7 |
| What is Compost? | 8 |
| Coloring Page | 9 |
Discussion Questions
For teachers and parents – these are examples of guiding questions you can use to facilitate discussion between yourselves, students and their peers. YCAT emphasizes the importance of inviting young people into conversations about climate change and encouraging their curiosity and exploration of the topic. It is okay not to have all the answers.
1. Did you learn something new from the story? What was it?
2. What questions do you still have about climate change?
3. What have you observed in your own community? Do you see climate change in effect?
4. What will you do with your new knowledge?
Reading Resources
- National Geographic
- NASA
- NASA Climate Kids
- Climate Reality Project
- American Lung Association
- National Institute of Health (NIH)
- NIH Environmental Justice
- Natural Resources Defense Council
Word Search
pollution plastic smog recycle
water air climate sea
Pollution
Pollution occurs when harmful substances enter our atmosphere and environment. These substances include various gases, trash, and chemicals, among others, and are collectively referred to as pollutants.
In Turtle’s Climate Adventure, we talk about three major types of pollution: air, land, and water. Some air pollution comes from natural places, such as volcanoes. But most air pollution comes from human-created sources and occurs when harmful gases (i.e. carbon dioxide and methane) enter our atmosphere. These gases are also known as greenhouse gases and are a major contributor to climate change.
Air pollution can come from factories, cars, and even our own homes, all of which are created by humans. When air pollutants mix with different gases and fumes they can produce smog, which you will learn more about on page five. These gases affect everyone and can harm the health of humans and cause coughing and other issues. They also harm our environment.
Water pollution describes the contamination of our water sources, such as oceans, rivers, and lakes. Polluted water sources often look brown or muddy. This is caused by runoff. Runoff happens when dirt and chemical substances from factories, farms, and homes, often during or after rainfall, mix with water and run into our water sources such as those we drink and use for bathing. Some examples of chemicals found in runoff include fertilizer, petroleum, and pesticides from farms. Some of the worst examples of water pollution cause toxic, undrinkable water and damage the homes of millions of animals.
Landfills
Landfills are major contributors to land pollution. A landfill is a deep hole in the ground where our trash often ends up. Like their name, we use them to fill the land with discarded plastics, food, paper, rubber, textiles—anything you can think of. Some materials can take up to a million years to decompose, partly due to a lack of oxygen in landfills. Excessive waste, which we all contribute to, is what causes these mountains of trash from homes, schools, factories, and public areas such as cities, to name a few sources.
Landfills emit greenhouse gases, such as methane and carbon dioxide, from decomposition. These gases are harmful to the humans, animals, and the environment, and speed up the progression of climate change. Toxic substances can end up in landfills, which seep into the earth and water we use from underground (called groundwater) over time, harming humans and wildlife. Landfills can be so toxic that being near one for a short amount of time can cause coughing, eye irritation, and illness. Unfortunately, some people live very close to landfills and experience these negative health effects and worse.
Greenhouse Effect
A spike in greenhouse gases produced throughout the past century has permanently altered our planet’s temperatures and weather. They are known as heat-trapping gases, trapping heat from the sun in our atmosphere and preventing it from returning to space. This makes our air warmer. We call this the “greenhouse effect.” Greenhouse gases are natural and essential to regulating temperatures on Earth, but excess gases emitted by factories, coal plants, transportation, agriculture, etc., cause Earth’s average temperature to increase.
Warming temperatures and sea level rise also escalate the frequency of and exacerbate extreme weather, increasing the probability and destruction of hurricanes, storms, and tsunamis. In warmer air, more water vapor forms, resulting in heavier precipitation (i.e. rain or snow). Too much precipitation in one area can lead to drought and extreme heat in another. The warmer temperature, the quicker moisture evaporates which dries out soil and vegetation, escalating the risk of drought and heat waves. And the warmer and drier conditions are, the more vulnerable a region becomes to wildfires.
There are two primary factors responsible for sea level rise: thermal expansion and melting ice. Thermal expansion occurs when water gets warmer, causing it to rise. As the planet warms, the ocean absorbs the heat and becomes warmer, too. While this is happening, the volume of the water increases and the ocean expands, thus prompting sea level elevation.
The other major contributor to sea level rise has to do with the melting of glaciers and large sheets of ice. Warming temperatures melt these bodies of ice at a faster rate than they can gather snow and freeze over, so these melted masses of ice just add to the volume and rise of the ocean. Ice acts as a barrier, reflecting heat from the sun and keeping the ocean and colder regions cool. This is vital to survival for marine ecosystems and animals such as polar bears.
Yet not only does this threaten the ecosystems that rely on the ocean to live, it also threatens humans and our homes, especially those closer to the seashore that are at risk of flooding.
When smoke and fog mix they create a thick, smelly, brown or grey form of air pollution called smog. Common in large cities with lots of traffic and industry, such as factories, smog can not only make it difficult to see but it is also unhealthy for people, plants, and animals. Today, the smog we see is called photochemical smog, which occurs when sunlight reacts with nitrogen oxides (a mix of nitrogen and oxygen, i.e exhaust from cars and emissions from factories and coal power plants), and something called a volatile organic compound or VOC. VOCs come from gasoline (what we use to fuel most cars), some paints, and many cleaning products. VOCs are harmful to both the planet and humans.
Smog can also be called ozone. You may have heard of the 'ozone layer', a protective layer in our atmosphere shielding us from ultraviolet radiation emitted from the sun. Our ozone layer has been damaged over the years, creating holes which allow some of that radiation through. This is why it is important to wear sunscreen when you go outside—even on cloudy days!
This ozone is positive because it protects us. But smog is a negative kind of ozone that can make our eyes itchy and irritable, as well as damage our lungs and make it difficult for people with lung illnesses, such as asthma, to breathe properly. One of the best ways you can help reduce smog is to walk and/or ride a bike instead of driving when you can. Since you are not driving yet, ask a parent or family member about taking walks or riding bikes. This can also be a fun activity to do with your loved ones while also helping the planet!
Each year, we vote for people to become our representatives (or elected officials). They are called representatives because they are elected by voters to represent you and the people who live in your area in state and local government. We are called constituents. You must be at least 18-years-old to vote, but you are still a constituent and your elected officials represent you and the issues you care about, too.
You don't have to wait until you are 18 to participate in government. One way you can participate is by writing to your elected officials. In your state, you can write to your governor, mayor, senator, city council member, or someone on your school board, to name a few. You can also write to officials in Congress and even the President! For issues in your local community, we recommend starting with representatives in your town or county.
To find out who your representative is, ask an adult to search for USA.gov online. There you can find your town's website where there will be information about your who your representatives are and where to send your message.
Even though you must be at least 18-years-old to vote, you can still make your voice heard right now. Writing to our representatives or elected officials is something we can all do, and it is a powerful way to advocate for climate change!
Ready to write your own letter?
Writing Your Own Letter
Example:
Dear Representative Brown,
My name is Jane Smith and I am in 1st grade at Hillside Elementary School in Hillside County. I am learning about climate change and am concerned about smog in our community. This issue affects me, my loved ones, and my community because it makes the air unclean and difficult to breathe. This issue is important because smog can cause sickness and harm our hearts and lungs. With your help, I would like to find a solution to this problem in our community so that we can breathe clean air and spend more time outside.
Thank you! Sincerely,
Jane Smith
Write Your Own!
Dear Representative (name),
My name is (your name) and I am in (your grade) at (your school) in (your town). I am learning about climate change and am concerned about (issue). This issue affects me, my loved ones, and my community because (how it affects you.) This issue is important because (why it is important). With your help, I would like to find a solution to this problem in our community.
Thank you! Sincerely,
(your name)
What is Compost?
Composting is a method of reducing and recycling waste by diverting it from landfills to your own backyard! Essentially, you add organic material, a.k.a. compost, to a bin or container in your backyard. When exposed to heat, CO2, and water, fungi and other decomposers are produced which then break the organic waste down into humus. Humus is a dark, soil-like product of the decomposed compost. Finally, you can add the humus to your garden where it acts as natural fertilizer for plants and crops, and creates more nutrient-rich soil.
Decompose means to "break down".
So, what can be composted?
Composting requires a ratio of browns to greens.
BROWNS:
- Hay
- Leaves
- Shells
- Cardboard
- Newspaper
- Eggshells
- Woodchips
- Paper towels
GREENS:
- Grass clippings
- Fruit and vegetable scraps
- Coffee grounds
- Tea bags
- Carrots
- Onions
- Broccoli
- Leeks
You can compost, too! Visit these sources to learn more.
KidsGardening SciShow Kids NatGeo Kids PBS Kids
Teach Go Green KidsDo: Gardening
DID YOU KNOW: Turtles existed with dinosaurs, over 100 million years ago!
Print this page to color Turtle riding a dinosaur!
YOU DID IT!
You completed the Turtle's Climate Adventure activity guide! Are you ready to continue learning?
Order a digital or printed copy of the book today on Amazon! All proceeds support the expansion of the project.
Stay in touch with us!
Website: ycatinc.com
Instagram & TikTok: @youthclimateinc
LinkedIn: Youth Climate Action Team Inc.
For additional questions, resources or support, contact us at firstname.lastname@example.org.
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DTPC Completes Three Major Fencing Projects at the DTNA
This year the DTPC completed three major fence projects at the Desert Tortoise Natural Area (DTNA), totaling approximately 3.3 miles of new protective fencing. The entire perimeter of the DTNA was originally fenced in the 1970s. This fence was constructed to prevent Off Highway Vehicles (OHV) and domestic sheep from entering and damaging the DTNA, but was designed to allow tortoises to move freely in and out of the preserve. This year’s fencing efforts were done in part to correct problems with portions of the existing fence line. Funding for the fence projects was derived from mitigation fees collected from Incidental Take Permits.
The first of the fence projects was along a mile long stretch on the southwestern border of the DTNA (in Section 6 of Township 31 South, Range 38 East), and was done to rectify a mistake made when the fence was originally placed in 1974. Back then, the fence was inadvertently placed not along the Section line, but 25 feet to the east. This was not a problem until last year when the Hyundai Corporation acquired and fenced off (as part of its mitigation requirements) the section of land immediately west of Section 6. This created an approximately 25-foot corridor between the DTNA and the Hyundai land. The corridor represented a real management challenge because of the potential for increased vehicular traffic and trespass into the DTNA, a risk of third-parties claiming public or private easements to the corridor by prescription, and increased impacts to the DTNA due to weed proliferation and other nuisances.
The DTPC, in cooperation with the Bureau of Land Management (BLM), conducted a certified survey of the western section line of Section 6, and completed the fence in September 2007. The new fencing...
replicates the original graduated woven wire fencing that exists around the rest of the DTNA, but includes many improvements to make the fence more durable. Future work along Section 6 will include the removal of trash and weeds, photo-monitoring to document the effect of the new fence line, restoration of habitat along the new corridor, and continuous monitoring of the newly installed fence for vandalism and theft.
The second fence project took place on the eastern border of the DTNA. One mile of fencing was constructed along the eastern border of Section 13 (Township 31 South, Range 38 East). Since the creation of the DTRNA, the eastern boundary fence of the preserve at Section 13 was indented to accommodate private landowners. In essence, there existed a “key-hole” of privately-owned land jutting a square mile into the middle of the DTNA. With the acquisition of key boundary parcels in Section 18 (Township 31 South, Range 39 East) in 2006 and 2007, the DTPC finally achieved the opportunity to close the Section 13 “keyhole” by installing protective fencing along the eastern boundary of Section 13. The newly-installed fencing was completed in August 2007 by Fence Corp.
The third major fence project this year occurred within the eastern expansion area of the DTNA in an area known as Camp “C”. As a result of a federal legal settlement related to development by Hyundai Corporation of a test track in an area south of California City, the Center for Biological Diversity acquired and then donated to the DTPC in May 2005 the nearly 32 acres of land at Camp “C”, about one mile east of the DTNA. Historically, the so-called Camp “C” served as a California City-owned public recreation area that was frequently used by Off-Highway Vehicle users. Over the years, the habitat in and around the campground experienced a significant degree of degradation. Today, the land is almost completely devoid of vegetation and is highly compacted.
In April 2005, the U.S. Department of Agriculture’s Natural Resources Conservation Service awarded the DTPC a Wildlife Habitat Incentives Program (WHIP) grant. The grant provided the DTPC with a total of $45,540.00 in funding, of which $23,040.00 was to be allocated to fence construction of Camp “C” and $22,500.00 to habitat restoration over a six year period. The Defenders of Wildlife awarded the DTPC a $6,000.00 matching grant in September 2005. The difference between grant funding and actual costs was to be funded by mitigation fees collected from Incidental Take Permittees. In addition to the habitat restoration work required under the WHIP grant, future work to be considered at this project site may include: photo-monitoring to document the effect of the new fence line, continuous monitoring of the newly installed fence for vandalism and theft, and pro-active communication of the project to the City of California City and its residents.
---
**The Desert Tortoise Preserve Committee, Inc.**
Founded 1974
Preserve Manager and Office Administrator
Melissa Nicholson
Board of Trustees
President Mark Hagan
1st Vice President Stephanie Pappas
2nd Vice President Mark Bratton
3rd Vice President Jane McEwan
Treasurer Laura Stockton
Recording Secretary Mark Massar
Board Member Kristin Berry, Ph.D.
Telephone: (951) 683-3872
Fax: (951) 683-6949
E-mail: <firstname.lastname@example.org>
http://www.tortoise-tracks.org
Desert Tortoise Preserve Committee Appoints Melissa Nicholson as the Preserve Manager/Office Administrator
Riverside, Calif., November 9, 2007 – The Desert Tortoise Preserve Committee (DTPC) today announced that Melissa Nicholson was appointed as its Preserve Manger/Office Administrator effective November 5, 2007. Ms. Nicholson brings 5 years experience in wildlife monitoring and environmental management of threatened and endangered reptiles, amphibians, birds and mammals.
“We are very pleased to have a new employee, Melissa Nicholson,” said Dr. Kristin Berry, of the DTPC and Board of Trustees. Melissa is our new Office Administrator and Preserve Manager. Melissa graduated with a BS in Zoology and Environmental Biology from Michigan State University and earned a MS degree in Biology from the University of Texas at Tyler in 2007. She has experience working with many different animal species from spiders to the three-toed box turtle, loggerhead sea turtles, green sea turtles, and gopher tortoises. She has taught age groups from children through adults. She was a teaching assistant at the university level for a variety of courses including anatomy and physiology, ecology, and ornithology. She taught at Camp Tyler, an outdoor science camp geared to educating 5th grade students in earth science, environmental awareness, and an appreciation for nature. She has given presentations and lectures to groups ranging from the Boy Scouts of America to Women in Science. She is a co-author on two publications with a third that is pending. Melissa will be participating in many aspects of the daily operations of the Desert Tortoise Preserve Committee and is very excited to be part of our conservation efforts. You can reach Melissa at (951) 683-3872 or email@example.com.
“Melissa combines excellent wildlife biology and communication skills with hands on field experience, and has a strong desire to focus on conservation of the desert tortoises and the habitat in which it lives. She will assist the committee in our ongoing recovery efforts and continued success in managing land acquisitions and restoring habitat in the Mojave and Sonoran desert,” said Stephanie Pappas, of DTPC and 1st Vice President.
About DTPC
DTPC is a leader in protecting the threatened desert tortoise and its ecosystem by preserving habitat in California’s Mojave and Sonoran deserts, and by fostering research and education. The DTPC was established in 1974 to conserve and manage populations and habitat for the desert tortoise, now a federally-and state-listed threatened species. The DTPC is a non-profit corporation managed by a Board of Trustees. The organization has many functions, all of which are focused on recovery efforts for the tortoise, the ecosystems it occupies, and other plants and animals in Mojave and Colorado desert ecosystems. The Mohave ground squirrel and more recently, the burrowing owl, are also animals of concern.
The Committee worked with the BLM to establish the Desert Tortoise Research Natural Area (DTRNA) in Kern County, California in 1974. In 1980 the designated boundary of this preserve was 39.5 square miles of prime habitat that historically supported one of the highest tortoise population densities. In 2002, the DTPC launched a major initiative to expand the DTNA to include prime tortoise habitat to the west, southeast and east, adding an additional 4,500 acres of habitat home to the desert tortoise and other imperiled wildlife such as the Mohave ground squirrel. In April of 2007, the DTPC achieved a long-term objective of fencing a “keyhole” along the eastern boundary of the DTRNA. The fence which is one linear mile, was completed in August 2007, demonstrating the Committee’s continued efforts to restore habitat for the desert tortoise.
Natural History
Lizards at the DTNA
By Mark Massar
Of all the other vertebrate species that share the desert environment with the desert tortoise, the most conspicuous and numerous are the lizards.
Desert iguanas are among the DTNA’s largest lizards. These herbivorous lizards are more tolerant of heat than most lizards and can be seen out during the hotter part of the day when other lizards have sought shelter.
The Desert Tortoise Natural Area (DTNA) supports one of the most diverse lizard populations in North America, with 11 species of lizards occurring within the 39 square mile preserve.
Lizards are especially well adapted to living in the desert. Because of their low metabolic requirements, lizards can subsist on low levels of food. This is a major advantage for surviving in the desert, with its sparse and unpredictable food supplies. One day’s food supply for a bird can last a lizard of similar body mass for more than a month. Being ectothermic, lizards do not have to use their valuable energy reserves for heating their bodies—they rely instead on the desert’s free and abundant heat.
Late Spring is the best time to see lizards at the DTNA. Drive slowly in the late morning along the dirt road which surrounds the DTNA and you will see numerous lizards of all sorts darting across the road. Fastest of all the lizards is the zebra-tailed lizard, whose speed has been clocked up to 18 mph. Zebra-tailed lizards hold their black and white ringed tails upward as they run, and wiggle it around, probably to divert the attention of predators to its tail, which, once detached, will readily regrow.
Another lizard commonly seen along the DTNAs dirt perimeter road is the desert horned lizard. This small armed lizard, about the size of the palm of your hand, eats almost exclusively ants. Their flattened body shape does not allow desert horned lizards to run fast. Instead, they rely on camouflage and their horns to escape predators. Horned lizards will remain stationary until they are almost stepped on, and then will run off a short distance and freeze, relying on their camouflage for protection. The color patterns and markings of horned lizards at the DTNA are especially beautiful.
**List of the lizards found at the DTNA**
1. Banded gecko (*Coleonyx variegatus variegates*)
2. Chuckwalla (*Sauromalus obesus*)
3. Collared lizard (*Crotaphytus insularis bicinctores*)
4. Desert horned lizard (*Phrynosoma platyrhinos calidiarum*)
5. Desert iguana (*Dipsosaurus dorsalis*)
6. Desert spiny lizard (*Sceloporus magister uniformis*)
7. Long-nosed leopard lizard (*Gambelia wislizenii wislizenii*)
8. Side-blotched lizard (*Uta stansburiana*)
9. Zebra-tailed lizard (*Callisaurus draconoides*)
10. Western whiptail lizard (*Cnemidophorus tigris tigris*)
In Memory of Betty Forgey
Betty Forgey, founding member of the Board of Trustees and the first president of the Desert Tortoise Preserve Committee, passed away on October 27, 2007 at the age of 87. Betty skillfully led the DTPC during its formative years and was also involved in all aspects of the Committee efforts. Her first fund-raising endeavor was to craft small resin tortoises in her bathtub. The little tortoises were given in exchange for a $1.00 donation to the fencing fund. Betty regularly attended California Turtle and Tortoise Club events to raise funds and to increase awareness of DTPC protection efforts. She served as a tour guide for groups visiting the Natural Area and shared her love and knowledge of desert natural history. She was an expert on identification of spring wildflowers and highly valued as a tour guide by university classes and professors. Betty and her husband Warren Forgey volunteered at spring and fall work parties at the Natural Area beginning with the first work party and continuing for many years. Betty and Warren did not miss an annual banquet for the first 30 years. Even after she was no longer able to be involved in the regular activities and work of the Committee, she supported its effort and stayed informed about the issues.
Professionally Betty was a Certified Registered Nurse Anesthetist and worked at several hospitals, including Hollywood Presbyterian, Boron and Barstow hospitals, during her nursing career. As a community and environmental activist, she was involved in other organizations and community activities in addition to the DTPC. Betty was a long-time member of the California Garden Club, active at the local, regional and state levels, including chairing the state convention that was held in Lancaster. She also volunteered in a number of capacities at the Twenty Mule Team Museum in Boron.
The California Nature Conservancy honored Betty for her commitment to desert habitat preservation by presenting her with the Outstanding Service Award for Conservation in 1985. In 1987 she received the John Reid Memorial Conservation Award from the California State University, Bakersfield, Facility for Animal Care and Treatment.
Her lifetime dedication to desert habitat conservation, her vision and skills as a leader and volunteer, and her friendship were important to many of us. She will be missed by those of us who were fortunate to work with her over the past 34 years.
In Memory of Walter Allen
Walter B. Allen, an icon of the turtle world passed away on August 2, 2007 at the age of 81. Walter loved turtles, served as a mentor, and was a dear friend to many individuals working for the conservation, education and preservation for turtles of the world. He was an individual that will live in our memories for decades to come.
Walter built an empire called Casa de Tortuga in 1978, which was home to a 1,000 plus turtles from around the world. He spent forty years of his life helping turtles, and opened his doors to the public to provide education on the plight of many chelonian species. For twenty five years Walter cared for the turtles, and gave tours six days a week to schools, youth groups, churches, clubs, and families. *Casa de Tortuga* was known world wide and brought joy, happiness and smiles to those that would visit.
Walter was a rare, unique, and eccentric individual that generously donated his time and money to organizations working to protect turtles and the habitat in which they live. Walter was a life time member, one of the original members, of *California Turtle and Tortoise Club* (CTTC), founded in 1964. He gave of his time endlessly to this organization. One of his favorite things to do was attend meetings for members, and bring unique turtle items to sale at meetings and shows. He constantly raised money for the club to help with turtle rescue and education. Walter served as editor of the *Tortuga Gazette* from November of 1978 to May of 1991, the longest serving editor in the history of CTTC. He contributed many articles on turtle husbandry and was highly respected among turtle colleagues. In addition to the twelve years he served as editor, he also took care of the distribution of this publication. He would fold and bundle up 2,800 gazettes monthly to be sent out to members. This was not the only organization that Walter was involved with.
Walter became a member of the *Desert Tortoise Preserve Committee* (DTPC) in the 70's and donated funds annually to help protect the desert tortoise in its natural habitat. He attended the DTPC annual banquets for many years of his life. He also attended the Desert Tortoise Council meetings for years where he was never shy about expressing his viewpoints and offering insight into the distressing topic of the decline in turtle populations throughout the world. He was known for his humor, making people laugh, and witty personality which will be greatly missed by many of us.
Walter traveled the world to study turtles
In Memory of Paquita Machris
Paquita Machris, Los Angeles philanthropist and supporter of the DTPC since December of 2005, passed away October at the age of 95. Betty Forgey, founding President of the DTPC, was at a California Turtle and Tortoise Club show when Mrs. Machris made her first donation. She wrote a check for $1000 to the Committee. Betty was overwhelmed and excited, because at that time, Betty was fundraising to fence the Desert Tortoise Natural Area. This very special donation came at a critical time when the DTPC was beginning its second year as an organization. Mrs. Machris continued to donate to the Committee regularly over the years. Mrs. Machris was well known for her contributions and support of the Los Angeles Natural History Museum, for being instrumental in relocating and preserving a herd of Arabian oryx, and for supporting numerous charities including Wildlife Preservation Trust International, the Zoological Society of San Diego, and the Los Angeles Philharmonic Association.
and had many stories to tell about his journeys to Costa Rica, the Galapagos, South Africa, Kenya, Seychelles, Aldabra, Australia, France, Georgia, Venezuela and more. In particular, he was dedicated to saving the Galapagos and Aldabra tortoises. He made many contributions to Charles Darwin Foundation, and many wildlife conservation groups abroad. He loved these turtle journeys and he was remarkable at establishing bonds with a variety of people throughout the world.
Another fascinating thing about Walter was not only his passion for turtles, but also his fetish for collecting turtle items. He had most likely the largest collection of turtle T-shirts from around the world. "During his travels he would get one to wear and one to keep in mint condition and several for his friends," said Dr. Peter Pritchard. He not only collected turtle T-shirts, but turtle objects in all shapes and sizes. Casa de Tortuga was a haven to unique turtle items from all around the world. The walls, doors, and yard were filled with wonderful statues, paintings and sculptures of turtles and tortoises. Many of these items were donated to both CTTC and the DTPC from his estate.
Walter’s generosity, warm smile, and devotion to turtles around the world will live on in our memories for many years to come!
On 13th October 2007 the Desert Tortoise Preserve Committee held its annual fall work party. This year’s party revolved around Camp C a highly disturbed area (mostly denuded of vegetation), an old OHV and camping area, and is approximately (32 acres in size). This year at the work party we installed signs along the fence that was recently built in two sections of Camp C. We also took stream bed measurements, picked up trash and collected plant material for vertical mulching throughout the Camp C area. Vertical mulching is a technique used to restore damaged habitats. In addition, the Desert Tortoise Natural Area’s parking lot was raked and the outhouse was cleaned. This year the following people were involved in the Fall work party: Zack Miller, Jay Martin, Bob Parker and Shellye Ellis from the BLM, Chuck Hemingway, Gerald Todd and his son Carter, Brent Daly and his son Tristan, and Board members Laura Stockton and Mark Bratton. The DTPC would like to thank everyone who participated in this year’s work party. | 9715a3bd-bfaa-48b3-9c9d-bdd90550d0f3 | CC-MAIN-2021-04 | https://tortoise-tracks.org/wp-content/uploads/2020/09/tortoise-tracks-27-3-fall-2007.pdf | 2021-01-25T09:36:09+00:00 | crawl-data/CC-MAIN-2021-04/segments/1610703565541.79/warc/CC-MAIN-20210125092143-20210125122143-00119.warc.gz | 597,042,104 | 4,280 | eng_Latn | eng_Latn | 0.996055 | eng_Latn | 0.997093 | [
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Introduction
The step-by-step outline provided in this document summarizes the process for restoring trees so that they will bring shade and beauty back to the community with reduced risk. Restoration typically requires more than one pruning to develop strong tree structure, so remember that patience is a virtue when dealing with storm-damaged trees.
Various factors determine the period of time necessary for recovery: age and health of tree, size, species, and extent of damage. These factors are interrelated, and together determine the amount of care a tree will need after a storm. A restoration pruning program typically lasts from two to five years and perhaps much longer for large and severely damaged mature trees.
Know what trees can be restored. The structure of the tree should be intact, without any visible cracks or large wounds on the main trunk, limbs, or main roots. Trees can recover from complete leaf loss or significant damage to the canopy, including several broken limbs, but major trunk damage is often irreparable.
I. Response Plan for Immediately after a Storm
After a storm, removing hazards and cleaning tree canopies of broken limbs and dead stubs should be the focus of treatment. Major pruning to alter the tree’s structure should not be done at this time. Trees use energy stored in the wood to recover from damage and produce new growth; therefore, during the clean up process, the least amount of live wood possible should be removed. (Think of the stored energy in trees as the limited funds in a bank account. After paying for repairs on the house due to hurricane damage, homeowners usually do not rush out to buy a new sailboat. Similarly, this is not the time to further reduce the already limited “funds” of the tree by removing live wood.)
Be very careful not to cause additional stress to the tree by injuring trunk, branches, or roots. Do not top your trees or cut the entire canopy back to stubs (Figure 1). Many communities in Florida outlaw or discourage topping because it leads to decay and reduces its vigor.
Step 1
Get help with removing potential hazards.
If a limb has fallen near power lines, make sure that a qualified line-clearance arborist treats the situation. Working near electricity is highly dangerous, and may result in a fatality for workers who do not follow proper safety procedures. Other hazardous situations include large hanging limbs or leaning trees that could fall on a person, hit a house, or damage other potential targets if they go down. These situations should be taken care of by a professional before anything else.
Step 2
Stand up and stake small fallen trees, and provide irrigation as needed for stressed trees.
Standing up small fallen trees is a priority because the roots dry out quickly. Experienced professionals have observed from past hurricanes that staked trees with a trunk diameter greater than about 4 inches tend to blow down again in later storms, and may not be worth the time and expense for restanding. The reason for this appears to be that severed roots on bigger trees do not regenerate new roots as well as small (one inch diameter or less) roots do. Also, large severed roots can decay or rot, making the tree unstable. The exception is recently planted trees, which can be restaked at any size because they do not have large broken roots. These trees should be treated as new plantings and staked with the help of a professional.
Staking methods
Research and experience on the effectiveness of different staking methods show that some systems work better than others. Root ball anchorage systems work very well to stabilize trees in the soil (Figure 2). Rigid systems can work, but they need to be adjusted or removed within six months (Figure 3).
Figure 1
Topping is detrimental to tree health.
Figure 2
Root ball anchorage systems work nicely.
Figure 3
Rigid staking systems may cause significant trunk damage. This system is less problematic for palm trees because their trunks expand very little at the point where the stakes are secured.
Steps for standing up trees that have fallen
1. Keep roots moist.
2. Excavate a hole to accommodate roots.
3. Use sharp tools to make clean cuts on jagged or torn roots.
4. Pull the tree up as straight as possible, taking care to not damage the trunk or roots.
5. Fill the hole with soil from the site, but avoid burying the area where the trunk meets the top main root (Figure 4).
6. Irrigate the tree with the same frequency as for newly planted trees, approximately three times/week for the first several months. Also, apply water during dry periods. Do not fertilize for one year.
7. Install staking system. Remove or adjust stakes after six months to one year.
Irrigation for stressed trees
Root growth is necessary for tree recovery after the storm, and keeping the soil moist will encourage formation of new roots. During the dry period of October through mid-May in Florida, trees should be irrigated as needed to help them recover from storm damage. When irrigating staked trees, two to three gallons per inch of trunk diameter should be sufficient. Efficient irrigation systems apply water directly to the root ball, rather than spraying overhead. Irrigation is not needed if the root ball is already saturated or wet from heavy rains.
Significant tree dieback due to salt damage can occur in coastal areas that receive storm surge from hurricanes. These trees may require irrigation treatments to remove salts from the soil by flushing with water.
Step 3
Clean tree canopies.
The purpose of canopy cleaning is to remove potential hazards like dead and cracked branches and broken limbs. Canopy cleaning also includes making smooth pruning cuts behind broken branch stubs to allow the proper development of new tissue to close over wounds (Figure 5). Remember that stressed trees need to access energy stored in their limbs in order to recover. The stored food is necessary for the tree to sprout, produce new leaves, and defend itself against organisms that cause decay. It is better to leave the tree looking unbalanced and misshapen than to remove large portions of the live canopy at this time. Shaping can be done later as part of the restoration process.
Removal cut
A removal cut removes a branch back to the trunk or parent branch (Figures 6 and 7). After a hurricane, this type of cut is used to remove broken, cracked, and hanging limbs. Hanging and detached limbs should be removed first so that branches do not fall and cause injury. Be sure there are no cracks along the large, main branches; use binoculars to get a closer look if needed. Arborists can climb trees to check for cracks and other structural defects. A branch with a crack can be a hazard, and should be removed if there is a target nearby.
Reduction cut
A reduction cut shortens the length of a stem by pruning back to a smaller limb, called a lateral branch (Figures 8 and 9). Ideally, the lateral should be at least 1/3 the diameter of the stem being cut. This type of cut is used for making clean cuts behind jagged tips of broken branches.
Figure 6
Drawing of a removal cut. After a hurricane, removal cuts are used to remove broken, cracked, and hanging limbs back to parent stems.
Figure 8
Drawing of a reduction cut. This type of cut is used for making clean cuts behind jagged tips of broken stems and branches.
Figure 7
Photograph of a removal cut. Branch is pruned back to the trunk, leaving the branch collar intact. A good pruning cut is round. Cuts that are too close to the trunk are oval-shaped.
Figure 9
Photograph of a reduction cut. Branch is correctly pruned back to a lateral that is at least 1/3 the diameter of the broken stem.
Heading cut
A heading cut is made at a node along the stem and leaves a stub (Figures 10 and 11). A node is the bud area from which branches arise, sometimes visible as a line around a stem or a slight swelling. When there is not a live lateral branch present for making a reduction cut, a heading cut could be a better choice than removing a large limb back to the trunk during canopy cleaning. Removal of large limbs can take away too much live wood, causing decay and disrupting canopy balance. This can result in poor health or tree failure in the years to come.
Heading cuts are allowed in the American National Standards Institute’s national pruning standard [1] as part of restoration pruning. A heading cut used to clean the canopy could look like topping, which is a harmful method of pruning trees, but the practice is dramatically different. Topping severely reduces the entire canopy of a tree (Figure 10, top), whereas heading cuts used in restoration are made only when necessary. Otherwise, heading cuts should not be used as a standard practice on healthy, undamaged trees.
Summary of Actions after a Storm
Contact the power company if a tree is down near power lines.
Determine whether the tree is personal or municipal property to avoid unnecessary expenses.
Protect roots of fallen trees from drying out by watering them and covering them with a tarp, not clear plastic.
Hire a professional to help with staking fallen trees to avoid causing trunk damage.
Before pruning, assess damage and make sure the tree is restorable.
Hire an ISA-certified arborist for restoration pruning. Be familiar with the steps of restoration so that you know what to expect.
Look up! Use binoculars to check for broken branches in the upper canopy, and look for cracks along limbs.
Broken, hanging limbs are removed first. Jagged tips of broken branches should be removed with a smooth pruning cut.
Unless limbs are cracked and pose a hazard, excessive amounts of live wood should not be removed.
Reduction cuts are preferable on broken limbs, but if there is not a lateral to reduce back to, heading cuts are sometimes appropriate.
II. Allow Time for Recovery
Wind damage from hurricanes often strips the leaves from a tree. This interrupts the tree’s ability to photosynthesize and store energy. In response to the damage, the tree sends out epicormic shoots, typically referred to as sprouts, found mostly along the top and at the tips of branches. To produce the sprouts, the tree uses energy (starch) stored in the living wood, which temporarily weakens the tree. Allowing sprouts to grow will rebuild the starch reserves and other energy-storing compounds, increasing strength of the tree over time.
**BROADLEAF EVERGREEN AND DECIDUOUS TREES**
Wait until spring of the following year before determining if a tree is dead. If it does not sprout by the spring or early summer following the hurricane, it is not likely to recover.
**PINES**
Pines sprout very little or not at all. When all of the needles are brown, or if there are no needles, the pine is dead.
**PALMS**
All leaves come from one bud located near the top of the palm. On palms with multiple trunks, each stem has a bud near the top. After a storm, it is difficult to determine whether the bud was damaged unless some obvious injury has occurred, like the trunk snapping in half.
Allow at least six months to see whether new growth emerges from the bud. New fronds could be stunted or yellow—leaves may be smaller and abnormally shaped—and it may take 2 years or more before the palm regains its full set of leaves [2].
Factors Affecting Recovery
Several factors determine the recovery period needed before initiating restoration pruning.
**Tree Age**
This is an important factor—young trees have a higher ratio of live to dead wood, which allows a faster recovery. This means you can begin restoring young trees sooner after the storm, within one to two years. Older trees may need two years or longer for sprouts to grow before you remove live branches.
**Tree Size**
Small maturing trees (less than 30 feet tall at maturity) take fewer pruning visits because structural defects are not as critical. A falling crapemyrtle limb will not inflict as much damage as a falling live oak limb, for example. Large trees take priority during hurricane recovery. However, small trees still need time to recover properly. Trying to prune too much live wood at one visit will be just as problematic for the health of a small tree as it would be for a large one.
**Tree Species**
Knowing the species of a tree is particularly important in forming a pruning plan. Some species are short-lived because they are prone to decay. Therefore, it may be more efficient to focus restoration efforts on trees that resist decay and are more likely to live longer. Common examples in Florida are live oak and buttonwood, which resist decay and recover from damage much better than laurel oaks, which often have severe internal decay.
**Tree Health**
Health of the tree prior to the hurricane will affect its ability to recover. Healthy trees recover faster than those in poor health. Old trees with decayed root systems, stem decay, and large dead branches are more likely to decline or die than recover. These preexisting conditions might make it more appropriate to remove the tree instead of restoring it.
**Extent of Damage**
The extent of damage to the tree will also determine the length of time to wait before pruning live branches. The more damage to the tree, the longer you should wait before pruning. Severely damaged trees should be monitored to determine whether they are recovering or declining. Recovering trees will sprout aggressively, while declining trees have fewer, slow-growing sprouts and few leaves.
III. Restoration Pruning Program: Sprout management
Once a tree has been determined to be worth restoring, its canopy cleaned, and the appropriate length of time has passed for recovery, it is time to begin sprout management. Sprout management is the training of sprouts so that they will grow into strong branches and build structure back into the tree.
First pruning visit
Two or more years after storm
Dead portions of branches that did not sprout and any other dead branches and stubs in the canopy should first be removed. Sprouts on recovering trees grow aggressively, and competition for light and space can lead to long, weak sprouts. Therefore, the goal for the first pruning visit is reduce some sprouts, remove some, and leave some (Figures 12 and 13). The most vigorous sprouts often develop side branches, and these are the ones that should be left. Leave all lower side branches on developing sprouts that will remain in order to encourage strength. Remove sprouts located near the selected sprouts to allow space for growth. Ideally, the selected sprouts should be spaced approximately 12 inches or more apart. Some sprouts should be reduced rather than removed because they will continue to build energy reserves and increase the strength of the damaged branch. The reduced sprouts will be removed at a later pruning visit, or they may be shaded out and die naturally.
Keep in mind that if the first visit is several years after the storm, there may be touching and crossing sprouts. Restoration pruning should remove or reduce these sprouts to ensure none are touching. Space them apart so each develops properly.
Second and third pruning visits
Allow about a year between pruning visits. The objective for the second and third visits is to continue sprout management, keeping the most vigorous sprouts to be the new branches, and reducing or removing competing sprouts. Large and severely damaged trees may need more pruning visits, while young or moderately damaged trees may only need a second visit to complete sprout management. Again, patience is important in this process. If sprouts are removed too soon and enough time is not allowed for building starch back into the wood, the tree will resprout, causing a decline in health. If pruning cuts made during the canopy-cleaning process left stubs that are sprouting poorly, consider removing these. Also, remove any dead branches at this time.
Figure 12
Illustration showing sprout management.
Reduce some: Shorten (reduce) 1/3 of the sprouts (dotted). They will continue to store energy, but will eventually be removed.
Remove some: Remove 1/3 of the sprouts (dashed) to allow space for the most vigorous ones to grow.
Leave some: These will develop into the new branches.
Figure 13
Sprout management on a damaged horizontal branch. Reduced sprouts are indicated by dotted lines, and removed sprouts by dashed lines. The arrow in the illustration on the left points to a dead stub that was removed back to a live branch.
The goal of sprout management is for a sprout to become the new branch leader and close over the pruning cut at the branch tip. Large (4 or more inches in diameter) branches are less likely to close over than smaller branches. A new branch leader can be established within a year or two when the diameter of the broken tip is 1–2 inches (Figure 14). For larger branches, it could take many years for a sprout to grow over the pruning cut, with more visits needed for reducing and removing sprouts.
**Later pruning visits**
**Four or more years after storm**
Once the canopy has been pruned several times and new leaders and branches have been reestablished on broken branches, it is time for structural pruning. The priority of structural pruning is to reduce limbs that are larger than half the diameter of the main trunk. Trees fail in storms at areas in the canopy where there are structural weaknesses like codominant stems, bark inclusions, and unbalanced and overextended canopies.
**IV. Restoration of Palms**
As with hardwood trees, the priority when restoring palms is to eliminate hazards and minimize removal of live tissue. Irrigation two to three times per week can also help palms recover if rainfall is lacking.
**Step 1**
**Remove dead fronds that could fall and hit a target.**
As with canopy cleaning on trees, the priority when cleaning palms is to remove potential hazards. The palm in the foreground of Figure 15 has brown, hanging fronds that should be removed. However, not all hanging fronds need to be pruned (see Step 3).
---
**Figure 14**
Young magnolia tree after the top broke in a hurricane (top). The broken stub was removed with a reduction cut back to a lateral branch (middle). A sprout emerged from just behind the pruning cut and is now closing over the cut after one year of restoration pruning (bottom). The lateral branch was removed once the sprout grew larger.
**Figure 15**
Remove dead fronds. Leave green fronds, even those that are bent, unless they pose a hazard.
Step 2
Remove fronds that are smothering the bud.
When broken fronds cross over the top of the palm, they may suppress new growth from the bud (Figure 16). These fronds should be removed.
Step 3
Leave bent green fronds attached to palm until new fronds emerge.
Fronds become bent and will droop down along the trunk in a hurricane. Many of these remain green and are still well connected to the palm (Figure 17). These fronds should be kept until new foliage fully emerges because they photosynthesize and help the palm regain energy reserves and aid recovery.
Step 4
Leave fronds that are yellowing or have brown tips.
Establish a fertilization program to correct nutrient deficiencies, but wait until palms begin growing new leaves before applying fertilizer. This may mean waiting up to six months after storm damage. The palm pictured in Figure 18 is showing severe yellowing or chlorosis on the lower fronds because it lacks nutrients like potassium and magnesium. Yellowing or browning fronds still provide energy for growth, and removing too much of this foliage reduces the palm’s vigor, possibly even killing it.
Avoid overpruning palms.
The two most common mistakes made with palms are using the wrong fertilizer and overpruning (Figure 19). In fact, using the wrong fertilizer often leads to overpruning because
typical palm maintenance (though potentially harmful) removes all leaves that are yellowing or have brown tips. Arborists report that overpruned palms suffered more damage in hurricanes than palms that were not pruned. This points to the importance of pruning appropriately. Removing too many fronds exposes the delicate bud to more wind and more potential damage. Remember, palms need older fronds to protect the bud and provide nutrients for growth.
V. Start a Tree Management Program
With a team of professionally trained commercial and municipal arborists who provide routine tree maintenance, including appropriate pruning, communities recover much faster after a hurricane. The continued growth of the profession is encouraging, as more communities recognize the need for allocating resources for the care of trees.
FOR MORE INFORMATION »
ON TREE MANAGEMENT PLANS
CH 14 Developing a Tree Management Plan for Your Community
Bibliography
[1] American National Standards Institute. 2001. American National Standard for tree care operations—Tree, Shrub, and Other Woody Plant Maintenance—Standards practices (Pruning). ANSI A300 (part 1), New York: American National Standards Institute.
[2] Broschat, T. and M. Elliott, “Hurricane-Damaged Palms in the Landscape: Care after the Storm,” 30 May 2006, Palm Production and Culture Resources at the Fort Lauderdale Research and Education Center, University of Florida/Institute of Food and Agricultural Sciences.
Additional Resources
Trees and Hurricanes
http://treesandhurricanes.ifas.ufl.edu/
American National Standards Institute (ANSI)
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# INDEX
| Topic | Page |
|--------------------------------------------|------|
| Introduction | 1 |
| Benchmarks (when things happen) | 2 |
| Quick Resource Guide | 3 |
| Partner Responsibilities | 4 |
| About your Sponsor and Coach | 5 |
| Typical Aquarium Systems | 7 |
| To Feed or Not to Feed? | 8 |
| Involving Your Students | 9 |
| When Will the Eggs Hatch? | 12 |
| Poster Themes | 13 |
| Posters | 14 & 15 |
| Books on Trout - A student reading list | 16 |
| When Fish Die | 17 |
| Learning From Failure | 18 |
| Active Learning Experiences | 19 |
| Planning Your Release Day (Field Trip) | 22 |
| Applying for the Permit | 23 |
| Hints for Submitting Your Application & Permit | 24 |
| Approved Release Sites - rainbow trout | 25 |
| Approved Release Sites - steelhead trout | 26 |
| Releasing Classroom Animals | 27 |
| Glossary | 28 |
Welcome to the Classroom Aquarium Education Program!
This will be an exciting adventure for you and your students.
This program offers students many learning opportunities and very exciting moments:
- The fun of learning about fish and the habitats needed to survive
- The newness of setting up a fish tank to replicate the natural environment
- The anticipation of the day your fish eggs arrive
- The excitement the day your eggs arrive and the thrill of watching eggs hatch and grow
- Monitoring the fish on a daily basis and having students noting the changes in journals
- The bittersweet day you release the fish into the “wild”
The Department of Fish and Wildlife and our partners will provide you with as much support as possible to make this a valuable and fun learning experience for you and your class.
With more than 400 classrooms participating in this program in the Bay Area alone, a dozen fly-fishing clubs providing classroom support, and dozens of other organizations providing support, curriculum, and programs – you will not be alone in this adventure. Let us know what help you need.
As you grow your program, take time to share the results of your work with us so we can include them in our newsletters. You can always post your ideas, questions, and pictures to our FaceBook page.
Take time to explore www.classroomaquarium.org and classroomaquarium.wordpress.com for curriculum, games, lists of books, forms, procedures and new ideas.
Mostly, have fun. Teach well. Try new things.
Thanks for participating in this award-winning program.
Ethan Rotman
Trout in the Classroom Coordinator, SF Bay Area
email@example.com
| Event | Timing (approx) | notes |
|--------------------------------------------|---------------------------------------------------------------------------------|----------------------------------------------------------------------|
| Training | November thru February, depending on where you are located. | Marin/SF – December
East Bay – January
Sonoma – January
South Bay – Jan or Feb |
| Submit 772 application | Returning teachers no later than 12/15
New teachers submit at workshop | In most cases, submit 772 to your sponsor or to firstname.lastname@example.org |
| Meet with sponsor | As soon as possible | |
| Begin introducing students to habitat | 1 month prior to egg delivery | |
| Clean and set up tank | 3 weeks prior to egg delivery | |
| Receive eggs | **Rainbow trout** - target date is the first week after Presidents Day (late Feb)
**Steelhead** – Feb through April (see web page for exact dates) | |
| Fish hatch | 3 to 10 days after delivery | |
| Release fish | No later than 8 weeks from delivery | We recommend releasing soon after the fish “button up.” |
| Clean Tank for storage | After release | |
| Return 772 & SFR form | As soon as fish are released-no later than 10 days after release | Failure to return 772 makes you ineligible to receive eggs next year |
If you have questions, contact your club sponsor or Ethan Rotman, CAEP program coordinator at (415) 999-5924 or email@example.com
Quick Resource Guide
CDFW
Program Coordinator: Ethan Rotman • (415) 999-5924 • firstname.lastname@example.org
Your Coach
Sponsor Organization: ________________________________________________________
Coaches name: _____________________________________________________________
Phone: __________________________ Email: _______________________________________
Sponsors webpage: ___________________________________________________________
Resources
Classroom Aquarium Education Program Webpage – www.classroomaquarium.org
curriculum, worksheets,
• Forms
• Tank set up and care information
• Program guidelines
• Videos
• Correlations to educational standards
• and more
CAEP blog – www.classroomaquarium.wordpress.com
• Articles
• Ideas
• Resources
CDFW invasive species program -
https://www.wildlife.ca.gov/Conservation/Invasives
National Trout in the Classroom Program -
http://www.tu.org/connect/groups/trout-salmon-in-the-classroom
Applications and Permits:
Preferred method of submittal
Scan and email a PDF (photos not accepted) to: email@example.com
Send a copy to your coach
Other methods of submittal:
CDFW- CAEP
7329 Silverado Trail
Napa, CA 94558
Fax: (707) 944-5563
Retain a copy for your records.
Check to see if your application/permit was received at
www.classroomaquarium.wordpress.com
Roles of Partners
The following parameters outline the roles partners play in development of a trout in the classroom program.
- **California Department of Fish and Wildlife**
- Coordinate program
- Provide copies of manuals and brochures
- Provide eggs
- Authorize release sites and provide copies of permits to qualified teachers
- Assist in locating possible funding sources for equipment
- Advertise training and provide resource materials
- Operate program under guidelines set out in CDFW Operations Manual
- **Sponsor (Fly-fishing Club or Environmental organization)**
- Assist at teacher training workshops
- Provide in-class support to teachers (setting up aquarium, maintaining eggs and fish, troubleshooting problems)
- Assist class with release of fry
- Provide financial assistance to school to cover cost of equipment or provide equipment on loan
- Pick up eggs from CDFW and deliver to schools
- Assist teacher in completing and returning the Permit form 772.
- Assist teacher in inuring all stipulations of the Permit 772 are followed.
- Complete and return other required paperwork and forms provided by CDFW
- **Teacher**
- Attend and participate in a training to become certified
- Apply for and follow limits of the permit form 772
- Provide classroom space for aquarium
- Ensure the eggs and fish are properly cared for and released according to their permit
- Return permit as stipulated
- Provide classroom activities related to habitat, fish and conservation to support the classroom activity of hatching the eggs
- Complete and return other required paperwork and forms provided by CDFW
- **Local Park or water district**
- Complete and return other required paperwork and forms provided by CDFW
- Co-lead (with other partners) training sessions
- Provide naturalist to assist teachers as able
- Provide educational resources to teachers
- Host workshop
Partner Responsibilities (continued)
San Francisco Bay Area Partners
- Alameda Creek Alliance
- American Fisheries Society – Santa Cruz Student Chapter
- Aquarium of the Bay
- City of Belmont Parks and Recreation
- Diablo Valley Fly Fishermen
- East Bay Regional Park District
- Grizzly Peak Fly Fishers
- Golden West Women Flyfishers
- Guadalupe Park Conservancy
- Marin Municipal Water District
- Mission Peak Fly Anglers
- Napa Valley Fly Fishers
- North Bay Trout Unlimited
- International Federation of Fly Fishers – Northern Calif. Chapter
- Peninsula Fly Fishers
- Redwood Empire Trout Unlimited
- Russian River Fly Fishers
- Russian River Wild Steelhead Society
- San Gregorio Environmental Resource Council
- Santa Clara County Parks
- Sonoma County Water Agency
- The Bay Institute
- Tri-Valley Fly Fishers
- United Anglers of Casa Grande High School
About Your Sponsor and Coach
To help you, the classroom teacher, spend as much time teaching your students about fish and watersheds as possible, we do our best to provide each teacher with a coach from a sponsoring organization. This person is your support in helping you provide this outstanding opportunity for your students.
Anglers and environmental agencies care about protecting, preserving and restoring the planet we live on, so the next generations can enjoy the outdoor experiences that have made such a difference in our own lives. Your efforts are instrumental in achieving this goal.
About Your Sponsor and Coach - continued
Each sponsor may provide a slightly different level of service and each individual coach has a different set of skills and strengths. A coach’s job is to provide teachers with as much support as possible to make the experience of hatching trout eggs and releasing the fry as valuable and enjoyable as possible. This includes:
- Provide direct support to teachers/classrooms
- Assist with tank set up, operation and trouble shooting
- Ensure teachers complete & submit 772 applications and permits in a timely manner
- Deliver eggs to classroom
- Be available to provide assistance as needed (phone, email, or in person)
- Attend at least one teacher training workshop
- Attend at least one coach training workshop
- Be available to interact with students at the teacher’s request
- Help teachers set up their release day – some lakes require advance notice
- Assist with fry release if needed
As most coaches are not professional educators, they have different levels of comfort with students. Ask your coach for what you need and want from them. Remember they are volunteer and may not feel comfortable with all requests. Help them as much as possible as they are here to learn as well.
Coaches and their organizations all appreciate the small thank yous – smiles from students, letters, cards and simply acts of gratitude go a very long way.
Keep this information handy:
Your Sponsor:_____________________________________________________
Your Coach:_______________________________________________________
Phone: ___________________________ Email: __________________________
Hints for Working With Coaches
- Ask what they feel comfortable doing with your students
- Ask about them – why do they do this? What motivates them?
- Introduce the coach to the students sharing fun background information
- Be clear in what role you hope the coach will play but remember they are volunteers and can say no
- Provide the coach with a list of questions students may ask
- Be present at all times to help with classroom management
- Guide coaches in speaking at an appropriate level for your age group
- Be clear on any content or topics you hope they will address (coaches are given information on how CAEP correlates and supports NGSS)
- Have the students thank the coach and the sponsor
- Offer to make a presentation to the sponsoring organization (this is a huge help for recruiting new coaches and is quite fun for you)
- If your coach is a flyfisherman, ask them to talk about flyfishing. Perhaps they will bring in flies or do a casting demonstration
TYPICAL AQUARIUM SYSTEMS
These diagrams illustrate a variety of typical aquarium systems. Yours may vary, check with your sponsor for the system that best meets your needs.
Electric Pump System with temperature controller
Airlift System without temperature controller
Outside Filter System with temperature controller (the chiller is mounted in the outside filter)
To Feed or Not to Feed?
Many teachers struggle on the issue of whether to feed the fry or not. It feels instinctive to nurture the animals in our care by providing food. The danger is that the fish food adds contaminants to the tank as does the fecal matter generated once the fish begin eating. This makes it more difficult to keep the tank clean and increases the risk of mortality.
As the fish are only in your tank for a maximum of 8 weeks from egg delivery, they do not need to be fed – they can survive for a couple of weeks without food.
If you choose to feed fry, here are some guidelines:
1) Only use the food provided by CDFW hatcheries. Adding anything else is a violation of your permit. As these fish will be released into fishable waters, potentially they could end up on the end of line and be consumed by humans. While this may seem unlikely, we are still required to follow USDA rules on feed for animals for human consumption.
2) The tank should be given a very tiny sprinkle of food only. Less is better, more is dangerous. If any food particles fall to the gravel, the fish have been overfed.
3) Use your sterilized turkey baster to remove all debris from tank on a regular basis and change the water frequently
4) Watch for dying fish and if spotted, release the survivors as soon as possible
Some teachers opt to feed the fish for a day or two prior to release as this fulfills the desire students feel to “nurture” the fish while minimizing the risk of mortality.
We recommend NOT feeding the fish, or feeding the just prior to release. Ultimately though, it is your decision. Good luck with your fish!
Ways to Involve Your Students
Start Now
• Form the habit now of devoting a period of time weekly to Trout in the Classroom.
• Name the time “Nature Ed” or a name that the students decide on with your guidance.
• Talk with staff and other people at your school to see about collaboration opportunities between grades and subject levels.
• Send your sponsor a thank you card for their donation of time and materials.
• Conduct an interest survey of your students and their families – ask questions like: Do you eat fish, have you ever been fishing, have you ever seen a live trout, etc… and gather the results to help you understand the level of prior knowledge and interests of your students.
Introduce Your Students to What Will Be Happening in Their Classroom
• Show the video at www.classroomaquarium.org - tell students about your inspiring experience at the workshop and let them see the video with teachers, students, and fish in action.
• Show the Intro PowerPoint from the Wild About Trout CD.
Use Journals Actively in the Classroom
• Create a journal with construction paper covers and copied pages from Salmon and Trout Go To School.
• Use a composition book and attach supplementary materials with tape. eg: tape a fish origami or fish print onto a journal page.
• Incorporate fish journaling into existing writer’s notebooks.
• Activities to consider:
• Create shoebox dioramas that illustrate trout in their habitat
• Respond to each activity with a short group discussion and written reflection.
• Observe, draw and describe changes in fish anatomy as they develop.
• Use observations as a prompt for poetry, exposition, personal narrative writing, etc…
• Collect scientific data and tie to your math curriculum.
Use the Materials You Received at This Helpful Trout in the Classroom Workshop
• Wild About Trout CD (PowerPoint presentations with narratives for teachers). Use these PowerPoint presentations early and often by trying one of these teacher support ideas, student engagement ideas, or for your own education:
• Intro – PowerPoint
• Teacher – Use the information to ready yourself for the program and determine the variety of activities you will do with your students.
• Student – Use the information to understand the process that is about to occur in your classroom
• Things to consider – Make connections between the entire process and your curriculum. One idea is to include how the ecosystem of the tank is similar to the trout habitat in the real world.
• Stages – PowerPoint
• Teacher – Use the images to create your own neat games, like Go Fish!
• Student – Compare the life cycle of trout to that of a human
• Things to Consider – Some students have never seen a fish in its early stages of growth or even thought about how the parts of a fish work
together to help it breathe under water. Think about how your students may have their interests peaked in these life stages and functioning systems. eg: Do they like Venn Diagrams or making T-Chart posters?
• **Food – PowerPoint**
- Teacher – Make connections between other subjects, like math and writing in journals. eg: Estimate how many insects might a fry eat each day. Explain why that number was chosen as an estimate. Can we really be sure of our estimate?
- Student – What would eating these foods taste like? Do you think the trout can taste them? Do people anywhere eat insects? Why do you think the trout eat these foods?
- Things to Consider – Don’t be afraid to use conjecture in your teaching and say to the students, “I don’t know, let’s find out together”. You can generate lists of questions and work as a team to find the answers, if possible. Not everything has an answer and it is okay to say to your students, “I’m just not sure”.
• **Watershed – PowerPoint**
- Teacher – Think about the concept of topography and how your students understand the speed and flow of water. How could you help them to understand that the steeper the hill, the faster the water travels and therefore the more sediment will move?
- Student – What could you use to build a watershed model? What could you use to simulate rain? How would the rain you create travel through the watershed?
- Things to Consider – This presentation does an excellent job at introducing the concept of how the urban use of concrete can and will impact a watershed: rate of flow, groundwater absorption, pollutant possibilities, mud and clay build up, and more. Perhaps there are simple models or other projects that students can build to show these impacts.
• **Habitat – PowerPoint**
- Teacher – Nearly every grade level addresses the concept of habitats and ecosystems in one way or another. In showing the numerous species that live within a habitat and what abiotic factors make up those areas, a teacher could go in many directions with this presentation to fit his or her specific science benchmarks and standards.
- Students – What can help encourage people to be accountable for their actions? What can one person do to help others be more accountable for their actions? When the students know the impacts of behaviors, like littering, what action can they take to educate others to know the impact of their behaviors as well?
- Things to consider – The Pacific Ocean has a massive floating landfill known as the “Great Pacific Garbage Patch”. Litter, plastics, and other debris that float down streams and rivers are contributing to the size and magnitude of this aquatic landfill, which is now larger than the state of Texas. Would your class benefit from seeing the impact of habitat destruction at both a local level as well as on a more global level, like the garbage vortex in the Pacific Ocean?
Read!
• *EggHead* by Jonathan J. Nix. Contact author, illustrate as a class project
• *Lightening’s Tale* by Hugh Campbell. Read a chapter at a time to learn about trout needs.
• Check out additional book titles at www.classroomaquarium.org under: More Fun Stuff, or check the titles listed on the “Books on Trout” page in this manual.
Student Tasks and Ideas
• Get the tank ready.
• Record daily temperature and record fluctuations, if any, and journal your thoughts about them.
• Estimate the hatch date of your eggs and buttoning up of the alevin.
• Observe eggs, alevin, fry and journal the findings.
• Use the valuable resources from Trout in the Classroom workshop to help you understand the needs, habitats, and life cycles of trout.
Prepare For Release
• Write Poems and wishes for your fish.
• Ask students for ideas on the best way to safely release the fish.
• Write stories of the fish’s journey after release from the perspective of the fish.
• Call your local newspaper and invite them to the release.
• Take lots of photographs of the release and share them!
• Invite families, sponsors, principals, members of your district administration, superintendents, Fish & Wildlife employees, Park supervisors, and other community members that have a vested interest in the health of the lake and watershed at the release location.
• Plan lots of fun games for all of your attendees to see how much fun you have with the Trout in the Classroom curriculum. eg: Oh Trout!, Hooks & Ladders, Protect the Redd, etc.
• Observe the environment of the release site and journal the similarities and differences between it and the tank that was in your classroom.
• Write a thank you card to your sponsor and include a photo from the release.
WHEN WILL THE EGGS HATCH?
Rainbow Trout eggs need approximately 550 Thermal Units (TU’s) to hatch. A Thermal Unit is the average temperature in degrees fahrenheit minus 32 degrees.
To find the amount of TU’s the eggs received at their arrival in the classroom:
Temperature at the hatchery ______
- 32°
equals: ______
Multiplied by the days at the hatchery: X_____
equals the amount of TU’s the eggs received at arrival: ______
To find the amount of TU’s left until hatching:
Approximate Thermal Units needed to hatch: 550
Minus the amount of TU’s the eggs received at arrival: ______
Thermal Units left until hatching: ______
To find out the amount of TU’s the eggs receive each day:
Average temperature in the aquarium: ______
- 32°
Equals the amount of TU’s the eggs receive each day: ______
To estimate hatch time:
Thermal Units (TU’s) left until hatching: ______
Divided by the amount of TU’s the eggs receive each day: ÷_____
The result is the number of days left until the eggs hatch: ______
Poster Themes
There are currently four posters available to assist you in discussing trout, their lives and their environment. Each poster has a particular theme: Life Cycle, Anatomy, Diet and Habitat. All of the posters are available as printed posters or can be downloaded from the web. Three of the posters, Anatomy, Diet and Habitat are 18” x 24” and printed on both sides. The front illustrates the theme and the back provides information to help you begin a dialogue relating to the theme. The Life Cycle poster is 11” x 17” and is printed on one side.
These posters also correlate directly with the PowerPoint programs in the CD “Wild About Trout.”
To download the posters go to www.classroomaquarium.org and select Curriculum Aids.
Life Stages of the Rainbow Trout
The embryonic (egg) stage
Within 10 to 14 days after fertilization of the egg, the embryo has developed sufficiently for the eye to be seen. This is the “eyed egg.” Eggs that have turned white are not fertile and will not hatch.
Hatching Stage
The time of hatching depends on the water temperature. When they are ready, an enzyme is released, dissolves the egg membrane, and allows the sac-fry (alevin) to break through.
Larval Stage
When hatched, the alevin retains its yolk sac and remains hidden in the gravel as protection from predators.
Juvenile Stage
In 10 to 20 days the alevin has absorbed the yolk sac and emerged from the gravel as fry. They now begin to feed on small aquatic insects and plant matter. The fry gradually acquire the characteristic body markings of mature trout.
The Life Stages Poster
A Trout’s Anatomy
The Trout Anatomy Poster
pg 14
A Trout’s Diet
The Trout Diet Poster
A Trout’s Habitat
The Trout Habitat Poster
pg 15
Books on Trout - A student Reading List
This list is a compilation of available books regarding trout that may be useful in the classroom or for educators. This reference is provided as a service to parents and educators, and is in no way meant to endorse any authors or books contained herein.
**Picture Books and Easy Chapter Books**
Campbell, Hugh. *Lightning’s Tale: The Story of a Wild Trout*. Portland, Oregon: Frank Amato Publications, 1994.
Ciardi, John. *The Hopeful Trout and Other Limericks*. Illustrated by Susan Meddaugh. Boston: Houghton Mifflin Company, 1989.
Clark, Joan. *Thomasina and the Trout Tree*. Illustrated by Ingeborg Hiscox. Plattsburgh, New York: Tundra Books, 1971.
Cole, Harold. *A Few Thoughts on Trout*. Illustrated by Betty Christensen. New York: Julian Messner, 1986.
Cole, Joanna. *The Magic School Bus at the Waterworks*. Illustrated by Bruce Degen. New York: Scholastic, Inc., 1986.
Hertz, Ole. *Tobias Catches Trout*. Translation by Tobi Tobias. Minneapolis, Minnesota: Carolrhoda Books, Inc., 1984.
Lucas, K. H. *Fly-Fishing with Trout-tail: A Child’s Journey*. Trout-Tail LLC, 2002.
Moisa, Ralph, Jr. *Little Fish*. Logan, Iowa: Perfection Learning Corporation, 1997.
Norman, Howard. *Who-Paddled-Backward-With-Trout*. Art by Ed Young. Boston: Joy Street Books, 1987.
Sayre, April Pulley. *Trout, Trout, Trout! (A Fish Chant)*. Illustrated by Trip Park. New York: Scholastic Inc., 2004.
Sloat, Teri. *There Was an Old Lady Who Swallowed a Trout!* Illustrated by Reynold Ruffins. New York: Henry Hold and Company, 1998.
Turnage, Sheila. *Trout the Magnificent*. Illustrated by Janet Stevens. San Diego: Harcourt Brace Jovanovich, Publishers: 1984.
**Chapter Books and Young Adult Fiction**
Conly, Jane Leslie. *Trout Summer*. New York: Scholastic, Inc., 1995.
George, Jean Craighead. *The Case of the Missing Cutthroats*. Originally published as Hook a Fish, Catch a Mountain, 1975. New York: Harper Trophy, 1999.
Hyde, Dayton O. *The Major, the Poacher, and the Wonderful One-Trout River*. Honesdale, Pennsylvania: Boyds Mills Press, 1985.
Weddle, Linda Massey. *T.J. and the Big Trout River Vandals*. Schaumburg, Illinois: Regular Baptist Press, 1991.
**Nonfiction and Reference Books for Children**
Burk, Sandy. *Let the River Run Silver Again!* Blacksburg, Virginia: The McDonald and Woodward Publishing Company, 2005.
Burg, Ann E. *E is for Empire: A New York State Alphabet*. Illustrated by Maureen K.Brookfield. Chelsea, Michigan: Sleeping Bear Press, 2003.
Cole, Joanna. *A Fish Hatches*. New York: HaperCollins, 1978.
Pyers, Greg. *Why Am I a Fish?* Chicago, Illinois: Raintree, 2006.
Winner, Cherie. *Trout*. Minneapolis, Minnesota: Carolrhoda Books, Inc., 1998.
**Reference Books**
Behnke, Robert J. *Trout and Salmon of North America*. Illustrated by Joseph R. Tomelleri. New York: The Free Press, 2002.
Caduto, Michael J. *Pond and Brook: A Guide to Nature in Freshwater Environments*. Hanover, New Hampshire: University Press of New England, 1985.
Martin, Patricia A. Fink. *Rivers and Streams*. New York: Franklin Watts, 1999.
Prosek, James. *Go Fish: A Fishing Journal*. New York: Stewart, Tabori & Chang, 2000.
- *Trout: An Illustrated History*. New York: Alfred A. Knopf, 1997.
- *Trout of the World*. New York: Stewart, Tabori & Chang, 2003.
Stolz, Judith and Judith Schell, eds. *Trout*. Part of The Wildlife Series. Stackpole Books, 1991.
**Nonfiction for Adults**
Carrol, David M. *Trout Reflections: A Natural History of the Trout and Its World*. New York: St. Martin’s Press, 1993.
Louv, Richard. *Last Child in the Woods: Saving Our Children from Nature-Deficit Disorder*. Chapel Hill, North Carolina: Algonquin Books of Chapel Hill, 2005.
Prosek, James. *Early Love and Brook Trout*. New York: The Lyons Press, 2000.
This list was compiled by Trout Unlimited.
When Fish Die
This is about what to do when fish die, not if fish die. Everything that lives dies, some way before others. This is true for some of the fish in your aquarium, no matter how well you care for them or how concerned you are about their welfare.
About 60% of eggs put into classroom aquariums in the San Francisco Bay area live at least long enough to be released as fry. While very few, if any, teachers are able to nurture 100% of their eggs to release, only a handful of tanks (about 3%) experience total die off. The odds are well in your favor of having fry to release and the expectation that you will enjoy 100% survival rate may be misguided.
The survival rate of eggs in classroom aquariums is much higher than that in nature. Animals in the wild are usually eaten before they are two weeks old. This is because predators can’t shop at Safeway for their food. It is also because germs have to make a living. Keep in mind a trout has between 5 and 7,000 eggs and on average, only two of those survive to adulthood.
Around 2013, CDFW switched from fertile to sterile rainbow trout eggs. (this change was made statewide to help wild fish survive). As this is a new process for our hatcheries, we have seen an elevated mortality rate in our aquariums, but most teachers are still able to raise most of their eggs to the fry stage. We are continually upgrading the processes to ensure you have the best eggs possible with the highest rate or survival.
While the death of some of your fish may be unwelcome, it presents an excellent opportunity for learning. Students can learn that everything dies, and many of the deaths can’t be prevented. When fish or eggs die, students can make guesses why. This type of activity is promoted by the new NGSS standards. See suggestions about relevant activities in the teacher’s manual.
Here are some tips on how to improve the survival rates in your tank:
• Clean and dry the tank and equipment thoroughly and dried each year after use. The cleaning protocol is in the teacher’s manual and on the website. Don’t skip any steps and do not increase the amount of bleach used.
• Check water temperature daily to ensure that it is within the acceptable range (45-55 degrees F)
• Keep all foreign objects out of the tank.
• Use only spring water (or de-chlorinated tap water) to replace water that evaporates.
• Remove any eggs or fish that die ASAP, so bacteria don’t have time to multiply
• Keep bottles of frozen water at school to place in the tank if the temperature rises into the danger zone, while your coach is arriving to help you and students detect and solve the issue
Hatching fish in your classroom provides many excellent learning opportunities for students. Death of some fish is to be expected. How you manage that with your students will make all the difference.
Learning from failure:
The only failure is failing to learn from failure
What to do if some or all of your trout die.
Introduction:
The students are aware that some or all of the fish have died off, but the question remains – why did this happen? This lesson is designed to help a teacher address these concerns for the students as well as to review how to minimize the chance that it will occur again.
Suggested Materials:
- Hand lenses or magnifying glasses
- Microscopes
- Blank microscope slides
- pH Testing kit
- Gloves
- Construction paper
- Scissors
- Glue Sticks
Steps:
1. After encouraging students to share how they feel about the die off, have students in small groups examine the tank visually (have them use hand lenses, if available) and record their observations.
2. While other student groups are waiting to observe the tank, have them brainstorm their questions and record them into a group list. Students should work within their groups to try to answer their own questions, even if they aren’t sure their answers are correct.
3. Once all groups have had observation time and their group question lists are compiled the teacher will facilitate a discussion to arrange all the information on the board or posters around the room. In this activity all thoughts should be recorded and everyone’s input should be made as a valuable contribution. This ensures all students feel that they have an investment in the process for determining what may have gone wrong in the die off.
a. Section 1: OBSERVATIONS – Some ideas to spark discussions: Was the tank water cloudy? Was the tank full of debris? Does the tank have an odor? Did the teacher perform a pH assessment? If so, what were the results? What was/is the temperature of the tank? This is an opportunity for students to perform a little CSI on the tank and see what they can brainstorm for what went wrong.
b. Section 2: QUESTIONS – Some ideas to spark discussions: Were there too many fish in the tank? Did someone put something in the tank that didn’t belong there? Is it possible the fish were sick when they arrived? Did the tank get too warm or too cold? Did we follow the proper cleaning procedures before tank set up? This is an opportunity for the students to use their observations to ASK the questions they don’t understand.
4. After the sections are recorded, students should begin a discussion in their groups to try to answer some of the questions. These answers should first be recorded in small groups then shared out to the class for a whole group discussion. Record the class discussion on the board as Section 3.
a. Section 3: ANSWERS (IF POSSIBLE) – this is an opportunity for the students to express what they THINK went wrong – these could be possible solutions to the above question section, or it could be random thoughts.
5. Once this discussion is completed, it is time for the teacher to add his/her insight. IT IS OKAY TO SAY YOU DON’T KNOW WHAT WENT WRONG! A teacher may know something, like the power went out and the chiller unit stopped working, or a detail, like the pH of the water was too high or too low, that could help students to determine what went wrong. This information should be added to the recorded sections on the board.
6. Students should be able to give any final thoughts toward the discussion before the final steps of the lesson.
7. Have students create a plan to avoid future die-off’s given the above discussions. These may be actual plans that could solve the problem, or they could be imaginary solutions that aren’t even possible. The idea here is to have the students feel like they can create a solution that may work in the future. This could be individual, small group, or whole class solutions, however, it is important that students state what their solution is and how they think that will address a specific problem.
8. Create a model, flow chart, or graph to further explain the student solution (if age appropriate to do so).
9. If models are created, a teacher could have the students share out their models as an oral presentation/speaking opportunity as well.
10. Allow responsible students to conduct a thorough cleaning of the tank, gravel, and all equipment per your sponsors instructions.
**Active Learning Experiences**
Doing engaging activities and simulations is an effective way to help students understand and accept the fact that animals die both in aquariums and in nature. The board games *Return to the Redd* and *Race to the Redd* (available on our website: classroomaquarium.org) illustrate some of the challenges fish face during their lifetimes. An exciting physical activity in which students experience the same challenges is *Hooks and Ladders*.
**Bug Larva Bingo:**
*The point:* to help students learn the names of and be able to identify aquatic invertebrates.
Each student gets a sheet of paper that looks like a tic-tac-toe game. Students choose nine small photos of different aquatic macro-invertebrate and put one in each of the nine squares (from a large collection of possible photos, including at least 12 larva). Once each student has filled all of their squares with a photo, the teacher starts holding up large photos of the same macro-invertebrates and saying their name. If students have that photo on their board, they put a token on top of it. Once they get three in a row they have a bingo.
**A Hard Rain’s Gonna Fall:**
*The point:* Since trout are visual eaters, the silt stirred up by large storms interferes with their ability to find food and clogs up spawning beds.
The teacher takes 2 mason jars and fills them 1/3 with large marble-size river rocks, or even just uses large marbles. Silt is added to fill in the gaps between the marbles. This should be done the day
before or early in the morning to allow all the silt to settle for the demonstration. The teacher then tips one of the mason jars 45° and pours water slowly down the side to simulate a slow rain storm. Students can then observe how much silt gets kicked up into the water. Following this, the teacher pours water rapidly into the upright second mason jar to simulate a downpour. Students can then observe how much more silt moves into the water during a large storm.
**Bug Science:**
*The point:* By seeing what bugs live in streams, students can discover how clean the water is, as some macro-invertebrates are more sensitive to pollution than others.
The class is divided into groups of student scientists and each group gets a Ziploc bag with photos of bugs that have been collected in a stream. Using the Izaak Walton League chart, or something similar, students then match the bugs in their Ziploc to one of the categories of streams. Each group reports back on what kind of stream water quality they have discovered, based on the bugs. (The bug cards students put on their bingo game could be used for this activity as well, but the teachers have to sort them properly beforehand or many of the results will be inconclusive.)
**Find Your Home Stream:**
*The point:* when it is their time to mate, steelhead trout and salmon must find their way back to the spawning grounds of their birth. They use their sense of smell to help locate their home stream.
On a large table or row of tables or playground, lay out the shoreline of the ocean using ribbon, heavy cord, crepe paper strips, etc. Next, using the same materials, lay out series of streambeds starting at the shoreline (see illustration). Clear tape will help hold streams in position. Obtain small pieces of clean sponge or cotton balls. Saturate each with a strong scent such as peppermint, banana, cinnamon, deodorants, etc. and place in separate small containers. Old but clean medicine vials, baby food jars, even baggies will work. The number of “streams” you create will depend upon the number of different scents available. Mark each “stream container” with the name of an actual river/stream (i.e. Klamath, Eel, Smith, etc.) and make a record of which scent goes with which “river”. Mark the bottom of the remaining containers with a letter or number code to identify the scent of the trout’s birth stream and to keep the scents separate during handling. It is expected that you will have many duplicate scents, which correspond to numerous fish having the same stream of origin. Using a random draw, each student gets one container. Playing the part of the fish, each student will sniff the various “stream containers” until they identify similarities to their own scent bottle and follow their birth stream to it’s spawning redd at the end, where they will place their bottle. If they have created a small trout drawing with their name on it, they can use those pictures to mark their birth stream. Using the previously prepared code sheet you can check to see how accurate the students were in selecting their birth stream. Students as well as steelhead and salmon sometimes make mistakes in utilizing scents and these “mistakes” allow for bio-diversity... so mistakes are okay.
Hooks and Ladders
We play a game at workshops called Hooks and Ladders that captures many of the challenges in the life of a trout. It illustrates the difficulty of surviving long enough to return to their birth stream. Play the game one step at a time so students can see how many trout die and how many are eaten. After the deaths are recorded all students rejoin the game for the next step. A full description of this game is in the Project WILD Aquatic Guide, but use this one:
1. Lay out a curvy, stream-like course with ropes or safety cones for the baby trout to swim down to the lake or ocean. It should be wide enough for trout to barely be able to make it past the predators in second round.
2. **First round**: Have two students spin a jump rope that spans the creek, over which trout must jump. It represents the intake of a water diversion system. Trout that get hit by the rope must stand to the side while all the others try to pass safely. Tally and note the results for later discussion and/or graphing in the classroom.
3. **Second round**: Place Frisbees or hula hoops along the creek on both banks for predators to stand on/in. Predators, which can be a combination of great blue heron, bear, mergansers, or raccoons, try to tag the trout as they swim by. When they do, they must place their catch behind them, outside the stream, before they can tag another. This leaves a few seconds for other trout to move past them. Predators may not step outside the hula hoop (take their foot off the Frisbee) or over the creek bank. When the surviving trout reach the end of the stream, tally and make note of how many made it and how many died. This can be discussed and/or graphed when back in the classroom.
4. **Third round**: Trout must now swim across a larger field, representing a lake or ocean with fishermen. Fishermen/women with one foot in a cardboard box (their boat) try to tag trout as they swim by (walking fast, no running). Trout that are tagged step to the side of the field. Tally these results too.
5. **Fourth round**: Return to the stream for the final round in which fully grown trout swim back upstream to their birth site. Place hula hoops within the narrow far end of the creek, representing a fish ladder around a dam. Trout must hop from one hoop to the next. Ones that step on a hoop die from exhaustion and must step to the side. Tally these numbers too.
6. Ask for a show of hands of how many trout died at any stage of the process. Ask students whether they think this accurately reflects what occurs in nature, and ask them to explain. After returning to the classroom, graph or discuss the numbers and make the point that many trout die, even in a natural setting. But as long as a few trout make it back to the spawning beds, they will lay thousands of eggs that can re-establish the population.
**Suggested Layouts for Streambeds**
- **Round 1**: Jump Rope Water Pump
- **Round 2**: Predator Hula Hoops
- **Round 3**: Cardboard Box Fishing “Boats”
- **Round 4**: Hula Hoop Fish Ladder
**NOTE**: After counting fish mortality at each step, all students participate in the next step. This keeps all students actively engaged in the entire game.
Releasing your fry into the “wild” is an important part of the process and will be memorable for students. It may be tricky to plan as the fish may develop faster or slower than you anticipate. The fish must have absorbed their entire yolk sac to be ready for release and under no circumstances can you release them more than 8 weeks from the date of egg delivery.
A general rule of thumb (or fins) is to release the fry 4-6 weeks after delivery. There are many options for a successful fry release field trip, and they can be easily adapted to suit your class and school needs.
**STATIONS:** A great option for larger groups is to have several activity stations and have small groups of students rotate from station to station. This usually requires one person (teacher, parent or volunteer) to lead each station. If you don’t release the fry as a class, the release can be included as a station, with each group releasing a few fish. Other ideas for stations can be found on the SIC CD, in Project Wild Aquatic, or in the Fry Release Field Trip Guide.
**GROUP ACTIVITIES/GAMES:** If you prefer to keep the class together, there are also plenty of options. Many games & activities can easily accommodate larger groups, and releasing the fry as a group can be very exciting! If you plan on keeping the group together, make sure to plan activities in advance, have materials ready, and make sure to keep things moving.
**SOME THINGS TO KEEP IN MIND WHEN ORGANIZING YOUR TRIP**
- **Plan your field trip for about 1 week after the fish button up.** You can calculate this based on the water temperature at the hatchery and in your aquarium.
- **Check to see if the release site requires advance notice of your arrival.** Some park districts will waive fees for your release, others require advance registration, while some are just fine with you showing up on your own schedule.
- **When you schedule the bus make sure they allow live fish on board!** If the fish are not allowed on the bus you will have to make arrangements for someone to transport the fish separately.
- **Notify your sponsor organization immediately of your field trip date & location,** and ask if they are available to assist with your field trip.
- **Plan your activities,** organize a timeline, and have a plan if you get behind schedule (i.e. shorten activity times or skip last activity). Be sure to have materials and supplies gathered ahead of time and ready to go – the release day can get hectic quickly if you are not prepared.
- **Visit your field trip site in advance to check the water temperature and the facilities available.** Every site is different. Check for parking space, turn-around space for a bus, drinking water, restrooms and trash pick-up services so you can plan accordingly.
- **Arrange for teacher’s aids, parents, your principal, etc. to assist you!** Plan on one adult for every 10 students in addition to the people leading learning stations. More adults for younger students is always better. If you plan a fishing or casting activity, arrange for one adult per 4 students if possible.
- **Give assisting chaperones a job.** Making sure that they know they have a role in the field trip will prevent them from standing around and chatting. One idea is to have the extra volunteers maintain a perimeter so students do not disrupt the native habitat.
- **Remind students ahead of time to dress appropriately.** Long pants, closed-toe walking shoes, and clothes that they aren’t afraid to get dirty are good for field trips. Bring extra sunscreen along if it’s sunny, and a large box of trash bags to use as ponchos if there’s a chance of rain.
- **Don’t forget the camera!** Recruit someone to be the field trip photographer/videographer.
- **Invite People!** Gain publicity and notoriety for your hard work by inviting your superintendent, city council members, news reporters / members of the media, etc… Many of the people in these positions like the opportunity to see what is happening in their school communities and the fish release is a great time to do that.
**REMEMBER:** Prior preparation is a necessary component of a successful fry release trip! To make the day run smoothly, be sure to plan activities, assign leads & assistants, and determine how much time you will allow for each portion of your field trip.
Applying for a 772 Permit
The permit to transport and rear fish (Form 772) is an integral part of the program and is a legally binding document. Please review the conditions of the permit.
Teachers must file and application each year. The permit will be issued to you when you receive the eggs and must be completed and returned to CDFW after releasing your fish (or after the last fish dies).
The permit is to remain with the eggs/fish at all times and must be posted on or near your aquarium. The permit must accompany the eggs/fish during transport.
To be eligible to apply for a permit, you must:
1) Have successfully completed a qualifying workshop within the past 3 years.
or
2) Received a permit within the past 3 years and complied with all terms of your permit.
To apply for a permit:
1) Download the most recent form from www.classroomaquarium.org
2) Complete the form. You can find a list of acceptable release sites for your area at www.classroomaquarium.org and in this packet
3) Return the application to your sponsor or to CDFW by December 15th or at your training workshop (whichever is later). We recommend scanning the application and submitting it as a PDF to your sponsor and firstname.lastname@example.org. We cannot accept photographs of your application, only PDFs will be accepted.
After releasing your fish or after you last fish dies, complete the bottom section of the permit and return it to your sponsor or to CDFW within 3 days. Failure to do this will make you ineligible to receive a permit the following year.
You are expected to comply with ALL aspects of your permit. No changes can be made without the express WRITTEN approval of CDFW - email@example.com
Hints for submitting your application for eggs and returning your permits
Of the 400 applications and permits we process each year, most go through without a problem. A few have issues and require additional time. If not dealt with, it is possible for a teacher to lose their eligibility to participate in the program.
Submitting your paperwork is not enough – it is the TEACHERS responsibility to check to make sure CDFW received the document.
**Most common problems:**
- Applications not complete or missing the principal’s signature
- Applications sent by mail or fax are not received by CDFW
**Hints to help get your application and permit approved:**
1. Fill out the form completely (including having your principal sign the application)
2. Scan the document and submit from your email address (do not send it from the scanner as CDFW security protocols do not allow us to open attachments from unrecognized addresses)
3. Send a copy to your coach and keep a copy for your records
4. Check the status of your submission at www.classroomaquarium.wordpress.com
**Submit completed forms by email – firstname.lastname@example.org**
Mail and fax submissions are discouraged but accepted:
2825 Cordelia Road, Suite 100
Fairfield, CA 94534
NOTE: Most “lost” or “not received” forms come from mailing or faxing. Be sure to check the status of your submission at www.classroomaquarium.wordpress.com
**We DO ACCEPT:**
- PDFs of applications and permits completely filled out
- Faxes or hard copies of applications/permits completely filled out
**We DO NOT ACCEPT:**
- Photos of applications or permits
**Deadlines:**
**Applications (request for eggs)**
Returning teachers: Applications for eggs are due by December 15
New teachers: At your training workshop (arrive with a blank application signed by your principal)
**Permits**
Within 10 days of release of your fry
Classroom Aquarium Education Program
Approved Release sites for rainbow trout, steelhead trout from Warm Springs Hatchery, and steelhead from the San Lorenzo River System
This list is current as of 8/2017 and is subject to change. Please check www.classroomaquarium.org for updates.
Releasing Rainbow Trout
| With appropriate authorization, rainbow trout fry may be released into: | Trout may NOT be released into: |
|---|---|
| • Alameda County
• Lake Elizabeth
• Lake Temescal
• Lakeshore Park
• Quarry Lakes
• Shadow Cliffs Reservoir
| • Campbell Perc Ponds (Temporary closure)
• Clear Lake
• Cottonwood Lake
• Lake Chabot (Alameda County)
• Lake Cunningham (Temporary closure)
• Del Valle Reservoir
• Don Castro Reservoir
• Hilltop Lake
• Kelsey Creek
• Lake Anza
• Lake Merritt and channel
• Sprig Lake
• Stafford Lake
• Stevens Creek Reservoir
• Vasona Lake
• Any body of water not specified on your Form 772 (PDF Form) |
| • Contra Costa County
• Contra Loma Reservoir
• Lafayette Reservoir
• Heather Farms Pond
• Hidden Valley Lakes
• Lake Refugio
• San Pablo Reservoir
| • Lake County
• Putah Creek above Lake Berryessa
• Indian Valley Reservoir
• Pillsbury Lake
• Upper Blue Lake
| • Marin County
• Bon Tempe Reservoir
• Scottsdale Pond
| • Napa County
• Lake Hennessey
| • San Francisco County
• Lake Merced (all)
| • Sonoma County
• Lake Ralphine
| • Solano County
• Lake Chabot
| • Santa Clara County
• Sandy Wool Lake
• Spring Valley Pond
| • Santa Cruz County
• Pinto Lakeo
• Loch Lomond |
Release of Steelhead Trout from Warm Springs Hatchery
With appropriate authorization, steelhead trout fry obtained from Warm Springs Hatchery may be released into the Russian River or the approved tributaries listed below:
| Mendocino County | Sonoma County | Other Approved Waters |
|------------------|---------------|-----------------------|
| Gibson Creek | Atascadero Creek | Hobson Creek |
| Feliz Creek | Big Sulphur Creek | Felta Creek |
| Orr Creek | Brush Creek | Porter Creek |
| Russian River | Copeland Creek | Green Valley Creek |
| Dooley Creek | Dry Creek* | Smith Creek |
| | Dutch Bill Creek | Willow Creek |
| | Fife Creek | |
| | Foss Creek | |
| | Mark West Creek* | |
| | Matanzas Creek* | |
| | Mill Creek | |
| | Oakmont Creek | |
| | Porter Creek | |
| | Santa Rosa Creek* | |
| | Sausal Creek | |
| | Sweetwater Creek | |
*Most commonly used release sites
TEACHERS: You may use the following language on your 772 application under proposed release site:
“Russian River or approved tributary as listed on the CDFW website”
Fish may only be released in accordance with all the terms and conditions of your approved form 772. If you have questions, please contact Ethan Rotman at (415) 999-5924 or email@example.com
What To Do With Classroom Animals At The End Of The School Year
Animals in the classroom can be a great teaching tool - but when the year is over, many teachers are faced with the question of what to do with these critters.
Intentional release of animals can be environmentally disruptive:
- Non-native invasive species may compete aggressively with California natives for survival.
- Even though an animal may be native or endemic to your area, it may harm the existing gene pool if released.
- Individuals from one area may harbor diseases or pests to which local populations (or other local species) are vulnerable.
**Do not release classroom animals into nature.** While this may seem humane at the time, most animals released into the wild become dinner for something larger in a very short amount of time. You will also be in violation of the law.
Here are some suggestions on what to do with your classroom animals:
- Send the animal home with a student to babysit for the summer
- Call local pet stores to see if they will take the animal
- Call your local animal shelter or humane society
- Keep the animal at your home for the summer, ready for a new batch of students in the fall
It is important that you follow your local, state and federal guidelines and regulations for handling and caring for live organisms in your classroom - and for dealing with them after your use. Make sure it is legal to acquire any animal you intend to display in your classroom. Teachers involved in the Classroom Aquarium Education Program are able to hatch and release salmon or trout under permit from the Department of Fish and Wildlife.
**Here are some additional resources that may be helpful:**
- CDFW Invasive Species Program
- Habitattitude - Adopt a conservation mentality. Protect our environment by not releasing un-wanted fish and aquatic plants
- California Invasive Species Action Week
*Conserving California's Wildlife Since 1870*
**Glossary**
**Alevin:** A newly hatched salmon or trout with a yolk sac attached to its stomach. The alevin hide between the gravel in the streambed, sustained by the nutrition in the yolk sack.
**Anadromous fish:** Fish that spend the greater share of their lives in salt water but are born in and migrate back to fresh water to reproduce.
**Aquarium:** A tank of water in which eggs can be hatched and fish can live, if the proper conditions are maintained.
**Aquatic:** Growing, living in or frequenting water. There are aquatic plants and animals.
**Cascade:** Falling water, not impressive enough to be called a waterfall and too big to be called a riffle. Cascades mix more oxygen into the water, as it tumbles over the rocks, which makes a healthier habitat for trout.
**Catadromous fish:** Fish species that begin their life in the ocean, then live most of their lives in fresh water, returning to the ocean to spawn. The opposite of anadromous. One example is eels.
**Catch limit:** The number of fish that a person can legally catch in one day. This is to protect species from becoming depleted or endangered. The limit is determined by biologists in the California Department of Fish & Wildlife.
**Cobbles:** Stream rocks that are 2-10 inches in diameter, the smallest almost the size of a tennis ball and the largest just bigger than a softball. Your aquarium probably has cobbles on top of the gravel.
**Confluence:** The place where two streams come together. Trout, salmon and steelhead often rest at these water intersections, as the water is usually fresher and colder than that in the main stream.
**Dissolved oxygen:** Molecules of oxygen gas that are dissolved in water. Trout need water high in oxygen to remain healthy. They can filter out 95% of the oxygen as water passes over their gills, which is way more efficient than our lungs.
**Ecology:** The study of the relation of organisms to and interactions of organisms with their environment. Every organism, whether plant or animal, needs a healthy environment to live in. We need a healthy environment too.
**Erosion:** The process by which water, wind and temperature break down rock and soil into small loose particles that can be swept away by rain or streams. Too much erosion can harm trout streams by covering redds and smothering the eggs.
**Estuary:** The area where the river meets the ocean and its fresh water mixes with the salt water of the sea. Most species of fish depend on healthy estuaries for food and cover when young.
**Eyed eggs:** Eyes are one of the first features that are visible in eggs. The eyes show as big dark spots in the egg. Eggs lacking these eyes have not been fertilized and will not hatch.
**Fish ladder:** A series of ascending pools of water constructed to enable salmon or steelhead to swim upstream around a dam. The fish leap from one pool to the next until they can get over the dam and swim to the spawning area.
**Food chain:** The transfer of food energy from the source in plants through a series of animals. The base of almost all food chains is plants. These are eaten by herbivores, which are in turn eaten by carnivores. The energy created by photosynthesis in plants is thus transferred up the food chain to sustain many other species of animals.
**Fry:** Small young fish that have recently hatched and have “buttoned up.” Buttoning up is what happens when alevin run out of nutrition in their yolk sac and have to come out of the gravel to catch food. At this point, they no longer look like they have potbellies.
**Gills:** Organs on both sides of a fish’s head that take oxygen from the water as it passes over them. Trout have gills instead of lungs.
**Gravel:** Very small rocks that are between 1/10 – 2 inches in diameter. They are larger than cobbles and smaller than boulders, and form gravel bars along creek banks where aquatic plants can grow.
**Hatchery:** A place where fish are spawned and eggs are hatched. The fry are raised until they are at least 7 inches long, and then released into streams and lakes. Hatcheries are an attempt to make up for the destruction of trout and salmon streams by dams. Most trout hatcheries are operated by the California Department of Fish & Wildlife.
**Habitat:** The place where an organism lives. Healthy habitats provide enough food, water, shelter and space to support a variety of plant and animal life.
**Imprinting:** The scent memory of a salmon or trout’s birth stream that enable the fish to return to the same stream after 2-3 years in the ocean. The fish memorize the scent of their stream as they swim backwards on their migration toward the sea from their place of birth.
**Incubate:** Keeping eggs at the optimum temperature and supplied with enough oxygen so they will hatch and grow. Keeping your aquarium at the optimum temperature is essential for a successful hatch.
**Lateral lines:** A special line of cells on each side of a fish’s body that help it sense motion and magnetic fields. The lateral lines in small fish tell it when something is coming its way, even before the fish sees it.
**License:** This is a permit issued by the Department of Fish & Wildlife that allows someone to hunt or fish. Fees for these permits help protect important habitat and pay the salaries of the people who determine how many of each species can be taken. Hunting or fishing without a license is a crime. The 772 permit, that goes everywhere with your eggs and fry, is also a license. It allows you to hatch the eggs of wild native animals in your classroom.
**Life cycle:** The stages of an organism’s life. For trout and salmon, this would begin with an egg, and then develop into an alevin, then a fry, then an adult which will lay eggs to begin the process all over again.
**Migration:** Moving from one place to another, usually far away. Salmon and steelhead move out to sea and then back to the river where they were born. Lake trout don’t migrate.
**Mucous:** A slippery liquid that covers the body of a trout or salmon, helping protect it from disease. Parr marks: Curved marks on the sides of fish fry that help these fish hide from predators by making them look more like their surroundings.
**Plunge pools:** deep pools in streams that are made when water falls over a rock or log and scours out a hole. These holes have colder water and are a favorite habitat for trout.
**Pollution:** Harmful substances that can contaminate soil, water or atmosphere. Trout are very sensitive to pollution. So are many of the aquatic insect larva they eat.
**Predator:** An animal that eats other animals. Trout and salmon are examples. So are the animals like bears, raccoons, osprey and eagles that eat trout and salmon.
**Redd:** The “nest” made in the gravel of a streambed by a female trout or salmon. She then lays her eggs in the nest and covers them back up with the gravel to protect them while they are hatching. And she does all of this nest building with her tail.
**Riffle:** A place in a stream where the water flows quickly over rocks. These areas help aerate the water, but are shallow and expose small fish to predation.
**Run:** When a group of salmon or steelhead return to their birth river to spawn, they do it at the same time and this is called a run. It’s a coordinated migration that takes place at a specific time of the year.
**Scales:** Small, overlapping, fingernail-like skin of fish. This tough skin helps control the amount of water that can leak into and out of a fish, and doesn’t wrinkle like our skin would if we spent our life underwater.
**School:** A group of fish studying together Monday through Friday. It can also mean a group of fish that swim together for protection.
**Sediment:** Very fine particles of rock and soil that wash into streams. Too much sediment can clog up gravel beds and smother the eggs. Sediment comes from erosion caused by logging, roads, grazing and landslides.
**Silt:** Even finer particles of eroded topsoil than sediment, that cause the same problems.
**Smolt:** A salmon or steelhead that has outgrown its parr marks and whose body is transforming from a freshwater to a saltwater-adapted organism. This takes place in an estuary where fresh and salt water mix.
**Spawn:** When a female fish lays eggs and a male fish fertilizes them as they float down into the redd. Steelhead can swim back and forth from the ocean several times during their lifetime to spawn, but salmon just do it once and then die. Their bodies are eaten by aquatic insects, mollusks and crustaceans, which are then eaten by the baby fish when they hatch.
**Yolk sac:** The pouch of food that is connected to the stomach of fish that have just hatched. This food pouch allows the fish to hide in the gravel until they are larger and ready to catch their own food. | 1b5c4d3c-9ef3-4788-8e11-838f68b17002 | CC-MAIN-2022-05 | https://nrm.dfg.ca.gov/FileHandler.ashx?DocumentID=90229&inline | 2022-01-29T00:47:35+00:00 | crawl-data/CC-MAIN-2022-05/segments/1642320299894.32/warc/CC-MAIN-20220129002459-20220129032459-00650.warc.gz | 476,179,462 | 14,102 | eng_Latn | eng_Latn | 0.93247 | eng_Latn | 0.998203 | [
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Secondary School Sport Policy
St John’s Grammar School places great emphasis on student participation in various sport activities. These activities play an important role in the total development of our students and, as such, are considered to be a vital part of School life. The School endorses healthy routines and sport is very much a driver of positive wellbeing. Sport is also a driver of that all-important sense of community and team. St John’s Grammar students need to learn to play well together and what is required to be a good team player. A structured sporting program also provides students, staff and parents with the opportunity to build connections and relationships with obvious benefits to all concerned.
All students are encouraged to participate in the Sport Program that is provided by the School. There is a commitment to provide an array of sporting opportunities that are accessible, fun and attractive to all members of our community.
Sport activities are organised competitive activities which are an excellent way to encourage an appreciation of playing games to socially agreed rules and procedures. It also provides the opportunity for students to gain an insight into the role that sport plays in Australian society and provides a forum for structured social engagement with peers outside the classroom.
The organised competitive activities at St John’s Grammar include Cricket, Badminton, Softball, Tennis, Basketball, Football, Soccer, Netball, Touch Football, Table Tennis, Squash, Hockey, Volleyball, Mountain Biking, Triathlon, Running and Swimming.
Expectations
Expectations
Nominations are firm commitments to attend all aspects of the activity, especially training and matches.
- Summer nominations include both Term 1 and Term 4.
- Winter nominations include both Term 2 and Term 3.
- Students represent their School by dressing correctly for both practices and matches. The uniform requirements are outlined on the Sport Canvas pages and are to be followed.
- Students are expected to behave in accordance with the Code of Behaviour in Sport, also published on Canvas.
- In most instances, Year 7 students will play in the Secondary School competition for Saturday sport, but are eligible for both Primary and Secondary Swimming, Cross Country and Athletics teams.
Safe Environments
Students are supported by coaches and volunteers to play sport in a safe, respectful and supportive environment. Adults understand and model ethical behaviour and exercise informed judgements in dealings with students, parents and the community.
Safety involves the provision of:
- Safe and appropriate facilities and equipment
- Suitably experienced or trained coaches/supervisors
- Suitable, competent umpires
- Well organised practices and matches
- First aid kits and guidelines for dealing with an emergency
- Inclusive and positive interactions to engage and support student in sports activities
- Clear routines, guidelines and expectations of student, coach and parent behaviours and addressing discipline issues promptly, fairly and respectfully
- A School Sport Expectations and Agreement to be read and understood by players, coaches, parents/parents to enact the school values of Community, Empowerment, Creativity, Innovation and Achievement.
- Volunteer parents/caregivers and adults who coach or manage teams of children and organise practice sessions and games are required to complete a Working With Children’s Check and Responding to Abuse and Neglect Training.
Training Expectations
Training is an important part of the sporting/activity experience. If the student wishes to participate in a sport they must train, and train regularly. Students are requested to inform the Sport Coordinator, coach and/or team manager if their child is unable to attend training at least a day before the scheduled training occurs.
Training times will be set by the Sport Coordinator in negotiation with coaches.
Student Leadership
The involvement of students in the organisation of their own sport and in the decision making processes in games are important aspects of their learning.
Sport Ambassador
The Sport Ambassador will be the face of sport at St John’s Grammar School, working closely alongside the Heads of Sport. The tenure for this role is one year.
They will:
- Demonstrate leadership skills
- Demonstrate commitment to the sport program
- Participate in extracurricular programs at St John’s Grammar School
- High effort ratings in academic pursuits
Sport Captain
The Sport Captain for each sport will play a leading role in the organisation of their given sport, help promote student involvement and connectedness, and promote the sport in the School community. The Sport Captain works to represent students’ interests, needs and concerns and plays an active role at key sporting events. The Sport Captain acts as a key mentor to younger students involved in the given sport.
Inductions of Captains and the Sports Ambassador will occur at the start of the year at a Secondary Assembly where outgoing sports leaders will also be acknowledged for their service and leadership.
Colours
Sporting Colours will be awarded to students based on the number of years competing for the School, level of performance and representation, active leadership, attendance to games and the degree and consistency of sportspersonship shown. The colours criteria are published on all sport Canvas pages.
There are two levels of Colours; Gold Colours presented to long-serving leaders and outstanding contributors to a sport and Blue Colours to those students who have made a valuable and leading contribution over the first two or three years at the School.
The nomination process will be online and there is now an option where students can self-nominate.
Role of Team Coaches
Where possible, coaches will be suitably qualified. Parents volunteering to coach must complete a Working With Children’s Check and Responding to Abuse and Neglect Training (information provided by School administration). Our School recognises the significant leadership role of the coach, and all coaches will be offered the opportunity to attend appropriate coaching courses. Coaches are expected to support the development of skills and knowledge of the sports they are involved in. Trainings need to be well planned, organised and purposeful.
Coaches also need to ensure that all students playing sport get equity of playing time and coaching support. Coaches understand that each sport needs to represent an enjoyable, fun experience for every student.
A major focus of the sporting program is on the building of a team culture. Coaches play a pivotal role in helping young people understand how to be good team players and address issues of selfishness and egocentric behaviour.
Key Management Expectations For Coaches To Follow
Uniform
All students must adhere strictly to the sports uniform requirements or they will not be permitted to play. Coaches and Managers will be strong and consistent with this. The students and parents will be reminded of the uniform expectations at the start each season. The same high standards apply to coaches, managers and umpires. There is School-approved sports staff attire that needs to be worn at trainings and matches. If you have concerns about uniform, please share them with the St John’s Grammar Heads of Sport.
Attendance and Punctuality
Poor and/or late attendance to trainings and games will not be tolerated. Students will be warned initially by coaches and managers about lateness and missing trainings and games without appropriate communication. If issues of attendance and punctuality persist they will escalated. The managers and coaches will be well organised and punctual themselves. Being first to a venue or training with kit and resources ready to go makes a statement that we are professional and dedicated to our roles. Coaches are to liaise with the Sport Coordinator, assume the role of Team Manager if there is no Team Manager and delegate jobs to parents, as required.
Communication
It is an expectation that Coaches communicate regularly with students and parents and not only make available, but bring to attention, team selections, match details including venues and times and any other special requirements for training and games. The Coach must continue to provide positive and constructive feedback to players and be available to parents and students to field any questions or concerns.
Behaviour
Poor behaviour at training and matches will not be tolerated. Recognising that many of the coaches and managers are not teachers means that a strong approach of exclusion from the sport will apply to any student who makes it difficult for others around to learn, have fun and get a fair go. Conversely, Coaches and Managers should consistently and actively point out and reward examples of excellent teampersonship and conduct when they are on display.
Rude or aggressive behaviour exhibited to any other player or person at a sports game will be dealt using the same procedures as defined in the School’s Behaviour Support policy. Please click to read the Code of Behaviour in Sport.
Processes & Procedures
Uniform
The same standards and expectations apply for wearing of the St John’s Grammar formal uniform as they do for the sports uniform. Every requirement of the uniform must be met including socks and shorts. Students are not at liberty to decide to wear training or exercise tights as replacement garments and wearing of the school PE uniform or House tops are not substitutes at game time for the correct team outfit. Uniform requirements for each sport can be found on Canvas.
Sports Nomination Process
All students must complete a nomination form prior to the commencement of each summer or winter season by the due date stated on the online nomination form. If a student nominates after the deadline, it will be very unlikely that they will be able to participate in that sport. The School needs to forward team nominations to the Independent Schools Sports Association well in advance of the commencement of any season, therefore acquiring accurate numbers of participants is essential.
The nomination form will contain details concerning activities, uniform and competition times.
The nomination form will request details concerning:
- Parental consent for the sport activity.
- Parental contact numbers (home, work, mobile).
- Significant medical conditions the participant may have (the parent must supply a copy of the medical plan).
- Sport Activities Expectations and Agreement to be signed by parent and student.
Sport Grievance Procedures
St John’s Grammar has a commitment to creating a safe and supportive environment where students and coaches/managers can participate in a range of activities and continue to develop their skills and abilities.
If students or parents have concerns about an aspect of the Sport Program, the School requests that communication occurs firstly with the team coach, then Heads of Sport if necessary.
Heads of Sport Contact Details
Paul Travis
Head of Sports and Outdoor Education Coordinator
8278 0257 or 0425 622 843
firstname.lastname@example.org
Brooke Watson
Head of Sport
Teacher of PE and Health and Personal Development
8278 0257 or 0419 713 378
email@example.com
Extreme Weather
The duty of care for our students’ health and safety is of primary importance. If the predicted temperature on the Bureau of Meteorology (BOM) at 9.00am is 38C or above then all outdoor weekday sports practices will be cancelled. The exception to this is indoor sports, which will go ahead unless the Principal, in consultation with the Head of Sport, decides that conditions are too hot. Teams may still meet and where possible, trainings modified to ensure all details for up and coming games are communicated.
Click to read the St John’s Grammar Extreme Weather Policy.
Cancellation of games is at the discretion of the gives sporting association. Below is a link to the SAAS, ZONE and IGSSA Extreme weather policies.
SAAS – Sports Association for Adelaide Schools
Summer Sports: Badminton, Tennis (Drive), Touch Football, Volleyball and Cricket.
Winter Sports: Soccer, Hockey, Table Tennis and Boys Basketball.
Click to read the SAAS Weather Policy.
ZONE – School Sport SA
Summer Sports: Middle School Girls and Boys Tennis, Middle School Girls Basketball.
Winter Sports: Netball, Boys Football, Girls Soccer.
Zone Weather Policy still TBA.
IGSSA – Independent Girls Schools Sports Association
Summer Sports: Open Girls Basketball, Open Girls Softball.
Click to read the IGSSA Weather Policy.
Cancellations of games due to weather will be communicated to parents via the website and social media and Canvas.
Coaches will be made aware of the need to follow the following guidelines for sport which goes ahead in hot conditions Hats and sunscreen should be worn at all times (for all summer sport irrespective of temperature). Frequent hydration opportunities should be given and students are encouraged to utilise them. Events should be modified where appropriate e.g. shortened overs in cricket or sets in tennis.
The decision to cancel practice or matches due to wet weather will be made by the Head of Sport. Should it be raining or the conditions dangerous, putting students at risk, sport will be cancelled. If the weather forecast is for possible thunderstorms/lightning remain vigilant for approaching storms and /or changing or rapidly deteriorating conditions. In the event of thunderstorm/lightning where player/officials/spectator welfare is deemed unsafe by either team coach (or referee) play should be suspended. | 7d560bac-432e-4cb6-b41c-a2f1f3d824b3 | CC-MAIN-2024-38 | https://www.stjohns.sa.edu.au/wp-content/uploads/2023/07/Secondary-School-Sport-Policy.pdf | 2024-09-15T10:12:09+00:00 | crawl-data/CC-MAIN-2024-38/segments/1725700651622.79/warc/CC-MAIN-20240915084859-20240915114859-00045.warc.gz | 941,255,618 | 2,581 | eng_Latn | eng_Latn | 0.996661 | eng_Latn | 0.997551 | [
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St Martha’s is the older of the two, it is very unusual, being isolated on a hillock, with no proper roads leading to it, and no village. The name is also unusual, as the dedication is unique in medieval England, but it is probably not the original one. The cult of St Martha, a Biblical figure, did not take off until the late 12th century, and that was in southern France. The earliest known pilgrimage church building has been ascribed to the early 1100s, and was the timber west tower, a massive structure with a pointed roof. Another one was covered by a stone vault, a highly unusual feature often associated with a particular cross like a shrine or important altar. In the 1270s, when Edward I’s son was seriously ill at Guildford Castle, offerings were sent to several shrines for prayers for the child. They were all nationally important shrines, and included St Martha’s, who he not know which saint was involved. There are later references to pilgrims going to St Martha’s, and in 1486 the owner of Chilworth manor left money in his will to erect a marble cross in the hill, carved with scenes of the life of Thomas Becket. It is possible that there was a cult of St Martha in St Martha’s, just as there was in Guildford, and that was the reason for the new church being built. We do not know which saint was involved. There are later references to pilgrims going to St Martha’s, and in 1486 the owner of Chilworth manor left money in his will to erect a marble cross in the hill, carved with scenes of the life of Thomas Becket. It is possible that there was a cult of St Martha in St Martha’s, just as there was in Guildford, and that was the reason for the new church being built.
The origins of St Martha’s remain far from clear. The cruciform shape of the medieval building is very unusual for a small isolated church and suggests that it might have once been much more important. One theory is that it was a nunnery, although communities forming a focus for Christianity in an area, sometimes seen to be founded in the 7th century, typically. St Martha’s was a nunnery, it was probably founded later by a local landowner, perhaps in the 8th century. If there was not a nunnery at St Martha’s, it is not clear why a church was built there; it could have been on the site of a pagan shrine – hillocks were often chosen for these. A 6th-century pottery was found nearby.
When St Martha’s first appears in the documentary record, it was a parish church, with a tiny parish. In the late 12th century, the landowner of Chilworth manor gave the church to Newton Priory, as a source of income. When the monasteries were closed in the 16th century, the church was returned to Chilworth manor. The tower fell into ruin in an unknown date, perhaps in the 17th century (possibly as a result of an explosion as the powderkeeps works in the nearby woods blew up), and the nave was rebuilt at the same time.
Alexandra’s, the chancel was vaulted off from the nuns and act as the church. The whole church was rebuild aiming for the Hiltop, others starting it, it was clearly something that people wanted to learn all directions. The first one is near a route along the Greenwich ridge from the sea, called the A25, which connects as a track towards Turnham in the west, crossing the river at St Catherine’s, once known as Dingle – [Hil].
Although no material records lead to St Martha’s, there are several parts coming from most directions, some dating for the Hiltop, others starting it, it was clearly something that people wanted to learn all directions. The first one is near a route along the Greenwich ridge from the sea, called the A25, which connects as a track towards Turnham in the west, crossing the river at St Catherine’s, once known as Dingle – [Hil].
Another attraction to the site may have been a hermit. In 2020 a cave was discovered on the hillside, which had been partly destroyed by the railway tunnel. There were religious symbols carved on the walls, and it could have been a hermit’s cave. He might also have operated the ferry, as it was common for hermits to live off the fares or offerings. Hermits always attracted visitors, even though they were trying to live solitary lives.
Built of local Bargate stone with chisle for the features recording shaped stone, St Catherine’s chapel – like St Martin’s – should have originally been plastered over and whitewashed.
Though there are signs it has been altered, little is known about the building itself, as it fell out of use after the Reformation in the 16th century to become the rookless run of today.
Pilgrimages were very popular in the Middle Ages. A pilgrimage is a journey to a special place for religious reasons. Usually people went to a church or cathedral to visit the burial place of a saint, hoping he or she would grant their prayers. For their sickness, journeys could be long or short. All medieval churches had relics of saints, either the whole body or a few bones, an item a saint once wore, or even a statue or painting which was thought to work miracles. A pilgrimage could be a journey to a nearby church, or one in the same county or more distant place, including shrines in other countries. Pilgrimages to Rome, Jerusalem and Compostela in Spain were particularly important, although most people were not able to travel that far.
Going on pilgrimage was not an essential part of the Christian religion, but people had a strong urge to visit sites and touch something physical, even from the beginnings of Anglo-Saxon Christianity in the 600s. There are no dedicated pilgrim routes in England as there were in Europe to Rome and Compostela. However, the road from London to Canterbury was well-known for pilgrims going to Thomas Becker’s tomb in Canterbury Cathedral, which was the most popular shrine in England. In recent years, new pilgrimage routes have been created to link sites with religious significance. The Pilgrims’ Way in Surrey is well-known, but is a Victorian invention. Pilgrims travelled on well-used roads, where there were inns or other places to rest, partly because they usually travelled in groups. They might also go by sea along the coast.
Sadly, the medieval shrines were destroyed at the Reformation when a different way of interpreting Christianity took hold: Protestantism. It was no longer felt that saints could intercede with God and people had to rely on their own prayers. Most shrines in Surrey are now lost to us, but we have evidence for a few, especially St Martha’s and St Catherine’s near Guildford. Although they look similar, both being on hilltops on the sand ridge, they are not connected with each other.
The founder of St Catherine’s may have been inspired by the hilltop site of St Martha’s. Catherine was often the destination for Hiltop churches and chapels, because it was said that her body was carried by angels to Mount Sinai when she died. Despite its elevated position, the chapel would have been very convenient for travellers along the east-west road trade, or the Guildford to Guildford (and Portsmouth) road which formed a crossroads at the site. This would be a good blessing, too, for a hermit. The animal fair would also attract travellers. It is very likely that there were relics in the chapel, and the striking situation and convenient position on a busy road may have attracted pilgrims. To reach the hill from the east, travellers would have had to cross the River Wey. Although there was a ferry here in historic times, there is no definite evidence for a medieval one.
St Catherine’s was a chapel, not a church. That means the priest could not baptise, marry or bury people there, but only celebrate the mass. The common interpretation of the chapel’s location is that it was built so that people in the southern parts of Arungham parish, at a distance from the parish church of St Nicholas in Guildford, could get to mass more easily. The chapel was probably built by the rector of Arungham in about 1300, and it was rebuilt in the 15th century. It had an annual fair on the hill, which would draw cash money. The fair was held for five days from St Matthew’s day, 21st September, perhaps because St Catherine’s day on 29th November was too late in the year. The rector to consecrate the chapel in 1355 mentions miracles occurring there and people flowing to it. Later there also was mention of pilgrims going to the fair.
Medieval Pilgrimage walk from St Catherine’s Chapel to Church of St Martha-on-the-Hill
The walk from St Catherine’s, in St Mary’s, has many route options which can be taken, depending on the type and length of journey preferred. Suggested circular routes from a starting point in Guildford are provided, both via a return journey from Chilworth and as a walk entirely on foot across Pewley Down.
Length: approx. 4.6 miles (main option) / 6.3 miles (by foot)
Duration: from 2.5 to 3 hours, not counting stoppage time at the sites
Moderate level of difficulty (steep climbs)
Heritage sites of interest
St Catherine’s Chapel The ruins of this new roofless chapel are largely 14th century, though they sit on the site of an earlier chapel. Disused by 1546 and partly restored in the 18th century, the site is now raked but, although the interior can still be viewed. See its listing and HER record for more info.
St Martha-on-the-Hill A few 12th century remains are incorporated into the church’s mid-19th century rebuild, including a Norman font from Hambledon. See its listing and HER record for more info.
Chilworth Gunpowder Works The remains of the gunpowder factory’s middle works are largely late 19th century, although the mill site was almost continually used since 1626, including for paper-making. See its listing and HER record for more info, including its heritage trail leaflet.
Pewley Hill Mobilisation Centre This late 19th century mobilisation centre is no longer accessible, but is visible from the footpath. It was demolished during WWII.
Guildford Castle The ruins of this 12th century (though with earlier origins) and visible today, paid for (the bulwark grounds are not open to public). See its listing and HER record for more info, including on the tower which are visible from the ground (the interior is normally locked in the day). See its listing and HER record for more info.
Return route via Pewley Down
15 From the church, head back westwards along the North Downs Way to the previous point (9). At the path junction, continue straight ahead instead of turning left, and follow the footpath along the edge of Charity Wood. Continue along the footpath for about a mile as it crosses the fields and heads NW across Pewley Down. As you enter a residential area (passing the site of Pewley Hill fort (16) on your left), continue onto Pewley Hill for another half mile, before turning right and immediately left again onto Castle St.
17 Continue down Castle St, passing Guildford Castle and Guildford Museum (18) on your left (note that the Museum is best entered via Quarry St). Turn right onto Quarry St, passing Guildford’s parish church of St Mary’s (19) before turning left onto High St.
20 Walk to the bottom of High St, crossing over Millbrook and the river, before turning right onto the path which runs alongside Portsmouth Rd Car Park. Take the pedestrian way up to Guildford Station.
(Total length for this journey leg = 2.4 miles)
Starting route from Guildford
1 Walk SE on Station Approach then join the path which runs towards Walnut Tree Ct, taking into the park for High St. Right before the White Horse pub, turn left onto the footbridge and cross over the River Wey, turning right before the Guildford Rowing Club.
5 An optional loop is Ye Olde Ship Inn on Poetsmoor Rd, as you turn right over Ferry Ln.
3 Turn right onto Ferry Ln and walk uphill for 0.1 miles, before turning left onto Old Portsmouth Rd. The leg is 1.2 miles. Although the most direct route (1.0 miles) is along Portsmouth Rd, the more scenic walk is indicated here.
(Total length for this journey leg = 1.2 miles)
Main route from St Catherine’s Hill to St Martha’s Hill (Pilgrims Way)
6 Walk back down the footpath from St Catherine’s Hill and turn right onto Ferry Ln. At the end of the path, turn right and continue along the footpath as it crosses over the footbridge. Continue along this path on the other side of the river, following as it turns right and crossing over the meadows until reaching Shalford Rd (28).
7 Cross over Shalford Rd, using the crossing a few metres to your left, and continue along the Pilgrims Way (North Downs Way) for 0.2 miles. At the end of the road, it forks to the left, take the right-hand Shepherd’s Way which will take you past Charnies Car Park.
8 At the end of the carpark, turn left onto a slight right onto the footpath (North Downs Way). Continue along this route for over a mile as it runs along the northern edge of Charity Wood, cutting across a meadow at one point, before re-entering the woods.
9 At the edge of the woods, the path will split. Turn right and continue for 0.1 miles, before turning left and walking for approximately another 0.1 miles, reaching Halipenny Lane. Turn left onto Halipenny Lane and continue for 0.2 miles, before turning right at the signpost, passing St Martha’s Hill Halfway Lane Car Park. Continue along this route for over 0.4 miles, it reaches the church of St Martha-on-the-Hill (10).
(Total length for this journey leg = 2.5 miles)
Return route via Chilworth Station
11 From St Martha’s from the south gate and follow the footpath down the hill, passing through the village and continuing along the footpath. After a short distance, the slightly longer route is to continue onwards along the North Downs Way, pass by the church, turning right and downhill onto the Downs Link, and then back eastwards on the path before reaching Chilworth Manor. As you reach Chilworth Manor on the right, continue straight downhill into Chilworth Gunpowder Mills, following the path over the past horse bridge (12).
12 Once over the bridge, take the left fork left to the track junction, and then left again, arriving back at the Chilworth Gunpowder Mills and picnic area. Take the right-hand path across the footbridge over the Tillegourne and follow the path which passes Chilworth Infant School, before turning left onto Dorking Rd (1,28).
13 An optional loop is The Percy Arms pub, next to the school and opposite from the main road. Walk to the pub (approx. 0.1 miles), wait for the ferry to return to Guildford (approx. 5 minutes), Skelmersdale (about 10 minutes) (note there is no ticket machine at Chilworth).
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Welcome back to Term 4. We hope the children had a wonderful break and are ready for a great term ahead. The year has gone quickly and many more fantastic learning opportunities are planned for the remainder of the year. We have seen the children grow, change and become eager to share their knowledge.
**Attendance**
Please make sure your child attends school each day and notify the school on Xuno of any absences. Everyday counts!
**Xuno**
Xuno is our school’s management system, where we post notes and important information to inform you of any upcoming events. Attendance, sick bay incidents, reports and parent communication is all done via this system. Make sure you check this app regularly to be properly informed throughout the term, regarding our school community.
**LITERACY**
**Reading**
‘Rose Meets Mr Wintergarden’ and ‘Go Go and the Silver Shoes’ are this term’s mentor texts. Mentor texts are books that teachers use to model specific reading strategies and discuss the different aspects of the text. For example focusing on vocabulary, text structure and comprehension. Students learn specific background knowledge related to the text so they can gain a better understanding of the text they are reading.
We encourage students to continue to bring their reading satchel to school each day for daily use individual and partner reading to develop their reading ability.
**AUTHOR STUDY:**
We will be starting an author study on Aaron Blabey. Students will explore, analyse and critique the different texts by the famous author.
Students will research Aaron Blabey and write a biography about his life and texts he has written thus far.
They will also focus on the vocabulary Aaron Blabey uses within his text and look closely at the way he has used dialogue, structure, ellipses and create suspense to write his texts.
Students will then have the opportunity to write their own story using Aaron Blabey’s style of writing and consider the different types of characters and settings he uses within his texts.
**Narrative and Persuasive Writing:**
Throughout this term, we will renew our knowledge on narrative and persuasive texts to prepare students for Naplan in Grade 3.
Students will continue to learn to expand basic sentences using the four questions: Who? When? Where? Why? They will also focus on writing sentences that include conjunctions such as: because, but and so in order to give more detail to their sentences.
**Spelling / Homework:**
Each week in class, students will be engaged in weekly spelling activities to improve on their phonic spelling knowledge. Spelling words will be given, to be practised using the ‘Look, Say, Cover, Write & Check’ method in both class and for Homework. Students will choose different activities
Curriculum Overview
MATHS
Number and Algebra:
This term in Number, students are learning about fractions of a whole, halves, quarters and eighths. They will recognise and name these fractions and share collections of objects into 2, 4 or 8 equal groups.
Measurement:
In Measurement and Data students will be learning about telling the time to the quarter hour and to 5 minute intervals on an analogue and digital clock.
They will also learn about the months and seasons of a year, using calendars.
Statistics
Students will pose suitable questions and collect data (information) that can be sorted into categories, which are displayed in tally charts and graphs. They will then be able to read and interpret graphs on different topics to learn information.
Space
We will identify things that turn in everyday life and describe full, half and quarter turns using the terms clockwise and anticlockwise.
Handwriting:
Students will continue to work on their handwriting to correctly form each letter, focusing on starting and finishing points so they can become fluent writers.
INQUIRY
During term 4, students will develop a curiosity about robots and programming within our ‘Robot Buddies’ topic.
We will be learning about the design process that encourages us to consider how we use objects in our lives and how objects and inventions have been designed and built to make life easier.
Incursion:
Towards the end of term 4, students will participate in the ‘Bricks4Kidz’ program, where they will construct different robotic models out of lego. They will connect these models to motors and program them to perform different movements. This will be a fun hands-on program that introduces coding and is a valuable tool and experience for our students. | 7510e062-8edb-44f5-b5ca-00bcd6908e4a | CC-MAIN-2024-46 | https://www.samps.vic.edu.au/_files/ugd/c629f6_df61963905a54fb791373e642df84e92.pdf | 2024-11-03T15:11:08+00:00 | crawl-data/CC-MAIN-2024-46/segments/1730477027779.22/warc/CC-MAIN-20241103145859-20241103175859-00753.warc.gz | 903,583,831 | 898 | eng_Latn | eng_Latn | 0.999014 | eng_Latn | 0.999055 | [
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Exploring the Elwha River Restoration
An interpretive overview created by the Juan de Fuca Scenic Byway Association
The Juan de Fuca Scenic Byway Association sincerely thanks its partners on this project:
Clallam County
The Elwha Klallam Tribe
Olympic National Park
National Parks Conservation Association
Olympic Peninsula Visitor Bureau
www.olympicpeninsula.org
Contributors
Laurel Black Design – Laurel Black
Juan de Fuca Scenic Byway Association – Michelle Little, Carolyn Flint, Sande Balch
Elwha Klallam Tribe – Frances Charles, Wendy Sampson, LaTrisha Suggs
Clallam County – Mike Doherty, Commissioner
Olympic Peninsula Visitor Bureau – Diane Schostak [retired]
Olympic National Park – Kathy Steichen, Brian Winter, Barb Maynes, Pat Crain
Project Management
Michelle Little
Carolyn Flint
Grant Management
Rich James, Transportation Program Manager
Clallam County
Design & Illustration
Laurel Black Design
Content and Editing
Carolyn Flint
Photography, Maps & Charts
Cover The Elwha River
Kitsap Images - Jean Boyle, photographer
Cover Salmon
John R. McMillan, photographer
Cover Glines Canyon Dam
Clallam County Historical Society
Cover Salmon
John R. McMillan, photographer
2 Roosevelt Elk
Brian Harmon, photographer
2 River otter
National Park Service
3 Elwha River Watershed
National Park Service
3 Elwha snow finger
Peninsula Daily News – Chris Tucker, photographer
4 Early Klallam village
Cory Ench, Artist – Trey Hensley, photographer
4 Klallam Drum & Dance Group
National Park Service – Janis Burger, photographer
5 Early logging
Clallam County Historical Society
5 Early logging
North Olympic Library System, Bert Kellogg Collection
5 George Bolstrom
Elwha Klallam Tribe
5 Beatrice Charles
Elwha Klallam Tribe
5 Port Angeles, circa 1895
Clallam County Historical Society
6 The Elwha Dam, circa 1912
North Olympic Library System, Bert Kellogg Collection
6 Thomas Aldwell
Photographer unknown
6 Glines Canyon Dam, circa 1925
North Olympic Library System, Bert Kellogg Collection
7 Hatchery broodstock harvest
NW Indian Fisheries Comm. – Tiffany Royal, photographer
7 Salmon eggs hatching
US Fish and Wildlife Service – Dave Alf, photographer
7 New Elwha River hatchery, circa 2011
Atkins Global - Norbert Ketola, photographer
8 Chinook salmon fry
National Oceanic and Atmospheric Admin. (NOAA)
8 Elwha Klallam with Chinook salmon
Elwha Klallam Tribe
8 Salmon at the Elwha Dam
Seattle Times – Steve Ringman, photographer
9 Salmon eggs in a redd [nest]
US Fish and Wildlife Service – Dave Alf, photographer
9 Salmon adults
John R. McMillan, photographer
9 Salmon smolts
Seymour Salmonid Society
9 Salmon parr
National Oceanic and Atmospheric Admin. (NOAA)
9 Salmon fry
National Oceanic and Atmospheric Admin. (NOAA)
9 Salmon alevins
Washington Dept. of Fish and Wildlife
10 Along the Elwha River
Kitsap Images - Jean Boyle, photographer
10 Glines Canyon Dam
Department of Interior, Bureau of Reclamation
10 Returning Chinook salmon
US Fish and Wildlife Service – Dan Cox, photographer
11 Orville Campbell
John Gussman, photographer
11 Elwha Dam, circa 2010
National Park Service
12 Surveying the river
US Geological Survey
12 Fish counts as of 2007
US Geological Survey
13 Projected sediment migration
National Park Service
13 Range map for salmon
National Park Service
14 Removing the base of the dam
National Park Service
14 Working below the log boom
National Park Service
14 Elwha gravity dam removal
National Park Service
15 Powerhouse demolition, 2011
National Park Service
15 Removal of penstocks
National Park Service
15 Former Elwha Dam site
Margot Boyer, photographer
16 Lake Mills reservoir bed
National Park Service
16 Glines Canyon Dam demolition
National Park Service
16 Notching Glines Canyon Dam
National Park Service
17 A 200’ crane
National Park Service
17 Glines Canyon Dam removal
National Park Service
18 Native plant seedlings
National Park Service
18 Helicopter transporting woody debris
National Park Service
18 Tribal revegetation crew
Elwha Klallam Tribe
19 Reservoir bed before revegetation
Elwha Klallam Tribe
19 Reservoir bed after revegetation
Elwha Klallam Tribe
20 Chinook salmon pair
John Gussman, photographer
20 Sediment plume at Elwha River mouth
National Park Service
20 Sediment monitoring
US Geological Survey
21 Chinook salmon juveniles
US Fish and Wildlife Service, Pacific Region – Roger Tabor, photographer
21 Ongoing monitoring
US Geological Survey – Jon Czuba, photographer
21 60+ pound male Chinook
Washington Dept. of Fish and Wildlife
22 Elwha River delta
Tom Roorda and The Coastal Watershed Institute
Washington Dept. of Fish and Wildlife
22 Salmon alevin
22 Returning pink salmon
John R. McMillan, photographer
23 Salmon eggs in a redd
John R. McMillan, photographer
23 Juvenile Chinook salmon
US Fish and Wildlife Service, Pacific Region – Roger Tabor, photographer
23 4-salmon traditional spindlewhorl
Elwha Klallam Tribe – Alfred Charles Jr., artist
23 The Elwha River flows free
Kitsap Images - Jean Boyle, photographer
Back Cover - Milepost 58 on Highway 112
JFSBA – James Wengler, photographer
First printing: 2/2015 / Second printing: 8/2017 / Third printing: 10/2021
For thousands of years, the Elwha River ran freely from its headwaters high in the Olympic Mountains to its mouth on the Strait of Juan de Fuca. In December 1913, the first fruit of an ambitious project to bring electricity to the region came online, the Elwha Dam. This, and the subsequent 1927 upstream construction of the Glines Canyon Dam brought many changes to the ecosystems and people of the north Olympic Peninsula.
The Elwha River Restoration Project is the largest dam removal and river restoration in United States history.
The project is vast, much more than just deconstructing two dams. Teams of highly qualified personnel have been tasked with giving nature a hand up in habitat restoration, facilitating a return of the river to its natural processes, revegetation of the drained reservoirs, and opening areas of the watershed blocked for a century to migrating salmon. This booklet is an overview of the history of the river, the dams, and how this historic project is and will be bringing new and exciting natural and cultural changes to this part of the Olympic Peninsula.
Table of Contents
Beginnings ................................................................. 2
The People ................................................................. 4
The Dams ................................................................. 6
The Hatcheries ............................................................ 7
The Fish ................................................................. 8
A New Direction for the River ........................................ 10
Planning the Restoration .................................................. 12
Removing the Elwha Dam ................................................ 14
Removing the Glines Canyon Dam ..................................... 16
Revegetation .............................................................. 18
Returning Fish Runs ....................................................... 20
Progress of the Restoration ............................................... 22
The Strait of Juan de Fuca Scenic Byway Map & Legend ........... 24
About the Juan de Fuca Scenic Byway Association .................. Back Cover
During the last Ice Age, between 25,000 and 10,000 years ago, this region was covered with glaciers. As this cold period ended and the climate warmed, the huge sheets of ice melted, exposing the terrain over which the Elwha River runs.
The warming trend supported varied species of plants and animals, many of which are still here. Forests of Douglas-fir, spruce, hemlock, cedar, alder, and maple trees cover large areas of the watershed. Black bears, cougars, eagles, deer, elk, and many other animals live and forage in the area. Historically, some of the largest migratory fish runs outside Alaska used the Elwha River as their spawning ground. Coho, chum, sockeye, pink, and Chinook salmon, along with cutthroat trout, native char, and steelhead, depended upon the Elwha to shelter and nurture their eggs and young.
The Elwha River flows generally north for 45 miles from its headwaters high in the Olympic Mountains to its mouth on the Strait of Juan de Fuca. The watershed encompasses 321 square miles and over 75 miles of migratory fish habitat. It is one of the largest watersheds on the Olympic Peninsula, and the largest in Olympic National Park.
The Elwha snow finger, where the Elwha River begins.
Elwha Klallam oral history tells of a sacred place on the Elwha River where Klallams were created, bathed and blessed.
“There are two holes in the river bed that contain water called “spčúʔ”, [pronounced: “spcho”] which means “coiled basket.” These holes are the places from which dirt was scooped, out of which the Creator formed humans. Throughout time, this is the place where people went to get information about their future. For example, if you reached into the water and pulled out a deer hair, you would be a good hunter. If you pulled out a fish bone it meant you would be a good fisherman. Before visiting this site the people would first cleanse and prepare their minds and bodies by fasting, meditating, and bathing.”
Against the fertile backdrop of the Olympic Peninsula comes the first evidence of humans living in the area, approximately 13,800 years ago.
Since time immemorial, the Strong People or “naxʷsƛáyəm” [pronounced “Klallam”], resided near beaches and rivers along the north and east coasts of the Olympic Peninsula.
The Elwha Klallam people were and are particularly bound to the Elwha River and its watershed. They used the river as a crucial source of food, water, and as a route into the mountains and forests, establishing villages from which they hunted game and gathered plants. Shellfish in abundance were found in the river’s estuary and nearby beaches. An old tribal saying is, “When the tide is out, the table is set.” Central to their culture, however, and the core of their food supply, was the river’s abundant salmon.
Members of the Klallam Drum and Dance Group celebrate the beginning of dam removal at the September 2011 official ceremony.
In the book *Native Peoples of the Olympic Peninsula*, Jamie Valadez tells this story: “Thunderbird lived in a cave and chased the salmon upriver by sending thunder and lightning toward the mouth of the Elwha. When the lightning hit the water it turned into a two-headed serpent . . . . Then the Klallam prepared to fish, because they knew a good run of fish was coming.”
The Elwha Klallams continue to live along the river today, holding it in deep reverence and regarding it as a part of their tribe’s soul.
In the mid-1800s European-Americans started arriving in earnest and settling on the Olympic Peninsula.
Founded in 1862 a few miles east of the Elwha River, Port Angeles grew from a frontier outpost into a small town. The population increased rapidly when booming resource-based industries drew an influx of newcomers.
In 1890 the city incorporated and became the county seat, positioning it as the region’s civic, commercial, and economic center.
The first decade of the 1900s was a time of rapid industrial and scientific advancement. Progress in producing and harnessing electricity during the last decades of the 1800s had made it possible to power many tasks previously accomplished only mechanically or by hand.
Electricity meant a huge leap forward in increased production and efficiency for anyone who could gain access. Some towns and cities were developing electrical grids that could supply power to businesses and residences. Many civic leaders in Port Angeles felt that a readily available source of electricity would enhance development of the harbor and local industries, bringing prosperity to the region.
Port Angeles downtown and harbor, circa 1895.
It’s not just about taking the dams out, or even just putting the fish back. It’s about the whole picture, the human population, marine predators, overfishing, the works. If the whole system is addressed, then maybe restoration will work.
— George Bolstrom, Elwha Klallam Tribal Elder, 1929–2000
Our Creator gave us this fish to live on . . . and we cherished it, and we respected it . . . we didn’t waste it, we used every bit of it . . . I may not see the abundance of fish come back in my lifetime, but I would like to see it come back for my grandchildren, my great-grandchildren, and the rest of my people, the generations to come. It was a gift from our Creator; it was our culture and heritage.
— Beatrice Charles, Elwha Klallam Tribal Elder, 1919–2009
Real estate developer Thomas T. Aldwell believed that hydro electric power generated by a dam on the Elwha River could support development in the region. He sold his vision to a group of investors and formed the Olympic Power and Development Company in 1910. Construction of the dam started five miles upstream from the river’s mouth and in 1914 the 105 foot Elwha Dam was producing and distributing electricity to customers in the region.
The success of the project coupled with a growing demand for more electricity fueled the construction of another dam. By 1927 the 210 foot Glines Canyon Dam was producing hydroelectric power eight miles upriver from the Elwha Dam.
Electricity allowed Port Angeles to become a center for the pulp and paper industry, which grew rapidly in the 1920s as new ways of processing pulpwood into paper and cellulose were discovered. Thomas Aldwell played a leading role in recruiting mills to the city, with power from the dams an important factor.
Although the two dams were a crucial source of electricity for the region, the passage of fish had been blocked by the construction of the first dam. In fact, both dams were built without providing a way for fish to pass. Salmon returning to spawn were only able to access the first five miles of the river, whereas previously there was over 75 miles of river and tributaries available. The river had few spawning grounds remaining, and inevitably fewer and fewer salmon returned.
The river and its watershed had provided rich resources for the Elwha Klallam people. The water rising behind the newly built dams inundated villages, fish camps, medicinal plants, food gathering areas, and sites sacred to the tribe. Changes in sediment and woody debris runoff drastically altered the river’s mouth and estuary, severely reducing shellfish populations. These changes left the Elwha Klallam tribe struggling to feed their people and maintain their self-sufficient lifestyle.
Several projects designed to preserve the Elwha River salmon population have been initiated since the first dam was built.
Construction of the Elwha Dam had begun in 1910. Even before completion, it was clear that salmon were being blocked. This was prohibited by state law. The Washington State fish commissioner proposed a mitigation program designed to preserve both the dam and the salmon. State law allowed barriers to salmon migration if they were used to collect fish from which eggs could be harvested for a hatchery program. The Commissioner proposed that the state make use of the Elwha Dam as such a barrier. The resulting hatchery went into operation in 1915. It was found to be ineffective and was abandoned in 1922.
A hatchery program for Chinook operated from the mid-1930s to the present, although a facility was not located on the river until the 1970s. Until then, Elwha Chinook eggs were reared at the nearby Dungeness hatchery, and then smolts [young fish] were released back into the Elwha.
A rearing channel was built by the Washington State Department of Fish and Wildlife to mitigate fishery losses to the state.
In the 1970s, a tribal hatchery was built on the river and started operating in 1978. It produced coho and chum salmon, as well as steelhead.
Sediment released by removing the dams would change the river and render the hatchery unusable, so in 2011, a new one was built on higher ground.
Fish of many varieties depended on the pristine Elwha River and its tributaries for food and shelter. Most of these fish were anadromous. Born in fresh water, anadromous fish migrate to salt water, grow into adulthood, and then return to fresh water to spawn (produce fertilized eggs). Chinook, chum, coho, pink, and sockeye salmon, sea-run cutthroat, steelhead, and bull trout were all present in the Elwha River. It was the only river on the Olympic Peninsula that supported all species of Pacific salmon.
Year-round, the Elwha would swarm with adult fish returning from the sea to their birthplace. Some journeyed many miles upstream to spawn.
Prior to 1910, when dam construction began, estimates are that the river supported as many as 400,000 salmon in a year. In 2011, just prior to the start of dam removal, that number was approximately 3,000.
In addition to blocking access to about 70 miles of spawning habitat, the dams also degraded the five miles still accessible to salmon. Spawning beds became fewer and of lower quality because gravelly sediment became trapped above the dams. Woody debris was also held back, resulting in less shelter for young fish and the forage they depend on.
Prior to dam construction, Chinook salmon weighing 100 pounds were seen in the Elwha River. It is thought that removal of the dams and habitat restoration efforts may provide the environment needed for some individuals to again reach this remarkable size.
As much as the fish depended upon the river and its watershed, this same ecosystem and the people living in it depended on the fish.
After migrating into a river system and spawning, most salmon die. Many animals, birds, and other fish eat the highly nutritious carcasses and eggs.
The absence of fish carcasses above the dams changed the chemistry of the river and the surrounding soil, reducing the availability of carbon, nitrogen, and phosphorus to terrestrial and aquatic plant life. The loss of these crucial nutrients changed the numbers, types, and distribution of plants and animals living along the upper river.
In essence, the elimination of anadromous fish in the upper river fundamentally affected all life, human and otherwise, in the entire watershed.
Removal of the dams had long been advocated by the Elwha Klallam people.
In 1968, the owners of the Elwha Dam filed an application for a license and in 1973 a re-licensing application was submitted for Glines Canyon. Hydroelectric projects in the United States are licensed through the Federal Energy Regulatory Commission (FERC), and the process includes public hearings. The licensing process was a clear opportunity to reexamine the pros and cons of the two hydroelectric projects.
Environmental groups started aligning with the tribe, supporting dam removal and the restoration of the Elwha River. Because of the growing support for removing the dams, the FERC licensing process became delayed and contentious. There were challenges made by conservation groups. Some factions filed to intervene in the licensing process, one challenged jurisdiction in the courts.
The issues, greatly condensed, were:
• what agency, if any, had jurisdiction to license or re-license the dams,
• whether or not licenses should be granted,
• if substantive fish mitigation could be achieved without removing the dams, and
• if the dams could or should be removed in an effort to restore migratory fish populations and the associated ecosystem.
As part of the licensing process, FERC drafted an Environmental Impact Statement to explore the different fish mitigation options. The draft, released in February 1991, concluded that:
- dam removal is feasible,
- only removal of both dams would result in the potential for full restoration of the Elwha River ecosystem and anadromous fish runs, and
- the cost of power produced by the dams would equal or exceed the cost of power from the Bonneville Power Administration (by this time the main supplier of electricity to the region).
Many years passed after the licensing applications had been submitted. Conflict among competing interests needed a final resolution. Federal legislation, in essence a negotiated settlement, was drafted to mandate restoration.
In 1992, Public Law 102-495, the “Elwha River Ecosystem and Fisheries Restoration Act” was enacted, ordering “full restoration of the Elwha River ecosystem and native anadromous fisheries.”
Many people think the dams were a mistake. In 1910, the culture and values of the people of Port Angeles were very different. Life was difficult, it was tough making a living, commerce was limited, and there was no electrical energy. The story of the dams is lacking if we pass judgment using only our modern day values.
There is no doubt that the Native Americans were mistreated. The original owners of the project were focused on bringing a source of energy to the region and did not consider the damage being done to the lifestyle of the local Native Americans.
The process of eliminating the dams began in the 1960s as tribes and environmentalists came together and began to criticize the entire hydro industry. This heralded a cultural change: even though energy brought a huge change in improving American lives, there was a degree of arrogance that had driven dam development.
In 1991, the staffs of US Senators Brock Adams and Bill Bradley came to meet with the dam owners. They were going to draft legislation to remove the dams from FERC’s jurisdiction, buy them back and remove them. The owners could help draft the act or not.
Once it was final that the dams would be removed, the complex process of planning started. The National Park Service was put in charge of the project. Decisions had to be made regarding federal acquisition of the dams.
As the reservoirs drained, their dry bottoms would be devoid of vegetation. Should they be allowed to revegetate naturally, or would that process require assistance?
Millions of cubic yards of sediments had accumulated in the reservoirs behind the dams. When the dams were removed they would wash uncontrolled into the river making the water silty and smother aquatic life. Some of the surrounding communities which had water supplies dependent upon the Elwha might also experience problems with the sediment runoff. How would these assets be protected as the removal process progressed?
The power houses and their machinery had to be dismantled and removed. Additionally, there were thousands of cubic yards of concrete that had to be dealt with when the dams were dismantled.
Measuring and monitoring changes to the river, its watershed, the estuary, and the nearshore habitat, created a unique opportunity to enhance understanding of river systems and fisheries. This complex series of tasks needed to start early in the restoration to establish baselines and then continue on for decades. Qualified teams of personnel were needed to do the work.
From 1992 to 2011, these and many other issues were resolved, and although not a single cubic inch of dam concrete had been removed, many preparatory projects were completed.
- In early 2000, the federal government purchased both the Elwha and the Glines Canyon Dams.
- The Bureau of Reclamation began operation of both hydroelectric projects.
- The National Park Service was placed in charge of the restoration project.
- Mitigation to protect the water supplies of surrounding communities was completed.
- A replacement municipal water treatment plant was constructed for Port Angeles.
- The Elwha Water Facilities were built and included a new river diversion, industrial water treatment plant, and flood protection.
- A greenhouse and plant propagation facility was built to grow native plants for revegetation projects.
- A replacement hatchery was built on the Elwha River.
- “Fish windows” were established as periods when altering the river’s flow or allowing the release of sediments into the river could be harmful to fish. During a fish window, dam removal would stop and other parts of the project would be worked on.
- A strategy was developed to deal with the millions of cubic yards of sediments that had accumulated behind both dams. Each would be demolished from the top down in gradual increments, exercising some control over the amount of sediment washed downstream. These increments would be adjusted as needed and alternated with “fish windows.”
- In September 2011, six webcams were installed along the river. They will help monitor sediment movement and allow online access by individuals interested in viewing the restoration project as it progresses.
In 2011, a cofferdam was constructed upstream, diverting the river so crews could work in a drier environment. Contractors prepared an operations center next to the dam and upgraded the access road to accommodate heavy truck and equipment traffic.
In June, the dam’s power plant was shut down and disconnected from the electrical grid. The machinery from the power plant was taken apart and sorted for recycling. Some tools and pieces of machinery were loaned to historical societies and museums.
The original water level of the reservoir behind the 105-foot dam was about 200 feet above sea level. This was first lowered by opening the spillways. In mid-September, a large backhoe took out the first chunk of concrete from the top of the dam.
November and December had been designated a fish window, so contractors temporarily stopped demolishing the dam and shifted to removing the powerhouse and penstocks. Penstocks are the huge pipes that direct water flow from the reservoir to the dam’s power-producing turbines.
While demolishing the dam, crews continually moved the river between previously constructed left and right diversion channels, working in areas protected from the river’s flow. The dam’s height and the reservoir’s water level were lowered slowly to manage the release of accumulated sediments from behind the dam.
By the end of 2011, all of the poles and lines that had connected the power plant to the electrical grid were gone.
In January 2012, the reservoir’s water level was down to about 152 feet above sea level and about half of the Elwha Dam’s original height had been removed. Work on the dam then stopped for a few weeks while sediments washed downstream.
The demolition of the powerhouse was completed and the last remnants were removed. Crews excavated the bed of the left diversion channel down to about 140 feet above sea level, then shifted the river back into it. The reservoir was then drawn down more, to about 145 feet.
On January 30, 2012, a 14-day hold on dam demolition began, providing some control over the amount of dislodged sediments being washed downstream. Demolition then resumed, this time to excavate the remaining dam down to the original river bed.
In February, final grading and placement of rip-rap began along the river at the powerhouse site.
On March 16th, the concrete walls on both the left and right sides of the dam site were removed. Workers took the cofferdam out and the Elwha once again flowed in its original channel, approximately 100 feet above sea level.
By April 23rd, 2012, the Elwha Dam was gone.
Removal of the dam began on September 15, 2011 and employed a strategy similar to that used on the Elwha Dam, but the scale of the process was much larger. Standing about 210 feet, this dam was approximately twice as tall as the Elwha Dam. Sediments had to be released gradually, as in the case of the Elwha Dam, but being upstream and much larger, the Glines Canyon Dam had many more millions of cubic yards of sediment trapped behind it.
The reservoir’s water level was about 600 feet above sea level. With the dam gone, the river channel here is now approximately 400 feet above sea level.
Demolition began by opening the spillgates and lowering the water level. Perched on a barge floating along the back of the dam, a large hydraulic hammer made notches in the top of the dam allowing water to flow through. When the water dropped below the bottom of the notches, the material in between was removed.
By the end of February 2012, the level of the water in the reservoir was about 530 feet above sea level.
Between March and May 2012, crews started dismantling the powerhouse, gatehouse, and sections of the dam above the water.
During the May and June fish window, demolition of the powerhouse and gatehouse continued. Contractors used
explosives to remove sections of dam that were above the water level.
**In July**, the hydraulic hammer could no longer reach the work from the floating barge, so crews used controlled blasting to lower the height of the dam. By the end of July, the reservoir’s level was about 490 feet above sea level.
The August-September 15th fish window was used to remove the intake tower and a log jam.
Between September 15th and the end of the month, the reservoir’s level had dropped to approximately 473 feet. Crews started removing natural and demolition debris that had piled up behind the dam.
**By the end of October**, blasting had lowered the dam enough for the river level to reach about 450 feet. Only 65 feet above sea level of the dam’s original 210 foot height remained.
During the November-December 2012 fish window, crews hauled away rubble.
In February 2013, engineers put a temporary hold on continuing dam removal while the Elwha Water Treatment Plant downriver was upgraded.
By July of 2013, only 50 feet of the dam remained, and by October, 40 feet.
In January 2014, 1,478 cubic yards of concrete were blasted into rubble, leaving only 30 feet of the 210 foot tall dam.
**The final removal** of the last bit of Glines Canyon Dam occurred on Tuesday, August 26, 2014, eliminating the last barrier between returning salmon and the entire Elwha River watershed.
---
Male pink salmon develop hooked jaws and a large lump on their back during spawning season.
Approximately 800 acres of riparian and lowland forest habitat were flooded by water when the Elwha and Glines Canyon Dams were built. When their reservoirs were drained, fern rhizomes and stumps of 500-year-old cedar trees were exposed, remnants of the ancient forests that once covered the valley.
The river continues to erode sediments which in some places are 30 feet thick. It is carving a new main channel, leaving most of the remaining sediments as a base for the plants being reintroduced.
Revegetation is important for many reasons. It starts a new cycle of soil building and stabilization encouraging the return of plant life to the bare reservoir bottoms, providing vital habitat for fish, birds, and other animals. Since 2001, Elwha Klallam crews have been treating and removing noxious weeds to prepare for revegetating the area with native plants.
While some areas will revegetate almost immediately from seed that is blown or floated in, much of the newly exposed sediments would not be covered with regrowth quickly enough to prevent serious erosion. Thousands of pounds of grass and wildflower seed have been sown in these areas. The seeds are from plants native to the Elwha watershed, a mix of eight different species all proven to be successful colonizers of fine sediments. The seeds were collected in the Elwha watershed by Olympic National Park staff, volunteers, and members of the Elwha Klallam Tribe.
Covering the newly dry land also requires hundreds of thousands of native tree and shrub seedlings. A nursery facility had been built early on as part of the restoration project. Over 50 different native species are being fostered,
including Douglas-fir, grand fir, big-leaf maple, red alder, black cottonwood, thimbleberry, Scouler’s willow, snowberry, salmonberry, baldhip rose, Nootka rose, gooseberry, cottonwood, willow, Indian plum, and oceanspray.
The planting of these seedlings started as soon as bare ground was exposed.
**After the Elwha Dam’s structures** were removed, the bare hillside was prepped and seeded to minimize erosion and runoff. Straw blankets were laid over the seed. Green shoots quickly started growing through the blankets. In the fall of 2013, over 1,000 seedlings were planted on the slope, accelerating forest development and slope stabilization.
Over the next several years, crews from both the Elwha Klallam Tribe and the National Park Service will plant up to 400,000 seedlings on the drained reservoir bottoms to augment the natural revegetation process.
**Early results** are encouraging. Birds and frogs moved in, and larger animals followed. River otters adjusted to the new surroundings. Deer forage on the newly exposed land.
In the drained reservoir behind Glines Canyon, revegetation efforts included modifying the environment for seedlings by adding large piles of woody debris. In October 2012, a “heavy lift” helicopter transformed nine acres into a sheltered environment by moving hundreds of logs from the former reservoir shoreline to an open sandy terrace.
**Large piles of wood** create safe sites for young plants as they get established, protecting them from wind, excessive heat, and drought. The wood helps minimize erosion, traps seeds and other particles blown in by the wind, and nourishes the poor sediments with much-needed nutrients. Woody debris also creates barriers that protect young seedlings from being eaten by large herbivores such as deer and elk.
The revegetation process will continue for several more years.
The dams were removed to restore an ecosystem and open approximately 70 additional miles of the Elwha River and its tributaries to salmon. The river is carrying tons of accumulated sediment out of the dry reservoir beds, and will be for some time.
Sediment suspended in water creates challenging conditions for most fish native to the Elwha. The multiple impacts of sediment transport were carefully considered throughout the restoration project planning. Fish windows were one tool used to help clear the river channel of suspended sediments during salmon runs. This form of control ended once both dams were removed. Revegetation is now the best available tool to mitigate the entry of accumulated sediments into the river. Even with all aspects of the restoration project in place, it will be many years before the Elwha River returns to a natural state.
Part of the project includes monitoring the impacts of the dams’ removal on the river’s fish. Many strategies are being used to document the numbers, size, and location of the various species as the stages of their life cycles are played out in the river. Surveys are conducted using fish traps, boats, snorkels, scuba gear, sonar, redd (nest) counting, radio tagging, and other techniques. Genetic testing is also being conducted to broaden understanding of how the project has affected the salmon.
Before the Elwha Dam was completely removed, biologists transported adult salmon above the dam and released them. As hoped, their fry (newly hatched fish) were found in the tributaries above the dam site.
Chinook are the largest of the salmon that come to the Elwha, ranging between 20 and 60 pounds, with historical accounts of some weighing as much as 100 pounds.
In August and early September of 2013, the largest run of Chinook salmon since 1992 returned to the river. Some of these Chinook swam upstream of the former Elwha Dam site, taking advantage of new access to clear-running tributaries. There, biologists mapped over 600 redds (nests).
After the removal of the last few feet of the Glines Canyon Dam on August 26, 2014, a snorkel survey was conducted during the week of September 12th. Upstream from the former dam site three Chinook were counted, and 432 were found just downstream.
Young salmon that leave the Elwha River for the adult phase of their life in the ocean will now return free to explore the entire river system and find their former spawning grounds.
Projections are that the river will eventually support the return of fish to their “pre-dam” numbers in the hundreds of thousands.
In 2010, a 60+ pound male Chinook salmon documents a century of survival and a future of hope.
Progress of the Restoration
Public Law 102-495 is the road map for the Elwha River Restoration Project, mandating full restoration of the Elwha River and its native anadromous fisheries.
Has all the hard work paid off? By what measures could this project be called a success? The only way to answer these questions is to keep monitoring, measuring, and analyzing data on every possible aspect of the environmental processes taking place in the watershed.
Dam removal set the stage for the recovery of an environment that historically supported hundreds of thousands of salmon. The success of the work will only be fully evaluated after many years and generations of salmon.
Changes in the watershed show that natural processes are returning. The dams are gone. Willow and alder are taking root in the drained reservoirs. The river is transporting excess sediments downstream. The estuary at the river’s mouth is expanding and fine grained beaches are forming along the nearshore.
Returning salmon now have access to about 75 miles of river and tributaries. Chinook and coho salmon and steelhead trout traditionally swam many miles up the river to spawn. In 2013, hundreds of Chinook found their way past the old Elwha Dam site and spawned in three tributaries not accessible for a century. In 2014, a survey counted salmon upriver from the former Glines Canyon Dam site. Future generations are now free to explore the upper river and their former spawning grounds.
The estuary at the mouth of the Elwha had been “starved” of sediments for a century. It is now being replenished. Habitat for freshwater invertebrates and nearshore species, such as clams, crabs, and smelt are improving. Most salmon spend part of their early life in the estuary at a river’s mouth where they forage for food and find shelter from predators.
Removing the dams to expose formerly dry land has validated oral histories and revived cultural practices that had been carefully preserved and passed down through generations of Elwha Klallam tribal members.
The Elwha River will continue to change as long as it flows. The project is far from over; many years will be spent watching and analyzing the changes wrought by the restoration. So far, indications are that natural processes are returning and the Elwha River is, once again, an environment which welcomes its salmon.
An Elwha Klallam traditional spindle-whorl design depicts sockeye, Chinook, coho, and chum salmon which run in the Elwha River.
The Strait of Juan de Fuca Scenic Byway, State Route 112
Want to Explore More?
Visit www.highway112.org for links and more information.
Map Legend
- National Scenic Byway
- Natural & Scenic Points of Interest
- Historic Points of Interest
- Olympic Discovery Trail
- National Trail Sites
- Parks & Campgrounds
- Ranger Stations
- Restrooms draw to dash
©2017 by the Scenic Byways Association. All rights reserved.
1. Elwha Gateway Interpretive Center
This self-guided center presents an overview of the largest dam removal project in the United States occurring on the nearby Elwha River. Nature trails lead from the parking lot to views of the Elwha River gorge and the former Elwha Dam site. [Milepost 60]
2. Elwha Bridge
The Elwha River’s glacier-fed waters and deep gorge are exceptionally scenic and can be viewed from the “old” Elwha Bridge on Elwha River Road. The one-lane 1914 bridge was replaced in 2009 with one supporting separate vehicle and pedestrian decks. The pedestrian deck is the river crossing on the Olympic Discovery Trail. [Turn right on Elwha River Road at Milepost 58.5]
3. Mouth of the Elwha River
Two dams on the Elwha River were removed between 2011 and 2014, releasing millions of cubic yards of sediment from their reservoirs. This is creating exciting changes to the area around the river’s mouth. Eagles can often be seen flying above the beach. [Turn right on Place Road at Milepost 58 and drive 1.9 miles to day-use parking.]
4. Olympic Discovery Trail Adventure Rte.
The Olympic Discovery Trail (ODT) is a non-motorized, multiuser transportation/recreation system that will eventually span the Olympic Peninsula. One portion, connecting SR112 at the Elwha River with Lake Crescent, is the Adventure Route. It is three feet wide, has a dirt and gravel surface, and is open to hikers, equestrians, and mountain bikers. [Milepost 59.5] olympicdiscoverytrail.com
5. Freshwater Bay County Park
A concrete launch ramp and beach access are open year round. The protected bay provides an ideal spot for fishing, kayaking, beach combing, crabbing, and birdwatching. The park has an upper picnic area [open May - Sept] located in a natural cedar forest with shelters and restrooms. [Turn off SR112 at Milepost 56.5] clallam.net/Parks/freshwaterbay
6. Salt Creek Recreation Area
Salt Creek includes the Tongue Point Marine Life Sanctuary, a diving site, a saltwater beach, a surfing and paddle sport area, playground, tide pools, a wide variety of bird life, and hiking trails to Striped Peak. The remains of Fort Hayden, a World War II coastal defense fort, are preserved on the 196-acre site. The park is popular for tent and RV camping. [Turn off SR112 at Milepost 53.8]
7. Joyce General Store & Depot Museum
This historic landmark is a favorite supply stop for locals and tourists. It houses artifacts from the area's logging history and a century-old US Post Office. The Joyce Depot Museum is just east of the store in a log-built former railroad station. Its exhibits tell the story of Joyce's early history. The museum is open Saturdays year round [extended days in summer]. [Milepost 50-51]
8. Lyre Conservation Area
This area features a 1 mile trail to the estuary at the mouth of the Lyre River, streams, tide-flats, kelp beds and a ½ mile of Strait of Juan de Fuca shoreline. The trail passes through a large diverse upland forest as well as providing an opportunity to view salmon, birds, and other wildlife. It is open for non-motorized recreation such as hiking, horseback riding, surfing, bird watching, and biking. [Turn right on Reynold Rd at Milepost 46.8 and drive 1/2 mile to parking on left]
9. Pillar Point County Park
This wooded 4-acre day-use park has a sandy beach with a concrete launch ramp for small boats. It is a great area for crabbing, shell fishing and photography. Enjoy scenic views of the Strait, the Pyth River estuary and the imposing profile of Pillar Point. [Milepost 29-30]
10. Clallam Bay Spit County Park
This County day-use park includes picnic sites, rest rooms, an interpretive display and room to roam. In summer months, there is public access to the Clallam Spit with a mile-long sand and gravel beach. [Milepost 16-17]
11. Lake Ozette
Part of Olympic National Park, Lake Ozette offers boating, hiking and camping and access to the trailhead of a 9-mile cedar boardwalk loop to the Pacific shoreline, up the coast and back to the lake. Check with ONP's Wilderness Information Center in Port Angeles for overnight permits, tips, and tide schedules. [Turn at Milepost 12-13 and drive to the end of Hoko Ozette Road]
12. Sail and Seal Rocks (Sea Stacks)
These twin offshore rocks are feeding grounds for gray whales; sea birds can also be seen. The Strait of Juan de Fuca connects Puget Sound to the Pacific Ocean. [Milepost 1]
13. Neah Bay and the Makah Tribe
Discover ancient Makah heritage at the Makah Cultural and Research Center. Explore camping, sports fishing, and hiking the pristine coast to Shi Shi Beach in Olympic National Park. Take the Cape Flattery trail on a ¾ mile cedar-planked boardwalk to a magnificent view of the Tatoosh Island Lighthouse. A recreational permit is required and can be purchased at several outlets in Neah Bay. [Milepost 0]
Exploring the Elwha River Restoration is an interpretive project created by the Juan de Fuca Scenic Byway Association.
The Juan de Fuca Scenic Byway Association (JFSBA) is a grassroots, volunteer organization formed for the purpose of promoting awareness of and sharing the history, culture, natural beauty, and recreational opportunities along the Strait of Juan de Fuca Scenic Byway. The Association is a Washington State non-profit organization with 501[c]3 charitable organization status.
The Strait of Juan de Fuca Scenic Byway – Washington State Route 112 is located on the Olympic Peninsula just west of Port Angeles. The 61-mile highway meanders along the Strait through a remote and beautiful landscape of forests and coastline to the westernmost lands of the Pacific Northwest. Cultures and traditions on the peninsula today reflect the rich history of its people and environment. The highway has played a key part in that story.
Highway 112 is a National Scenic Byway, part of the collection of America’s Byways.
In 2011, the Association received a generous grant from the Federal Highway Administration Scenic Byway Program to design and construct an interpretive center near the entrance to Highway 112. With the largest dam removal and river restoration effort in US history taking place within sight, the timing was just right.
In 2015, the National Parks Conservation Association stepped in and funded the center’s interpretive panels as well as a second printing of these commemorative booklets.
The interpretive center and booklets both tell the story of the Elwha River and the project undertaken to restore it to a natural state.
We are pleased and honored to have had this opportunity to offer an informative and welcoming experience for those who come to visit and explore.
Mission Statement
To promote the Strait of Juan de Fuca Highway 112 Scenic Byway.
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The Potential of Portable Technologies for Supporting Graphing Investigations
Sara Hennessy
Institute of Educational Technology, Open University, Walton Hall, Milton Keynes MK7 6AA, UK.
Tel: +44 (0)1908 653769; fax +44 (0)1908 653744; email: firstname.lastname@example.org
Summary published in
British Journal of Educational Technology, 1999, 30 (1), 57-60
Full article available at
http://www.educ.cam.ac.uk/staff/hennessy.html
ABSTRACT
This article begins by reviewing the relevant research literature concerning the portable revolution in education. It outlines the advantages and disadvantages of portable forms of technology, with an emphasis on their potential impact upon student learning and attitudes. (The focus is on mathematics as far as possible, but writing is touched upon too as it is the main use for computers in school and hence the subject of much research.) A detailed discussion is then undertaken of the research on students’ understanding of graphing and studies with graphic calculators and portable computers. We also discuss the related trend towards investigative learning in mathematics, the use of ‘real world’ activities, issues concerning collaborative use of portable computers and research on relevant gender issues. The review concludes that portable graphing technologies present an important opportunity to help students develop understanding and skills in the traditionally difficult curriculum area of graphing.
Key words: portable computers, graphic calculators, palmtops, graphing, multiple representations, real world problems, collaboration, gender
CONTENTS
1. The changing face of IT in education: the portable revolution 1
Accessibility and flexibility 2
Palmtop technology 4
The London Docklands Learning Acceleration Project 6
The OU Pocket Book pilot study 7
The Pocket Book project 6
Technical and practical issues 7
Impact on written work 8
Impact on mathematics activities 9
IT skills 11
Home - school links 11
Independence, ability and differentiation 12
Perceptions, attitudes and motivation 14
Student empowerment 17
Active participation and investigative learning 18
Changing teaching and learning styles 19
Summary 28
2. Students’ understanding of graphing: common difficulties 23
Overcoming students’ difficulties with graphing 27
3. The role of technology in supporting graphing 28
Graphic Calculators 33
Research Issues 40
Summary: Aims of using portable graphing technologies 41
4. Portable graphing technologies: some elements of caution 41
Motivation and ‘magic’ 41
Problems specific to graphic calculators 43
5. Curriculum change and the influence of technology 44
The investigational approach to mathematics learning in school 45
‘Real world contexts’ 57
6. Cooperative use of portable computers 49
7. Gender issues in portable computing 51
Use of and attitudes to computers 51
Female-friendly technological activities 62
Gender and engagement in computer activities 64
8. Conclusion 64
References 66
1. The changing face of IT in education: the portable revolution
In this introductory section, the increasing paradigm shift away from conventional uses of desktop computing towards an emphasis on more compact, personal machines in schools is discussed. The common uses and perceived benefits and disadvantages of these powerful tools for facilitating student learning are considered; the benefits include flexibility, accessibility and personal ownership, apparently resulting in more successful, more independent and more investigative learning. The review concentrates on portable computers and graphic calculators; four-function calculators are not included. Graphic calculators are highly specialised tools, used primarily by older students for graphing; since the research into their use focuses on their impact on learning about graphical representations, it is discussed mainly in section 3. Nevertheless the same benefits of portability as outlined below for palmtop and laptop computers apply to the calculators too.
Today's school students are increasingly computer-literate, although it is astonishing that only just over a decade ago, over half of upper secondary students had never used a computer at school and a further quarter used them less than monthly (Fife-Schaw et al., 1986). Schools in the UK, US and Australia now average at least one computer per 10 students (British Educational Suppliers Association survey, 1995; Littleton, 1995; Fluck, 1995) and in British secondary schools, the ratio has leapt to 1:9 in 1995-6 from 1:60 in 1984-5 (DfEE, 1997). However, actual levels of both provision and usage of computers vary widely. A longitudinal study carried out by researchers at King's College London provides further information derived from 2300 students in primary and secondary schools throughout England and Wales. The ImpacT Report (Watson, 1993) showed that access to IT is markedly unequal between schools, classes and individuals, and each machine can be shared by up to 5 students at one time. The most recent (1995) Ofsted review of IT inspections (of 240 secondary schools) confirmed that hardware is aging badly and desktop machines are often used ineffectively. They involve too many students working together at one screen, reducing visibility and effective lesson time. In fact, the IT experience of many students is inadequate and contravenes National Curriculum requirements. The ImpacT study found that significant numbers of students aged 12-16 in 37% of classes had no use of IT during the 2-year investigation (1989-91), despite the project classes being selected for their good, innovative teaching practice. However, 53% used computers at least once a week and nearly half of these used them several times a week. About half of students also have access to a computer at home (Newman, 1994; Robertson et al., 1996) and many of these are more sophisticated than those in schools.\(^1\)
The new generation of smaller, portable computers\(^2\) could potentially make a significant impact: as more models are released, machine size, weight and prices are falling while processing power, battery life, peripheral adaptations and screen clarity increase. The notion of truly 'personal' computers is becoming more and more feasible. Indeed one in five personal computers sold in the U.K. is now a portable (Bowell, France & Redfern, 1994) and the proportion is likely to increase after the launch last year of a range of hand-held personal computers running the new Windows CE (consumer electronics) operating system.\(^3\) Yet portables have until very recently remained entrenched in the workplace, where computers suitable for mobile employees support a range of working practices and offer a commercial advantage. Portable computers may soon be much more common in higher education too, if the recommendations of the recent Dearing Report are followed; the plan is for all students to have their own machines within the next 7 years.
Laptops are prevalent at school level in technology-oriented Australia, where most private schools persuade parents to buy all students a laptop. Much pioneering research has been carried out, starting with the Sunrise project in 1989. Loader (1993) reports how 1500 laptops were introduced into a
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\(^1\) Geoff Strack, TES 10.10.97, Computer Update, p.21.
\(^2\) These began to appear in about 1989 so are a relatively recent phenomenon.
\(^3\) See The Independent 11.3.97, Tabloid, p.5.
girls’ school, beginning with the entire year group of grade 5 students and culminating in a transformation of the school, its culture, curriculum and its teaching / learning paradigm.\(^4\) In the U.S., where Apple predominate, the eMate (or ‘lunchbox’ computer), their radical new product aimed exclusively at the education market, is intended to revolutionise school computing. It became available in the U.K. during 1997 and is cheap enough to make the (alleged) goal of ‘one computer per child’ achievable.\(^5\)
Portables presently remain uncommon in British schools (they accounted for only 7% of computers in secondary schools in 1995-6: DfEE, 1997) although the policies of the current Labour government are to change this. The recent National Council for Educational Technology (NCET) “Portable Computers in Schools” pilot scheme, the largest of its kind, also took a major step in this direction. Over 6000 machines (notebook computers, hand-held palmtops, cheap word processors, graphic calculators) were issued to 250 primary, secondary and special schools in an attempt to increase and monitor their use and their support and suitability for learning in particular curriculum areas.\(^6\) The fundamental aims were to stimulate innovation with IT in the school context and to improve the quality of work by developing IT capability across the curriculum and the motivation to apply it. The main subject areas of focus were English, science, mathematics and geography. A particular goal of the evaluation was to discover how portables enable schools to do what was previously unachievable with desktop computers; to this end, some projects incorporated control groups. (The scheme was evaluated by NFER, who produced a clear and informative report describing the scheme and its key findings: Stradling, Sims & Jamison, 1994. NCET produced its own companion report of the scheme’s impact, with many inspiring examples of practice in individual schools: Bowell, France & Redfern, 1994. Note, however, that the claims made are based partly on a student survey and observation of a subset of projects, but mainly on teacher reports.) This review draws heavily on the results of the NCET scheme and on other portable computing initiatives in the U.K. and abroad, including previous work carried out by Open University (OU) researchers with palmtops.
**Accessibility and flexibility**
The availability of more powerful, cheap portables is expected to continue to grow. Our own experience of research in this area led us to postulate that the increasing use of such computers represents a radical and growing *paradigm shift* away from conventional uses of desktop computing in educational institutions (Fung, O’Shea and Hennessy, 1995). Until recently, most IT lessons were located in designated computer rooms (Ofsted, 1995), where 60% of computers in secondary schools are in fact located (DfEE, 1997). However, IT is increasingly perceived as a cross-curricular activity in school using content-free software rather than focused on learning about computers and programming them (Moss, 1992). We now expect the constraints of the traditional IT lab\(^7\) (including its physical distance from classrooms and laboratories and the need for booking access), of queuing to use classroom computers, of power point locations, and even of rigid lessontime boundaries, to be gradually eroded by a new emphasis on small, personal machines. These are unobtrusive on desks during lessons and readily accessible at other times. Most importantly, then, portables can be used
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\(^4\) Other examples of recent Australian research into high access to portables include Jones (1995) and Gus (1995).
\(^5\) Between a laptop and a palmtop in size, the eMate presents an integrated software package (including a word processor, spreadsheet, drawing program and graphing calculator) and can be interfaced via keyboard or pen. It offers colour, 24-hour battery life, internet connectivity and built-in infrared technology allowing lessons to beam between machines, saving copying time. It has no hard disk or floppy disk drive, however; cost is about £500. (See Apple magazine, Spring 1997, p.14)
\(^6\) The scheme was backed by £2.5 million of Department for Education funding and ran in 1993-4; a cross-section of institutions throughout England were selected through a competitive bidding process.
\(^7\) Goldstein (1994) paints a depressing picture of ‘computer lessons’ in mathematics with students glued to machines arranged around the perimeter of a bleak room with the stark choice of staring at the screen or at a blank wall.
flexibly; they can easily be passed around, tilted or quickly set aside; this is useful when moving on to other activities, other classroom work areas or into groups for comparison, analysis and discussion of findings (Stradling, Sims & Jamison, 1994, ch.2). Students can take them to the teacher or friends to ask for help, rather than waiting for it to arrive. Students also have more choice over the location of their working environment. This tremendous flexibility is a real bonus since students can continue with a piece of work whenever they have the opportunity, rather than waiting for access to a free desktop machine at a specified time and going through a logging on and off procedure each time.
A practical advantage is that other facilities and resources in the base classroom - often lacking in the IT room or area - remain accessible. Indeed minimal organisational change is usually required to accommodate portable computers, compared with investment in desktop machines. Portables can also go where desktop computers cannot, being moved easily between lessons, classrooms or distant buildings, between the classroom, the field and home, and they can be used at any time of day. They occupy far less space than conventional machines, freeing space for other uses. Students can also spread out from their classrooms, conducting experiments in corridors and maintaining the momentum of an activity by entering data directly (Ainley & Pratt, 1995). Portables can be taken into the library or reading area to make notes. Where desktop computers are subject based rather than fixed in an IT room, portables still offer the advantage of easy mobility without trolleys or classes having to swap rooms (NCET, 1993). In sum, “the IT resources can accompany the user rather than the user having to go to the IT” (Bowell, France & Redfern, 1994, p.12).
Portables can obviously offer far higher access to IT than conventional facilities, where access is often sporadic and restricted. Indeed more widespread use of portables may not only benefit students but can ease demand on other IT facilities in the school (Fung, 1995). Worries about the cost implications of supplying portables may be dispelled with the realisation that fewer desktop machines are necessary because laptops are more easily shared (Thomas, 1991). Bradshaw and Massey (1996) point out that laptop computers can also be programmed to be compatible with a school’s existing computer system, avoiding problems students might potentially face in using or adapting their home computers. Moreover, the knowledge developed in conventional lessons using computer facilities is not necessarily transferred back to the classroom, whereas portables potentially allow IT to be fully integrated into subject teaching (Jones, 1995).
Students seem to be more motivated to carry out additional projects or investigations of their own when using portables. They may also spend longer on their investigations: the year 9 and 11 students observed by Friedler and McFarlane (1997) became more deeply involved in refining and extending their investigations in response to the instant feedback they received via the dynamic graphs during data logging\(^8\). Similarly, a critical claim from the NCET projects was that the ability to analyse data on the spot enabled some students to test alternative hypotheses and approaches that otherwise would not have been possible and to think about interim results, hence developing a deeper understanding of underlying concepts (Stradling, Sims & Jamison, 1994, ch.2). Teachers also agreed that students recorded more information using portables in the field than when using pen and paper only, appearing more motivated to develop extra databases related to unforeseen phenomena arising. In sum, students showed considerable enterprise in exploiting the opportunities presented by portables. According to NCET, the flexibility of portables can offer students greater choice, control and independence, so that “IT becomes more supportive of the learning process rather than being seen as an end in itself” (Bowell, France & Redfern, 1994, p.3). Thus, the machines no longer dominate the learning process, lesson design or the workspace (Stradling, Sims & Jamison, 1994, ch.2). The accessibility of portables – both in school and at home – allows students much more than a ‘taste’ of computer use and renders them more likely to be perceived as an everyday tool for learning; students can apply IT as and when appropriate rather than when the teacher dictates.
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\(^8\) This employs software which gathers, stores and displays measurements from physical sensors directly connected to a computer; the system is commonly referred to in USA as a Microcomputer Based Laboratory.
this new flexible style of working fits fairly well with the current organisation of primary classrooms, it has radical implications for secondary teaching, where lessons are often planned around IT facilities.\(^9\)
Teachers’ use of portables as a versatile and flexible resource evidently widens the range of subjects using IT and increases access to the curriculum for all students. It can allow work to be tackled from alternative angles and therefore earlier than planned; Stradling et al. (1994, ch.3) offer a couple of examples of this in relation to mathematics activities. They also maintain that flexible use of portables facilitates *links across the curriculum* (e.g. data from science experiments can be used in mathematics lessons), although evidence for transfer of skills between curriculum areas was mixed. Some student-initiated investigations where connections were spontaneously recognised were apparent, although opportunities for transfer generally need to be planned and coordinated.\(^{10}\) Other authors offer inspiring examples of projects using portables throughout for a variety of different kinds of activities.\(^{11}\)
**Palmtop technology**\(^{12}\)
Further (anecdotal) evidence that a paradigm shift is beginning comes from a couple of articles in the Acorn Education publication, *Arc* (Autumn 1994, p.15-21; Spring 1996, p.34-35), which focus on the Pocket Book palmtop computer. This machine was adapted from the Psion Organiser for the educational market; it contains a 256k RAM and a 512k ROM and comes with built-in menu-driven software including a word processor and spell check, database, spreadsheet with related graphing facility, plus calculator functions. The *Arc* articles depict the variety of uses which schools are currently getting students to make of the machines - e.g. using the word processing, spreadsheet and graphing facilities for mathematics activities, recording and analysing data from surveys and history projects, scientific experiments and environmental field studies, and writing up assignments. The emphasis is on practical settings and real life problems. Reported student benefits include involving students in the design and execution of the information recording process and encouraging them to see IT as a useful tool in these and related activities. Practical problems with suitable space in already crowded classrooms, and time taken to introduce new programs on conventional desktop machines to small groups of students in turn, are said to be eradicated by giving a group of students a small machine each, introducing a program to them and allowing them to teach their peers.
While the above benefits apply to all portables, the small hand-held palmtops overcome some of the practical difficulties previously observed with using laptops (Gardner, Morrison & Jarman, 1993; Peacock & Breese, 1990) which some people do not consider to be truly portable as they can be
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\(^9\) The optimum number of portables for keeping the resources fully utilised varies too, from perhaps 8-10 machines (one third or one quarter of a class) at primary level, to a one-to-one or one-to-two basis at secondary level (Bowell et al., 1994).
\(^{10}\) One example (p.23) was a project using data-logging machines with sensors to measure temperature, light etc. in science and geography, then downloading the data for analysis on sub-notebooks. The aim was to initiate Year 9 and 10 students to design and execute their own investigations using the equipment, including in other subjects such as PE and technology.
\(^{11}\) For instance, Thomas (1991) describes a history of art project where laptops were used for sketching paintings in a gallery, taken home for improvising the sketches, used to create a story-board for a video sequence of the collective results, and ultimately used for desktop publishing of associated publicity material.
\(^{12}\) Palmtops have a small QWERTY keyboard and a black and white screen typically displaying 8 lines of about 40 characters; the design resembles a folding ‘clam shell’ with a hinged lid. Solid-state memory disks can store user files and other applications can be purchased on cards for use on certain palmtops. Adapter kits are available for printing and PC links.
heavy and fragile (Mital, Genaidy & Fard, 1989; Yau, Ziegler & Siegel, 1990). Palmtops work best in the field because of their longer battery life (10-50 hours) and small size (Bowell et al., 1994). They are also much cheaper, permitting provision of large numbers of machines at relatively low cost (around £200 each including a range of software versus £1000 for a laptop). Ironically, though, while the vast majority of teachers interviewed by Robertson et al. (1995a) considered portability of palmtops to be an important feature, a couple were afraid to entrust data to them, considering them easily stolen. The Acorn Pocket Book is particularly popular with schools because of its user-friendly interface, educational specification and availability of class packs.
There are advantages other than practical ones too. Studies of schools in the NCET scheme have highlighted the substantial benefits observed by teachers when students gain personal ‘ownership’ of portables and the feeling of working privately, particularly with the small palmtop machines:
Work that students do on the portables remains private to them unless they choose to share it with their teacher or their classmates. They are not sitting at a desktop in the corner of the classroom where anyone can see the quantity or quality of their work. A portable is a non-threatening friend. (Bowell et al., 1994, p.20)
By contrast, conventional computers allow passers-by to read the screen before the author is ready, rendering spelling errors and so on more conspicuous.
The London Docklands Learning Acceleration Project
One outstanding initiative which exploited palmtop technology to tackle the problem of low achievement within a low-income area of East London is the London Docklands Project (National Literacy Association, 1996). The scheme provided 600 students in 15 primary schools in three of the nation’s poorest boroughs with their own Pocket Book computers in an effort to improve reading and writing. The palmtops were used within the context of a broad programme of activities supporting literacy and numeracy, using the portables alongside other more traditional computer software to enhance and reinforce learning. Special attention was devoted to encouraging parental and community involvement in and support for the children’s education, including offering workshops on writing and word processing skills. Training for teachers in using the hardware and software was also provided.
The project met significant resistance initially as teachers accustomed to the low achievement of many of their students were not convinced that improvements were possible, and worries about loss and damage dominated. Nevertheless the results were very encouraging; the students were highly motivated by gaining possession of personal computers and there were significant gains in reading levels. Before the project began in 1995, only one school’s reading was at national average; in 1996, seven schools were progressing at or above average with improvement rates of up to 19 months in reading age over the year. Library use was also markedly increased. The conclusion was that the technology noticeably acted as a facilitator and leveller in the project, helping students to overcome many of the traditional barriers to learning. The project coordinator insists that the palmtops are not considered as recreational toys: “they are seriously interactive educational tools… They create an individual space for constructive authentic learning” (National Literacy Association, 1996, p.8).
The OU Pocket Book pilot study
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13 Laptop or notebook machines are typically A4 size, weighing about 3 kg, with a full-size sprung keyboard, hinged lid, backlit screen (colour is becoming increasingly common) and both hard disk and floppy disk drive. Some A5 machines are also available. Laptops are now as powerful (and costly) as their desktop equivalents; they use the same disks and can run much of the same software. Batteries typically last 3-5 hours.
The author and her colleagues undertook an evaluation of a pilot concerning the use of Pocket Books in a secondary school, as part of the NCET scheme. The Pocket Book pilot study (Fung, 1995; Fung, O’Shea & Hennessy, 1995) provided each of 235 students aged 15-16 with unlimited access to a palmtop for a 3-week period. The students composed, recorded, edited and printed sections of their 'National Records of Achievement' (RoAs), and teachers compiled the student files and added their own comments.
Overall, our observations showed that for the majority of participants, the experience of using a portable computer over even a short timescale proved stimulating. Their attitudes to using computers, both generally and for the specific tasks concerned with their RoAs, became more positive (as elaborated later on). The major benefits perceived of using a portable were the ease and rapidity of producing and editing written work (corroborating the findings of the Scottish Laptop Computer Project, where a class of primary students was issued with laptops for more than a year: Turnbull & Gilmour, 1991). Personal gains included increased feelings of confidence and empowerment, as elaborated in a later section. Half of the sample used the Pocket Books for purposes other than their RoA assignments. 65% of the group indicated that they would have liked to have kept their Pocket Book for longer.
While it could be argued that the students' enthusiasm was high because the machines' limitations may not have become fully evident over the relatively short timescale of the project, the findings of Turnbull and Gilmour (1991) refute this argument: they found that the novelty effect of using laptop computers did not wear off over a period of several months and that motivation continued to be very high. The short time period in our study was nevertheless a significant constraint and some staff felt that students were prevented from utilising their full potential. However, most students did complete some tasks (more than would usually have been expected) and a significant number of students benefited from a largely positive educational experience which they would not otherwise have encountered. People may even make better use of portables once the novelty has worn off, adapting to their own experiences and needs (Robertson et al., 1995a).
The Pocket Book project
The positive outcomes of the Pocket Book pilot study led the school to apply (successfully) for further resources to continue the work, supplying every member of staff (70) and a class of first-year students (30) with a Pocket Book machine. The project's aims were expanded to include raising the IT awareness of staff, thereby enriching IT opportunities for students and increasing their capability and enthusiasm. The pilot work and the school’s subsequent expenditure on Pocket Books led the OU to conduct a more extensive study of the impact of high access to palmtops, using similar methods. Robertson et al. (1995a; 1996; 1997) investigated the resulting organisational change and changes in knowledge of and attitudes to computers over 8 months. Questionnaire data was obtained from two classes of first-year (Year 8) secondary school students, one class having unlimited access to Pocket Books and one control group; 65 teachers plus 10 OU (Business) students. (Results pertaining to changes in attitude and gender differences are described later on.)
The results were confounded by the school’s tutorial group system since the experimental class was mixed in with others for most lessons, leading to jealousy (even interference with files) and restricting the scope of computer-based activities. Nevertheless, interesting results emerged from measures of students’ use over time. 5 weeks into the project, almost all students reported using the Pocket Book ‘very frequently’ for homework, schoolwork and personal use. Much of this use was directed towards exploring its functionality and the situation changed little over the first 5 months of
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14 O’Shea (1995) has argued that technological change is so rapid that novelty effects can almost be relied upon as a motivational factor in the classroom and other educational settings.
the project. However, use for homework dropped considerably after 8 months and there was only half as much use in school, while personal use increased (Robertson et al., 1997). The picture for the adult users was quite different; the OU students’ use in their studies, at work and particularly for personal use, decreased over the year. Explanations offered included the temporary nature of the study and consequent unwillingness to commit themselves to the machine, and their greater access to more powerful desktop machines with more memory and larger screens and keyboards, more suited to adult hands and touch typing. Students were not issued with PC links and all asserted they would otherwise have used it more. Teachers’ experiences were similar. Robertson et al. concluded that the introduction of Pocket Book had been successful in many ways, including increased levels of IT skills by both teachers and students, particularly greater knowledge of several content-free applications such as spreadsheets which were new to some participants. These skills are ones sought after by employers. The questionnaire results from students, parents and OU students confirmed that familiarity with computers through frequent use promotes awareness of their future importance in education.
Technical and practical issues
The Pocket Book project highlighted the difficulties as well as the benefits of equipping a year group with portable computers and attempting to integrate them with classwork and these have implications for all such initiatives. Technical problems during the pilot project were minimal: the machines proved very robust overall and the battery failure and loss of files characterising some previous studies with portables (e.g. Peacock & Breese, 1990) were not a problem (other studies similarly reported no more difficulties than those experienced with manual or written work: Friedler & McFarlane, 1997). Those problems emerging during the follow-up project were mainly avoidable: a quarter of students experienced problems with lost files (they persistently failed to back up their work though) and with printing. A minority of students experienced problems with the computer’s memory, sometimes because too many files were open. These problems were used occasionally as fabricated excuses for missing homework. They may have arisen because the computer’s file and memory management system is not intuitive and because students had limited access to manuals; moreover the help system may not always be instructional. Robertson et al. (1995a) point out that manuals could usefully be supplemented with separate texts for adults and students with numerous examples and opportunities for practicing saving and backing up files. Some students were demotivated by the spell checker which could not cope with phonetic spellings; a common problem is that spell checkers intended for adults do not always address young children’s needs (NCET, 1993). Thus while most students used the Pocket Book frequently throughout the project, a danger is that it may be the students with weaker IT skills who become demotivated if sufficient training in using the machines is not given.
Robertson et al. found that availability of printers is an important issue for students and teachers; students in the Pocket Book project had to leave the classroom to print out their work, either in their own time or during lesson time. Even if printers are available in the classroom, queuing may still be problematic and dot matrix printers are noisy. The small screen size of palmtops was not perceived as problematic by students but a larger screen is often needed to view the text more clearly for editing extended documents. This requires a PC link, again not always available. Easier interconnectivity with other systems and peripherals would certainly be advantageous. Indeed, schools using Pocket Books during the NCET scheme found it difficult or even impossible to get the ‘A-link’ working which enables printing out. Redrafting often involved a time-consuming process of printing hard copies for correction by the teacher, then incorporating the corrections electronically and printing another copy. The screen size also makes clear viewing of punctuation difficult and this appeared to have some impact on quality of written work. (However, the Pocket Book II overcomes several problems with its clearer screen, increased memory and phonetic spell check.) A security access code would also help prevent interference; and other problems would be minimised if
teachers were able to organise time and opportunities for redrafting and printing.
Note that most of the above issues also govern the use of laptop computers, as other authors have documented.\(^{15}\) However laptops tend to be less robust and although their screens are obviously larger, they can be difficult to see from an angle, hence inhibiting groupwork (Cloke, 1996). Their cost is still high relative to desktop equivalents, although their educational advantages and portability seem to outweigh the disadvantages.
**Impact on written work**
The NCET "Portable Computers in Schools" initiative and a handful of other studies undertaken with laptops have produced encouraging results in terms of improving students' motivation and intensity of effort as well as the quality and quantity of their written work; these improvements were dramatic in some cases and related to frequent use (Yau, Ziegler & Siegel, 1990). Typically, students' speed of writing and technical accuracy improved and they wrote significantly more when using a laptop computer; teachers in the Scottish Laptop Computer Project found it difficult to keep up with marking their output (Turnbull & Gilmour, 1991).
Peacock and Breese (1990) pointed out that efficient text editing on a computer is most useful to writers who revise their work, whereas many students do not. However, Stradling, Sims and Jamison (1994, ch.2) found that students became more aware of the writing process, perceiving it as requiring continual review and revision. Redrafting became less onerous and students were more willing to refine their work on a portable, continuing work in their own time and space. Many teachers reported seeing more purposeful work, more attention to detail and greater accuracy with better spelling, punctuation and grammar. Students seemed pleased with and proud of their end products, frequently describing their work as 'professional', and their grades improved (Stradling, Sims & Jamison, 1994, ch.3). These results override the reservation expressed by a couple of teachers in the Pocket Book project, namely that increasing use of computers may hinder the development of other skills such as writing and social skills. In direct contrast, other teachers felt that the Pocket Book was especially good for those students whose writing and spelling skills were poor. Furthermore, their unobtrusive nature means that portables encourage students to communicate face to face with each other much more than desktop machines do (Bowell et al., 1994). (This issue is followed up in section 6 on cooperative working.) Teachers in one school reported that the benefits of portables extended beyond writing to stimulate high levels of participation in discussions and better recording of the ideas emerging.
However there was a lack of agreement between teachers about improved content of written work. Portables offer greater spontaneity and the opportunity to record ideas immediately without the compulsion to concentrate on presentation and worry about mistakes (NCET, 1993). However, the security this offers can be counter-productive; more planning may take place when writing by hand (Peacock & Breese, 1990). Where improvements were perceived, they were attributed to greater thoughtfulness of students when redrafting their work on portables (Bowell et al., 1994). Some students were successfully encouraged to experiment with different ways of expressing an idea when the original remained easily accessible; choosing the clearest and most appropriate way is an important skill to learn and some successfully restructured their assignments to improve the clarity and flow of text. By contrast, students with limited access to computers tended to confine themselves to corrections and improving presentation. Some less able primary children showed a similar preoccupation when using portables, leading staff to examine ways of developing the thought
\(^{15}\) Bowell et al., 1994, provide further information about technical issues and offer examples of enterprising strategies used successfully by schools in the NCET scheme for overcoming problems with printing and downloading to desktop machines. Gardner, Morrison, Jarman, Reilly & McNally, 1994, also discuss in some detail the operational issues around using portables.
processes associated with editing and redrafting; a number of potential strategies were identified but these often need to be individually tailored. Length of time may be a critical factor for less able children, as the controlled study of 56 learning disabled students by Yau, Ziegler & Siegel (1990) demonstrated. The researchers found some development of thinking strategies after 1 year but limited revision and evidence of reorganisation and refinement of ideas. Nevertheless these kinds of improvement did occur during the second year of the study, suggesting that for this population at least, a couple of years of portable computer experience may be necessary before “the technology is completely at their service as thinkers and writers” (*ibid.*, p.31). However, other studies of students of mixed ability using laptops confirm that substantial improvement in their ability to organise ideas effectively and communicate through writing do occur within a year (e.g. McMillan & Honey, 1993).
Further related information comes from a study in 9 primary and secondary schools by a research team in Northern Ireland. The Pupils’ Learning and Access to IT (PLAIT project) set out to assess the impact of high access to computers - in the form of laptops - on learning in three core disciplines. Gardner, Morrison, Jarman, Reilly and McNally (1994) reported that quantitative measures of the impact on academic performance after extensive use over one school year yielded minimal differences between experimental and matched control groups (of about 200 students each) in mathematics and English. A non-significant difference between the secondary school groups on APU assessments and creativity measures suggested that the use of portables did not significantly enhance writing quality and may even “encourage a somewhat structuralist approach to the detriment of creativity and style” (Gardner, Morrison and Jarman, 1993, p.15), although the reverse trend was true for primary students. By contrast, the qualitative data were more encouraging: the English teachers observed by Gardner et al. (1994) were unequivocal in their view that content and presentation had improved and that quality and effort were exceptional (some students were working two levels above that expected of them). As in the NCET evaluation, students were reported to be more prepared to experiment with their writing and showed greater confidence in expressing themselves. They learned to write straight onto the machine. The authors proposed that the computer-based spell-checking and redrafting activities sufficiently increased students’ awareness of and practice in these skills to transfer to handwritten work.
Some students - particularly at primary level - find writing by hand tiring and key pressing much easier. Nevertheless some others type more slowly than they write, and may take much longer to complete work on the portable if they are not given sufficient opportunity to develop their own rapid keyboard approaches (albeit two-finger ones), as did the primary students observed by Turnbull and Gilmour (1991). There may be a case for regular typing tutoring to overcome the preference for handwriting short tasks which persisted in the small study of 11-year-olds undertaken by Peacock and Breese (1990). Although Anderson-Inman, Knox-Quinn and Horney (in press) found that good keyboarding skills were linked to levels of adopting portable computing innovations, the ability to produce legible assignments far outweighed any frustration of slow keyboarding. Most teachers in the NCET evaluation agreed that production of second drafts is usually much quicker anyway, and most secondary school teachers reported that assignments were longer if completed on a portable. Moreover, keeping background material on working files in the portable led students to offer more evidence substantiating their conclusions. These findings related mainly to English lessons but they have implications for all curriculum areas, including mathematics, where students might experiment with different means of solving problems, knowing they could easily return to previous working.
**Impact on mathematics activities**
The evaluators of the NCET scheme indeed considered mathematics to offer great scope for using different kinds of portables, often in conjunction with software appropriate for National Curriculum (NC) work, such as *Logo* or *Derive*, which is relevant to algebra work at Key Stages 3 and 4 (ages 12-16). Some of the practical advantages of portables outlined above were particularly true in
mathematics. For example, the minimal demand on workspace left students free to work with other materials such as workbooks, multi-link cubes and 3-D shapes. Some teachers reported that students were introduced to the new software more quickly and effectively using portables than if it had been done in the computer room or on a classroom microcomputer. Most significantly, though, teachers in one secondary school using *Derive* on palmtops noticed that the students began to conduct their own investigations, asking ‘What if...?’ questions once they had the facilities available to pursue the answers. The software was pushed to its limits. Students were able to exploit opportunities to gain insights into mathematical processes by testing their intuitive notions and predictions using such software, whose dynamic visual displays help to introduce complex and challenging mathematical ideas and processes. The spreadsheet, database and graphing facilities of notebook and palmtop computers offered similar benefits and were reported to be useful in many curriculum areas. They helped students to integrate quantitative data more effectively into their essays in Humanities. The spreadsheet function provided a flexible, convenient and interesting means of recording and analysing data in several subjects, but also offered good opportunities for involving the learner in actively interpreting mathematical ideas.
Less enthusiastic results emerged from the PLAIT project by Gardner, Morrison and Jarman (1993), where no significant improvement in performance on general mathematics tests was detected after a year of using laptops. However, this may reflect the inappropriateness of the test; specific IT-related skills such as data handling were not tested whereas performance on science tests comprising data handling, especially graphical interpretation questions reflecting the content-oriented use of portables and assimilation of scientific principles, was significantly better in the experimental group. By contrast performance was poor on the higher level process-oriented demands of mathematical reasoning despite a focus on process-based activities, such as *Logo* problem solving, in the classroom. Gardner et al. (1994) pointed out that IT-related NC statements of attainment (which the study used as its framework) generally have a process focus, with few concessions to content, yet an evaluation of NC assessment by the School Examinations and Curriculum Council in 1992 indicated that process work in the classroom may not be perceived as normal class work and few teachers actually assess content during investigations. The suspicion that delivery of IT-related mathematics tends to be contrived outside the normal mathematical context was endorsed. Further support comes from the information offered by the researchers - without explanation or comment upon teaching quality - that laptop activities such as spreadsheet work were not perceived as being particularly mathematical (Gardner, Morrison & Jarman, 1993). Students were apparently unable to understand underlying principles or to articulate a rationale behind these activities (in contrast with IT facilities related to their English and science work: word processing, data logging and graph production). This appears to conflict with an attitude survey linked to the study, which indicated that a greater proportion of the experimental students in fact perceived mathematics as relevant to the real world (Morrison et al, 1993) and the conflict is not satisfactorily explained.
On a more optimistic note, the qualitative data obtained during the Primary Laptop Project undertaken by Ainley and Pratt (1995) showed learning gains after only 3 weeks of laptop use. In one case, pairs of Year 5 students worked on an activity with a data handling component, investigating variables affecting a toy car rolling down a slope. The researchers described the *movement* they observed as a consequence of portability of the machines: not only physical movement as the students collected their own data, but data flow between different software components. The students naturally combined text, graphics, tables and graphs in their written reports and were motivated by being able to illustrate a document with data presented in multiple forms. This fluidity of data enabled them to reorganise and re-present their ideas very easily; examples were offered to illustrate how this helped children gain new understanding and also highlighted misunderstandings, offering opportunities for teacher intervention. Ainley and Pratt propose that this process led to *portable mathematics*, enabling students to transfer mathematical understanding to new contexts. They described, for example, how students who had never previously drawn a scattergram appeared to access the concept directly from the portable computer after the facility was introduced in the meaningful context of the car activity. The students interpreted the
graphs easily and extended their use to a follow-up investigation of the diameter and circumference of wheels, quickly noticing that the points were roughly linear and using the graphics tool to add the line, intuitively understanding its significance. The authors explain how the laptop facilitated portable mathematics here through allowing easy movement between different representations of the data and making the powerful concept of scattergrams accessible as a simple technique which generated something concrete and useful. The children’s natural inclination to learn about the computer and to share their ideas facilitated the process, and careful planning of the sequence of activities offered the chance to test the new technique in a different context. (Further examples of graphing activities using IT are described in section 3 of this review.)
**IT skills**
Most of the NCET-funded projects yielded considerable evidence of rapid development of IT skills (by both students and teachers) through using portables, particularly where accessibility was high. Examples were offered of students of all ages and abilities learning to apply these skills effectively, again illustrating the fluidity of data: students combined artwork with text, incorporated graphs and tables into records, used databases and spreadsheets with ease, copied and pasted from one piece of software to another (Bowell et al., 1994). There was also evidence that primary students had become able to work directly on screen rather than drafting ideas on paper first. However there were some doubts about the suitability of portables at Key Stage 1 and Stradling et al. (1994, ch.3) concluded that more research into appropriate machines for IT novices in this age group is needed. Teachers also acknowledged that students who had most extended their IT skills and explored the machines thoroughly - through trial and error and self-help tutorial programs - were already the most proficient. Students with limited IT skills appeared to need more structured induction and continuing support. Encouraging the most able IT users to act as mentors to other students (and even staff) seemed fairly successful. Bowell et al. (1994) stress the importance of teaching IT skills generally rather than allowing students to learn about software by discovery. Able students can display confidence but be using inefficient approaches which may go undetected unless students are observed while they work.
**Home - school links**
*Arc* (Autumn 1994, p.16-17) points out that portable computers can bridge the gap between home and school, not only by being affordable by parents but by supporting children not in school owing to illness or mobility problems, for example. They can also play a major role in homework, apparently helping to improve writing, spelling, presentation and fine motor skills. (Indeed the parents surveyed by Robertson et al., 1995a, reported that they were allowed greater involvement in homework, which had also become more enjoyable.) Home use of Pocket Books in one school was said to improve home/school relationships and raise parental interest when students (about half of the pilot sample) were able to take machines home (*Arc*, Autumn 1994, p.21).\(^{16}\) This opened up a much wider educational discussion with parents, exploring school policies on all aspects of managing children’s learning. It also enabled parents to see for themselves that students acquire IT skills quite differently from most adults, i.e. through trial and error and learning from others.
NCET (1993) endorse the general idea of workshops for parents to help develop their IT awareness and to discuss any concerns about introducing portables computers into the home environment. Such a scheme was remarkably successful in the case of the London Docklands Project where parents were also ask to sign contracts indicating their interest and commitment to borrowing the machines (National Literacy Association, 1996). In some schools 90% of parents attended the training workshops, increasing their own motivation and their involvement in the children’s learning process.
\(^{16}\) Concerns about damage and loss of machines were largely unfounded.
The ability of students to quickly become experts in manipulating portable technology and to teach other family or self-esteem and others’ expectations of them were observed. The project coordinators concluded that literacy can thereby become a communal activity and a focus of the home as well as the school, as community members was another benefit highlighted by the project; consequent increases in children’s those around the student become involved in helping with writing and other learning activities.
A final example comes from a recent initiative in the US: the 18-month-old ‘Anytime Anywhere Learning’ scheme involving provision of constantly accessible personal laptops to 8000 teachers and students in 52 schools (John, 1997). The cost is borne jointly by the parents and the schools; parental involvement is attributed to their financial investment along with workshops provided for parents and their desire to improve their own and their children’s competence with IT.
**Independence, ability and differentiation**
The privacy afforded by a personal machine encourages experimentation, self-help and individually paced work, playing a critical role in enhancing learning. The NCET scheme evaluators considered the portable to complement and support the individualised learning approach so common in secondary school mathematics. Individual work may need to be suspended briefly while students are familiarised with the machines, but they can then be used as and when needed. Taking the machines home seems to allow students to complete work more quickly, to develop and build on the mathematical ideas and procedures they have already grasped. Thus “the portability supports differentiated teaching: reinforcement of learning for some, extension of learning for others” (Stradling, Sims & Jamison, 1994, p.8). Some teachers found it easier to analyse where individuals were making mistakes, not only identifying them on the screen but taking the learner back through the contributing processes (Stradling et al., 1994, ch.3).
Ability was a critical factor for teachers to consider: ‘average’ ability students tended to lose interest first. Most able students persisted in using portables and extended their use where possible, whilst slower learners appreciated the improvements regarding presentation, spelling and calculations and continued using portables with support from staff. A similar willingness of more able students to redraft and reorder as opposed to correcting text was noted by Turnbull and Gilmour (1991). Stradling et al. (1994, ch.3) maintained that a differentiated approach - with teachers taking the initiative in monitoring individuals - combined with hands-on experience offered greater challenges than usual to average and below average students (for example where students connected sensors or probes to notebook computers). It also proved crucial in avoiding demotivation of the minority of learners with handwriting and motor skill problems; these students were easily daunted by early setbacks. Bowell et al. (1994) found that in some subjects such as mathematics, portables (spreadsheets, geometry software and graphic calculators) can enable teachers to make higher demands on the most able students, helping them to understand more at an earlier stage. However, one project which issued very able students with palmtops found that the students’ high initial expectations meant that they soon outgrew the systems, despite a significant increase in IT capability.
Anderson-Inman, Knox-Quinn and Horney (in press) have investigated the issue of ability differences in levels of adopting portable computing innovations in some detail. They studied a class of learning disabled students using laptops in an American secondary school. The students were taught a variety of computer-based independent study strategies for information recording, organisation and manipulation. Three levels of adopting these strategies were identified: (a) skilled Power Users who used the technology extensively, independently and appropriately; (b) skilled Prompted Users with positive attitudes but requiring prompting and assistance to move beyond the basic applications known to be useful for assignments; (c) Reluctant Users with basic skills but dependence upon teacher supervision. (About a quarter of users fell into each of categories (a) and
(c), the other half being Prompted Users.) The Power Users were described as highly motivated and persistent in the face of obstacles; they completely ‘partnered’ with their computer (Saloman, Perkins & Globerson, 1991), relying on it to help them realise their academic potential. By contrast, Reluctant Users failed to apply what they knew. Since the three levels were significantly related to intelligence and reading ability, the authors concluded that these may be good predictors of (learning disabled) students who will adopt and effectively use computer-based strategies.
Further investigation is needed to establish whether this relationship generalises to the wider student population, but it is corroborated by Robertson et al. (1995a) who found a correlation between non-verbal reasoning tests and attitudes to computers. Two possible explanations offered were: (a) students with low scores may perceive computers as complex, incomprehensible machines or (b) students with high scores may belong to a higher socio-economic group with greater access to computers at home. In accordance with (a), which is quite feasible, the indication from the work reviewed above that high ability students make more use of portable computers could reflect not greater previous experience but instead these students’ realisation that such a tool can - initially at least - provide an interesting challenge at their own level of ability and can help them achieve more. Although it has been notoriously difficult to show cognitive gains after exposure to computers used for programming purposes (e.g. Logo), there might be a two-way relationship between effective use of portables in other ways and the development of higher order cognitive skills. This deserves some empirical investigation.
Primary teachers in the NCET scheme also used portables to support differentiation by task. They often preferred to limit the number of machines used in the classroom as this fitted better with small-group work and reduced classroom management problems. Speed of operation was another key factor in facilitating differentiated learning, as discussed below under ‘Graphic Calculators’. However, in most projects portables were not used to support differentiation by task or learning needs, partly because familiarisation of teachers and students with hardware and software often took longer than expected.
Several projects moved their focus outside the classroom and investigated how portables might support independent, flexible and enquiry-based learning in a variety of curriculum areas; apart from the more conventional scientific field studies, portables were used in public libraries, museums etc. (Stradling et al., 1994, ch.3 & 6). Unsurprisingly, schools committed to open and enquiry-based learning were quicker to realise the potential of incorporating portables. A few projects explored their use (a) for supported self-study, with students receiving special training for using the machines for home-based work, or (b) in open learning areas, where students could use the machines individually or in small groups. They could also book out machines for individual use in the classroom or at home. (In future, school libraries may lend out laptops, as in one school in Melbourne: Thomas, 1991). In open learning areas, use of portables may be more effective simply because students can operate with a number of files and computers at the same time, taking notes, entering and analysing data and reorganising material as they work. Open access to portables facilitates independent work by helping students to make more effective choices between alternative ways of tackling a task; ideally, this involves planning but in practice, self-initiated use of portables is often inefficient. Stradling et al. pointed out that in some cases using a micro or doing work by hand would have been easier and quicker. There was some evidence for more discriminating use of portables in the second term of the evaluation period.
The report concludes that innovative use of portables requires structured opportunities and support for both students and teachers to explore the potential of portables in an open-ended way, although this may be time consuming. Teachers need to monitor usage and ensure that it remains purposeful and task-related, to help students plan effectively, and to invest time in developing quality activities. Another objective central to one project was self-sufficiency in the use of appropriate software and in managing and operating the machines (Bowell et al., 1994). This makes a lot of sense since it minimises organisation for teachers as well as contributing to students’ confidence and autonomy.
(although it is harder when machines are shared and ownership is temporary, as in most of the NCET projects).
Other key factors in creating opportunities for independent learning at secondary level appeared to comprise frequency of access both for classroom and home use and time to experiment. The portables allowed basic tasks concerned with data logging, spreadsheet analysis, graph production and other ways of presenting data to be done much more quickly than by hand. This left more time to explore and compare different ways of tackling a task, to interpret, discuss and reinforce what had been learned, and to extend learning by hypothesising about new variables or data. At primary level, some teachers observed that exploration and experimentation led to an increase in confidence with using IT. Key factors here were the small size of machine and encouragement from seeing peers using the machines simultaneously; students felt less exposed than when using the only desktop machine in the classroom. In some cases their greater willingness to experiment meant that they attempted tasks not usually encountered until Key Stage 3.
**Perceptions, attitudes and motivation**
Fung, O’Shea and Hennessy (1995) explored the impact of the Pocket Book project experience upon attitudes of students, teachers and parents to computers and to the usefulness of portables in producing RoAs. First, the most striking finding from our observations was the enthusiasm for using the Pocket Books expressed by almost all students consulted; we detected the same highly motivated and purposeful yet relaxed and unselfconscious attitude to the use of computers in the classroom described by Turnbull and Gilmour (1991). Secondly, the ease which which they came to grips with the machines' facilities was notable. Manuals had been issued with the machines but they were rarely in evidence in the classroom and the preferred mode of learning appeared to be through exploration and discovery. Most students found the machines so user-friendly that they were able to use them productively after less than half an hour of unguided interaction with them. The results from 40 matched pre- and post-questionnaires yielded marginal differences in attitudes in some cases, but confirmed our observations about perceived ease of use and simplicity of the Pocket Book interface after only 3 weeks; there was a clear change in students' assessment of how easy or difficult it was to use computers generally. There was some increase in the numbers of students finding computers 'useful' and 'essential' too, another encouraging outcome. The enormous excitement of anticipation inevitably dissipated, but the level of enjoyment was higher than predicted. Likewise, most of the staff (n=8) considered that the experience had been worthwhile for themselves as well as for the students. Their expectations concerning general benefits of Pocket Book computing and the role of the technology in raising standards of RoAs were met on the whole.
Further information comes from the longer term study reported by Robertson et al. (1995a). As before, students generally found the computers relatively easy to use, particularly the spell check, database and calculator facilities (over 90% students when questioned after 5 weeks) and the word processor (86%). Ratings for the spreadsheet and its graphing facility were lower; slightly fewer were familiar or confident with the spreadsheet (43%) than the graphing (52%), possibly reflecting concentration on this aspect of spreadsheet use. The latter two figures increased over 5 months although all figures dropped again after 8 months. A likely reason was the students' realisation with experience that their earlier estimates of knowledge of the applications had been unrealistic. This was confirmed by an experiment in which all 10 subjects failed to deal successfully with an error message on the Pocket Book; learners are not always aware of shortcuts and may not understand why common errors arise. Similarly, computer attitude scores dropped for the experimental class and remained constant for the control group; this difference was not significant but nevertheless unexpected. It may reflect a better appreciation of what using a computer actually involves, especially since this was their first experience of IT teaching in school and their previous view of computers was probably as a form of entertainment. This warrants further investigation.
Students’ enthusiasm and willingness to teach themselves how to use the machines were again evident (Robertson et al., 1995a; 1997). The majority of the staff similarly found the Pocket Book interesting, enjoyable and easy to use after 4 months and 60% used it frequently, constant accessibility being a major reported benefit. Many became dependent on it and several claimed it improved their efficiency and self-confidence (although a few machines remained in their original boxes!). They considered it a useful tool for students and a potential aid to higher-order thinking skills. Parents made no negative comments and generally believed their children had learned from using the machines. They reported improvements in children’s knowledge about computer applications and in computer skills, and greater confidence in computers. OU students had the most positive attitudes to computers, reflected in their more frequent use for certain purposes, although they portrayed as little anxiety as the school students. Teachers and parents portrayed significantly more. One implication is that school and University students feel more strongly that computers are a natural part of our culture and of their lives and one which they can appropriate more easily; they expect to be able to understand and enjoy using them. By contrast, teachers desire a specific reason for using computers and may worry about time taken up by training. Robertson et al. (1995a, p.53) propose:
Pupils may see them as no different from a hi-fi or video recorder, even as hi-tech toys. The teachers, on the other hand, may be perceiving them in a pedagogical context where computers are relatively unexplored tools that they are as yet inadequately prepared to use.
The researchers also found a positive correlation at the beginning of the project between high frequency of use (by students and teachers) and low computer anxiety. Previous experience was also correlated with intention to use computers and enjoyment, although not with confidence or competence ratings (Robertson et al., 1995b). Students saw themselves as more likely to use computers in future than teachers did, and (related to the anxiety difference) they rated their own enjoyment of computers more highly than did teachers although they assessed their own competence similarly.
Studies of attitudes to laptops also produce consistently positive results. NCET (1993) report that laptops were more popular than networked machines with less frequent IT users in a Welsh study of three schools. In a survey of over 200 year 7 students in an Australian school, almost all students described learning with these portable tools as “fun” and reported that they had obtained new skills (Loader, 1993). The students were appreciative of the computer’s portability and agreed that it had allowed them to do things that could not be done in other ways. They felt more organised and more independent; 95% noted that teachers trusted them to work alone on projects. Attitudes to specific subject areas are less clear-cut, however. Morrison et al (1993) reported that positive effects of high access to IT on student attitudes to the three disciplines of English, mathematics and science, and towards school in general, were relatively marginal on the whole. Nevertheless the one-off questionnaire highlighted many encouraging non-significant trends, and significantly more students in the experimental group portrayed positive attitudes to English and perceptions of classwork as important. The authors report that positive impacts were confined to instances where the students’ process-based IT work (e.g. mathematical problem solving using Logo) transferred to content learning, which it mostly failed to do.
Further important information regarding students’ own perspectives on portables was derived from the questionnaire survey of over 500 students by Stradling, Sims and Jamison (1994, ch.3). Their responses to a question about what they liked about using portables illustrated a marked difference between attitudes of primary and secondary students; the former group focused heavily on technical and operational features of the machines while the latter focused much more on portability (between classes, to the home and the field). Significantly more secondary students also mentioned the impact on their learning and quality of work. The survey found a strong positive relationship between frequency of use and emphasis on the impact on learning, including improved school work and IT skills; occasional users tended to focus on portability instead. Another interesting difference
emerging was that more regular users took the initiative in deciding when to use a portable; they also agreed more often that portables saved them time. This is linked to the observation that some students became less motivated to use the portables if it took them longer to complete a piece of work than doing it by hand (the evaluators pointed out that some such students were not yet very familiar with the machines).
Conversely, an advantage of portable computers arising from evaluation of the NCET scheme (and the study by Turnbull & Gilmour, 1991) was the greater willingness of students to spend their own time and effort on completing work and on presentation (Stradling, Sims & Jamison, 1994, ch.3). Portables can facilitate sustained effort and concentration on the content of work by eradicating boring and repetitive handwriting tasks. Thus, portables were especially motivating for students whose attention span was short: some of these students undertook more substantial pieces of work when using the machines. Teachers in our own and other studies have reported that students with poor writing and spelling skills or special educational needs find the experience of using a portable particularly motivating. Difficulties in forming and recognising letters are eased and the usual frustration of not being able to produce legible written work dissipates. Obtaining better results with much less effort on the computer, and checking one’s own spellings, subjects students to far fewer teacher corrections and increases enjoyment, self-esteem and motivation (Fung, O’Shea and Hennessy, 1995). According to Bowell, France and Redfern (1994), self-esteem of students with messy writing is also increased because word-processed work can be displayed in the classroom. Moreover the hurdles of getting started and of producing words in the correct order are overcome by the knowledge that later amendments are possible. The unique drafting potential of writing on a portable computer also boosted the confidence of students with learning difficulties during the London Docklands Project; the programme proved so absorbing that the concentration span of some students increased from 5 to 30 minutes (National Literacy Association, 1996).
Access to desktop machines can produce similar benefits for low-attaining students in terms of building self-confidence and overcoming isolation. This is exemplified by the powerful story of Tanya, an 11-year-old apparently unable to spell or write, whose transformation after encountering a computer culminated in presentation to the school library of a volume of her own poems (Turkle, 1984, ch.3). However, the privacy which portables afford increases the beneficial effects of the technology as a tool even further and offers students greater control. In addition, using portables actually provides students with special needs enhanced status with their peers and overcomes embarrassment at coming out of class for special lessons. Studies with students with learning disabilities tend to converge on the conclusion that using portable computers is beneficial in several different ways: it increases independence, encourages more positive attitudes towards work, and improves writing, notetaking and keyboarding skills (e.g. NCET, 1993; Price, 1994).
The majority of project leaders in the NCET scheme reported improved attitudes to school work and homework, plus increased confidence in using IT, through regular use of portables by students across the ability range. Some teachers even reported that increased motivation led to improvements in behavioural problems such as punctuality and attendance (Bowell, France & Redfern, 1994). Time and effort saved with portables were not the only motivating factors; portability and compactness helped to overcome feelings of intimidation by allowing private use or consultation of peers as desired. Accessibility also helped improve motivation by overcoming the frustration of waiting for turns on desktop computers.
Similar observations have been made of students using graphic calculators in the mathematics classroom. Ruthven (1992a) found that despite the occasional frustration during familiarisation with the new technology, knowing that the resource would be available on demand was apparently a powerful incentive to use it. Indeed most of the ‘A’ level students who participated in the “Graphic Calculators in Mathematics” project were described as making confident and spontaneous use of the calculator facilities by the end of their first term and virtually all who had personal access to a GC preferred using it to their previous calculator, even for calculating. Another survey of American
high school students’ attitudes to graphic calculators found significantly more agreement after a few months of use on items portraying calculators as challenging, enjoyable and helpful in learning difficult mathematical topics (Dick & Shaughnessy, 1988). Studies with college students (e.g. Paschal, 1995; Scott, 1994) have also found that introducing graphic calculators improves attitudes toward mathematics, helps to relieve mathematics anxiety and equips many students with new confidence, although accompanying increases in achievement are not always evident.
Another key factor in raising motivation and quality of work produced during the NCET scheme was the sense of privilege and responsibility for an expensive machine and for managing their own learning. At one school, girls in particular saw themselves as ‘business ladies’! The students developed a mature outlook to caring for the equipment. This sense of responsibility resulted in some students producing work consistently for the first time (Bowell et al., 1994). However, this study and most of the others reviewed here lasted less than 1 year so it is unknown whether enhanced motivation would persist over the longer term. Indeed some schools in the NCET scheme reported a plateau effect during the second term, when the novelty began to wear off; frequency of use and enthusiasm for home use declined (although there were identifiable reasons in most cases). Nevertheless, while some degree of the increased motivation observed by researchers and teachers is probably due to the novelty of access to a new, personal technology, the benefits described above for students with poor writing and spelling, and those due to privacy, accessibility and time saving are likely to persist after any novelty effect has worn off.
Moreover, Stradling et al. (1994, ch.3) assert that steps can be taken to improve and sustain motivation, as shown by their observations of secondary school students using graphic calculators for limited periods of time; the work was purposeful and the value apparent to students. Good induction programmes were critical, particularly those encouraging exploration of the machines’ features. Differentiated support by a teacher, technician or another student could help; several projects offered effective peer group support. The most able students generally tended to be self-motivated but those with less developed IT skills needed more support and input from teachers to sustain initial motivation, particularly where they experienced widely different reactions from teachers in different classrooms; less able students were less resistant to the effects of computer illiteracy in teachers. Finally, most positive impacts on student motivation and attitudes were evident where effective induction programmes for staff had been established, including opportunities for them to use and experiment with the portables at home over the summer before the study began. (This was the case in the school we investigated, where support for teachers from the IT department was considerable and varied: Fung, O’Shea and Hennessy, 1995). Widespread discussion amongst staff about different uses of portables was also important.
**Student empowerment**
A major conclusion to emerge from the results of the Pocket Book project is that the experience of having a portable computer of one’s own contributes to a feeling of empowerment. This feeling probably explains the improvements in attitudes and motivation reported in many similar studies. It gives students an experience of personal computing which is under their own control and accessible whenever they choose. Students rarely get the opportunity to appropriate sophisticated equipment of any kind for themselves and the very fact of being entrusted with a valuable machine increases their self-esteem. On the whole, those in our studies and elsewhere responded by looking after the machines with care. The use of portables proved particularly appropriate in supporting compilation of RoAs; the self-assessment RoA system itself incorporates encouragement of students to take more responsibility for their own learning (Fung et al., 1995).
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17 St. Theresa’s RC School: Final Report to NCET.
Another important factor in the students' positive attitudes is that they learnt how to use the Pocket Books mainly by themselves and through working collaboratively. It was a pleasant change for the students not to have to rely on a teacher for information; for once, they were largely autonomous and this gave them a sense of ownership, albeit temporary. The fact that the portable computers could be used at home and for purposes other than schoolwork supported this special relationship with their Pocket Books. For a few individuals with extensive computer skills, the project provided an opportunity to take a more active role in class and to take on a teaching role - not only with their peers but in some cases with their teachers! These findings were corroborated by reports from other projects in the NCET scheme and obviously have implications for use of other portables in various contexts. Students occasionally becoming more proficient than their teachers is somewhat inevitable and has certainly been observed by other researchers. Some schools are already harnessing student expertise and organising accreditation for training skills.
One Swedish research project has designed its own palmtop computer with a pen interface specifically for students age 10-12. Its innovation is in a wireless link to the school database and thereby to resources on the Internet, through an intelligent agent who collects and stores information on the child's personal preferences (Pargman, 1995). This kind of facility lends credibility to the researcher's claim that "the teacher will become less of an omniscient source of knowledge and more of a team leader" although "more and not less important in the school of tomorrow" (ibid., p.4). However, there is a conflict between the investigative, empowering culture of the computer and that of the traditional classroom, as outlined by McFarlane (1995a). Some of the research reviewed here reports that some teachers exercise strict control over use of portables in the classroom and are reluctant to permit students a significant degree of autonomy, with unfortunate consequences for student learning and motivation.
**Active participation and investigative learning**
In some cases, widespread use of portables simply extends opportunities for more students to gain regular hands-on experience of using IT, as the NCET scheme demonstrated. Overcoming difficulties with writing and spelling, and enhancing presentation through facilities for editing and visual display (including graphs), could have been achieved using conventional hardware, for example. However, the general view of the project teachers and some students was that there was insufficient time, access or privacy to experiment to the same degree and so to carry out the extra activities observed as effectively using a desktop machine, especially when portables could be used at home (Stradling, Sims & Jamison, 1994, ch.2, 3). Students were also able to spend their time on the portables doing work for subjects which rarely employed IT. While teachers could have supported differentiated learning through interacting with individuals in the computer room, they often preferred to work with portables in their own classrooms. Moreover, instead of passively watching a teacher demonstration or huddling around one or two desktop machines, students can all have a chance to try out something new for themselves.
In other cases, there are specific benefits related only to use of portables. Work was observed that could not be done on desktop machines, and additional learning developments took place. For instance, one science investigation of the effects of gravity with Year 5 students led to the observation that some students showed a surprising ability to generalise from trends shown in their graphs and links between variables in their experiments (Stradling et al., 1994, ch.3). Other examples are mentioned throughout this review and in NCET (1993). This phenomenon of self-discovery and students spontaneously taking the initiative in extending projects in their own directions was also observed in the Scottish Laptop Computer Project, despite its stated aim of
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18 One boy in particular was able to show his teacher, a self-confessed computerphobe, how to port text from Pocket Books to a laptop for marking.
providing an additional resource within the class without altering the normal curriculum. (For example, a number of students collaborated in producing their own novel on the laptops.) The issue of relationships between portable computing and other learning activities, IT-based and otherwise, would benefit from further exploration. The NCET scheme illustrated that it is perfectly possible - indeed advantageous - to use several kinds of computer in a classroom, when each is suited to different tasks (Bowell et al., 1994).
A fundamental distinction from more typical curriculum activities is that students with access to portables - whether individually or in groups - become actively and productively involved in their own learning activities from beginning to end. All of the researchers in this area in fact concur that this first-hand experience is a key benefit of portables. Various research studies indicate that knowledge is less likely to remain inert when acquired in problem-solving mode rather than in factual knowledge mode (e.g. CTGV, 1992). A literature survey by Aitkenhead (1996) highlighted the importance of a reflective style of teaching and learning for improving understanding, namely one where students are required to predict and justify their predictions before exploring, recording results and drawing conclusions. Portable computers can be highly useful for promoting this kind of investigative learning. As well as offering students opportunities for involvement in setting up, running and reporting on the whole investigation, the speed of operation also means that students often have more time for exploration and hypothesis testing. Stradling et al. (1994, ch.3) concluded that the portable computer and graphic calculator can thereby help to promote investigative ways of thinking and several examples within this review illustrate this. However, the degree of student involvement is critical. The work of Ainley and Pratt (1995) warns us that the power of portable technology can backfire, as it did when Year 7 students used it to produce ‘quick but meaningless graphs’, indicating that they had no real grasp of the nature of the data from historical sources which they were manipulating. Subsequent activities with Year 5 students (as described earlier) were more carefully planned to involve students in collecting the data initially and resulted in greater understanding of it.
Portables can enable students to decide for themselves when it is appropriate to use computers, i.e. when they will help with a particular task. This recognition develops after the novelty value has worn off; it is highly motivating and encourages independent working (Bowell et al., 1994). However it depends on portables being appropriated for home as well as school use and on machines being generally available in the classroom. Ideally, they should be available during every lesson (with ready access to printers too); a minimum degree of access may be necessary to overcome the technical challenge of learning to use them (Watson, 1993). In practice, there is wide variation in the ways in which portables are employed in schools. While some schools restrict their use to specific activities, others endorse the notion of the computer as a readily available and portable, personal resource and they offer the freedom to use portables in any subject. One teacher view of the Pocket Book is as a timetabled, shareable school resource like books. Another view was expressed by the teacher who stated: “I’d like the girls to take them for granted as part of normal school life, just like their pen or calculator, rather than feeling that they’re something special” (Arc, Spring 1996, p.34). This relates to Papert’s vision of the computer as pencil, used “for scribbling as well as for writing, doodling as well as drawing, for illicit notes as well as for official class assignments” (1980, p.210). Portable computers used as an educational resource may similarly become ‘transparent’ and may well help to foster this productive aspect of computer use.
**Changing teaching and learning styles**
NCET concluded that “Personal ownership of the less expensive kinds of portables will increase far faster than many people imagine, probably to the point where they are as commonplace as calculators” (Arc, Autumn 1994, p.21). They propose that soon every teacher and student who wants a computer will have one, and that combining portability with electronic communications, new media and interactive learning systems can give rise to revolutionary new learning styles (Bowell,
France & Redfern, 1994). Some secondary projects in the NCET scheme similarly viewed portables as helping to develop a new learning culture within the school, namely one of active, independent and investigative learning using IT extensively but most importantly, appropriately.\footnote{This is reminiscent of the results of the landmark Calculator-Aware Number (CAN) Curriculum Project which offered 4000 primary students unlimited access to numerical calculators (abandoning standard algorithms). Clear mathematical gains and a significant impact on the curriculum (large numbers, decimal, negative numbers were introduced earlier and became the subject of investigations) were evident, as were changes in teachers’ roles and classroom organisation (Shuard et al., 1991).} Linking back to our discussion of a paradigm shift, this moves away not only from the typically constrained association by students of computing with IT lessons, but also from the currently all too common use of portables as analogues of desktop machines, i.e. for traditional IT tasks.
We must remember, however, that portable technologies are likely to be used alongside other forms of IT and desktop machines will continue to be used. The latter have their own advantages, including larger screens and the ability to run more software, for example. There is no reason why various forms of technology should not be used as appropriate for different tasks and different users. Portable computers themselves may be used in different ways, including using a display screen with an overhead projector for whole class teaching; this technique is commonly employed already with graphic calculators. In the UK there is currently a political move towards encouraging whole class interactive teaching; this is reflected in the proposed ICT National Curriculum which requires students to learn to use a computer projected onto a large screen via engaging in class discussion. There is much controversy surrounding whether such whole class discussion can be effective, and the role of individual experimentation, as discussed above, should not be lost. Nevertheless there is probably a role for this kind of class use upon occasion, at least for introducing the interface to a new technological tool, and possibly for introducing or reinforcing complex mathematical concepts or procedures. This is a further avenue for research.
All kinds of classroom learning with portable technology necessitate careful planning and management and the role of the teacher remains critical. That role is described by Ruthven (1992a, p.9) as being to create the situations “from which important concepts and relations are likely to emerge, and, through sensitive intervention, to support students in exploring these situations and clarifying and organising their ideas”. For this new teaching style to be effective, the curriculum must clearly develop in parallel, through collaboration between IT and subject specialist staff. For instance, Gardner et al. (1994) have warned that IT cannot simply be ‘bolted on’ to an already contrived separation of process skills from understanding content if it is to be truly integrated into the core subjects or the attempt to raise IT literacy overall could be undermined. Unfortunately IT has to date had a far greater impact on society than on the school curriculum or on teaching methods, despite generally positive attitudes of teachers towards computers (Dupagne & Krendl, 1992; Watson, 1993).
Stradling et al. point out that the evolution of a new learning culture takes time; it entails raising the IT awareness, capability and confidence of staff and students and often significant changes of teaching style, using a more open-ended approach. Specific practical suggestions for teachers made by project coordinators for encouraging a new IT culture are outlined (Stradling et al., 1994, p.19). Key factors found to influence teacher motivation and confidence were (a) the level of training and support provided and (b) the time available for familiarisation. Indeed 2/3 of teachers do not use computers in the classroom because of a lack of opportunity for practice and development of their own confidence. The lack of computer literacy among some teachers and their slowness to recognise the potential uses of portables constitutes a major obstacle to their innovative use, leading to unnecessary restrictions on students (\textit{ibid.}, ch.3). This resistance to new forms of technology has been observed by others (including during our own pilot study with palmtops: Fung, O’Shea and Hennessy, 1995). It highlights the fact that most of the abovementioned advantages of portables
depend upon teachers’ willingness to use them flexibly and to confer greater responsibility upon students. Yet the review by Dupagne and Krendl (1992) shows that some teachers perceive a threat to their role as educators. The demands on teachers are indeed great: along with developing confidence in using new technologies, they must also embrace sometimes radical curriculum changes and teaching styles. Resistance to innovation is well-established (Olson, 1988) and may reflect social, cultural or political barriers within a school or responses to perceived external demands, as in the case of the CAN project, whose ultimate impact in the primary classroom was limited.\(^{20}\) Current external factors include the time pressures resulting from an emphasis within the National Curriculum, Ofsted inspectorate and national league tables on teaching the ‘basic’ language and mathematical skills. The first battle, though, is to overcome the common inadequacies in basic IT skills of teachers (Ofsted, 1995).
By contrast, Stradling et al. (1994) observed that some teachers initially nervous about using conventional forms of IT became much more confident and enthusiastic after experiencing portables. This was often because the machines could be used privately, particularly at home, for learning through trial and error and without embarrassment in front of others (e.g. Cloke, 1996). This again tallies with our own study and with the correlation found by Robertson et al. (1995a) and a number of others (Dupagne & Krendl, 1992) between teachers’ frequency of computer use and positive attitudes to computers. The opportunity for home experimentation made the teachers more willing to initiate innovations in their teaching (Bowell et al., 1994). Teacher reluctance to allow technology to ‘overrun the classroom’ was also overcome with experience in the American ‘Anytime Anywhere Learning’ scheme (John, 1997).
Using portables may also help overcome the concern of some teachers that students will possess more expertise than themselves, which of course is often true.\(^{21}\) In conclusion, Stradling et al. expect increased levels of skill and confidence to occur as more teachers gain significant experience with IT and portable computers specifically. A feeling of involvement is also crucial in introducing new technology initiatives so teacher consultation is essential. As with integrating conventional calculators into teaching, teachers benefit particularly from support and guidance in planning activities which have the potential for advancing learning (Ainley & Pratt, 1995; Hembree & Dessart, 1986). In sum, greater access to personal technology is only the first step.
Teacher input was also singled out as the most important influence on the impact of IT on learning in the ImpacT Report (Watson, 1993). While IT was found to increase concentration and motivation, its actual contribution to learning was inconsistent across subjects and age groups. This is an important finding, showing that we cannot assume that positive effects on motivation and attitude will improve actual performance consistently and significantly. Factors inhibiting the effective use of IT identified by both ImpacT and the PLAIT report (Gardner et al., 1994) included teachers’
\(^{20}\) An Ofsted report (1993) into mathematics teaching found that calculators were used in only 10% of lessons and most had no policy for their use. (Duffin, 1991) reports how extraordinary success during the first three years of CAN was tempered when the first cohort of students transferred to secondary school; teachers perceived the teaching of standard algorithms (abandoned by the project) as an expectation of parents and secondary schools and few were able to resist the pressure. Schools who participated in the CAN project are teaching standard methods these days, as Ruthven, Rousham and Chaplin (1997) discovered. They prefer to encourage mental calculation rather than calculator use, which is no longer taught effectively. Sadly, their study of 3 post-CAN schools showed that no long-term effects were visible in terms of students’ grasp of number concepts, compared to control groups.
\(^{21}\) However, some students, particularly boys, over-estimate their own competence in this area; see Sanger, 1997, p.15 for a wonderful example.
difficulties in understanding and learning to use software, and in troubleshooting students’ problems. Understanding the pedagogic principles underlying certain programs was a significant problem for teachers, especially when the software required students to use an open-ended approach, e.g. generating and testing their own hypotheses was pre-empted by teachers’ leading suggestions (Watson, 1993). Both reports indicate that these difficulties may have led to the choice of inappropriate software for the intended activities.
Other factors included students’ difficulties in learning to use software; in contrast with reports from the NCET scheme, the PLAIT report claimed that teachers needed to spend considerable time explaining technical procedures. Teachers’ problems nevertheless tend to be more pronounced than students’ and the investment of time and energy required to familiarise themselves with both hardware and software before planning purposeful lessons must not be underestimated (Hammond, 1994). For example, the Pocket Book project (Robertson et al., 1995a) showed that teachers experienced more difficulties after four months than their students after one month’s experience! Another obstacle to the influence of IT on learning described in the ImpacT report was that student cooperation was sometimes restricted to conversation about using the computer and software rather than about the topic being studied. The report concluded that unsuccessful cooperation concealed the value of some activities (Watson, 1993). The report also argued for - but, disappointingly, did not specify - a minimum threshold of access to IT, which students need to cross in order to become independent users of machines. IT may initially be labour inducing rather than labour saving. This issue needs further investigation.
Where IT is integrated into classroom activities it apparently has a positive effect on students’ learning. Yet the research literature consistently shows that teachers often feel - and are - inadequately trained to integrate IT into their teaching (see Moss, 1992, and reviews by Dupagne and Krendl, 1992; Hammond, 1994). One-day INSET courses in IT are typical and can stimulate interest but fail to significantly change the culture of a school (Bowell et al., 1994). Moreover the many demands on teachers’ time may preclude take-up of INSET opportunities offered, as acknowledged by several teachers during the Pocket Book project, where only a small minority attended initiation sessions (Robertson et al., 1995a). Several teachers admitted that they were unwilling to learn about the machines, which obviously does not bode well for their students. The conclusion drawn was that IT training needs a higher priority, including more time and commitment within the school. Of course, training needs to emphasise fruitful uses of computers (Underwood and Underwood, 1990). Learning to use portables has the advantage that training could be carried out in teachers’ familiar surroundings. Unfortunately the most useful type of INSET perceived by teachers is most difficult to deliver: one-to-one tuition with an experienced individual. One Australian school did manage to tailor its training programme to individual needs and starting points; this paid off handsomely and staff developed new skills, greater confidence and interest in computers (Loader, 1993). Robertson et al. (1995a) proposed that other ways of sharing information could be sought, e.g. hints within a newsletter. Allowing staff to take portables home regularly for experimentation can also make a big difference (Bowell et al., 1994).
NCET is currently addressing the issue of teacher confidence and experience with IT in a new scheme which has already provided 1150 teachers with laptops containing CD-ROMs and training in using them.\(^{22}\) The machines possess all the functionality of state-of-the-art desktop machines with the added advantage of being designated a personal resource for teachers themselves. The “Multimedia Portables for Teachers Pilot Scheme” investigated the impact of giving teachers the
\(^{22}\) Nearly £5.5 million was spent on portables (mainly PC-compatible) and teacher training in 575 U.K. primary, secondary and special schools (The Independent 4.11.96, Network Supplement, p.10, and NCET, personal communication). The teacher group was carefully balanced for age, gender, subject area and prior degree of confidence with IT. The initial scheme ran from June 1996 - June 1997 and was again externally evaluated. It was extended via an additional £1 million funding during 1997, supplying an extra 300 teachers with portables.
hardware (accompanied by various productivity tools and Internet access) on their levels of confidence and competence in use of IT. The results indicated that giving teachers portable computers significantly increases their productivity and use of IT in the classroom. The portability also allowed teachers to take the machines home for additional work; they spent many voluntary hours each week on their own professional development. A positive evaluation of the pilot project led to the recent Government announcement of a follow-up scheme to hand out a further 10,000 machines.\textsuperscript{23}
Finally, students themselves are important potential agents of change. They are growing up in a new world which increasingly exploits technology in novel ways and they typically respond with enthusiasm rather than anxiety. Portable computers offer them opportunities for more personal, independent, cooperative and effective learning (Bowell et al., 1994). In our view, these opportunities are now ripe for exploitation.
\textit{Summary}
The key factors which seem to affect the impact of portables on students’ attitudes and progress in learning are:
- accessibility, flexibility and frequency of use - within and outside school
- portability and compactness of equipment
- interconnectivity with desktop machines and printers
- access to previous work; time- and effort-saving facilities and ease of use
- time, opportunities and encouragement for both private experimentation and peer support for students and teachers
- keyboarding skills and availability of technical training for students
- teachers’ computer literacy, confidence and awareness of portables’ potential
- teachers’ receptiveness to innovation and student autonomy
- carefully designed, open-ended activities with active student involvement and opportunities for cross-curricular work
- differentiated teaching and support
The focus of our research project is on how portable technologies might enhance students’ skills in and understandings of graphing, so we now turn to the literature from mathematics education which is concerned with graphing. The next section outlines the common difficulties which students experience in learning to produce and understand graphs, and discusses some ways in which they might be overcome.
\textbf{2. Students’ understanding of graphing: common difficulties}
Graphs are deployed in many curriculum areas (e.g. geography and science) as well as being common in mathematics and in everyday life to present relational information; they are an extremely
\textsuperscript{23} The follow-up scheme will cost £23 million (TES, 24.4.98, p.10).
useful tool for examining patterns.\textsuperscript{24} However, most students apparently leave school without any underlying understanding of graphs. Although they can read information from them and draw them proficiently, they are inexperienced in interpreting graphs (Kerslake, 1981; McFarlane, 1995a). The growing body of research on students’ understanding and skill in graphing indicates that there are some typical areas of difficulty. A comprehensive review by Leinhardt et al. (1990) identified a range of misconceptions for upper elementary school students, including erroneous concepts of variable and of what constitutes a graph of a function; tendency towards linearity; a pointwise focus; translation between graphical/algebraic representations; interval/point confusion; slope/height confusion; iconic interpretations; difficulties in choosing, constructing and scaling axes. The most commonly researched problems are elaborated below.
A critical source of difficulty is the fact that graphing uses one symbolic system to understand another (data patterns or algebraic functions). Students find it hard to apprehend graphs as abstractions and to develop a link between the algebraic and the graphical/visual forms. Learning to see this connection and to interpret correctly information provided by graphs is crucial to understanding the concepts of calculus, without which calculus is merely a collection of useful algorithms. Experienced students may understand the rule-oriented process of solving inequalities but not the underlying concept. One study of 400 college students found the more complex solution processes for solving an algebraic inequality to be considerably easier than visually interpreting a graph, after participation in 3 weeks of intensive instruction concerning graphs and functions (Dunham & Osborne, 1991).\textsuperscript{25} The authors argue that secondary school experience with graphing and functions is typically limited and superficial. “Moreover, the process of learning to visualize and make interpretations about functions in the coordinate plane is remarkably complex and little understood by teachers of mathematics” (\textit{ibid.}, p.36). Fortunately there has been an increasing emphasis on graphical representation (of functions and more generally) in the mathematical curriculum over recent years and a movement away from techniques such as solving equations by reading off points of intersection of two graphs. However literacy in graphical representations is a complex skill requiring careful instruction (McDermott, Rosenquist & vanZee, 1987).
Manipulating symbolic representations is difficult in itself for many students because it is an indirect reformulation of the situation rather than a means to reconceptualising mathematical relations. Algebraic symbolism tends to separate a mathematical argument from its original context, so that the meaning of the underlying situation is lost and the symbols can become objects in themselves (Ruthven, 1992a). This makes it very hard to understand relationships between tabular numerical data, graphs and symbolic equations and to translate in both directions between different representations.
It is believed that linking multiple representations provides a promising environment for developing understanding of notoriously difficult symbolic ideas and techniques (Kaput, 1989). However, doctoral work by Scanlon (1990) questions this. She studied the responses of 35 science learners (ranging from 16-year-old novices to Ph.D physicists) to a number of problems in Newtonian mechanics, one of which required students to take a graphical approach. The less successful solvers were found to switch between algebraic and graphical approaches. As a result, a ‘cognitive economy’ hypothesis was developed, suggesting that multiple representations of a problem were not necessarily helpful for novice problem solvers. This is supported by the work of Ainsworth, Wood and Bibby (1997) showing that mixing different types of representation which users cannot coordinate should be avoided. Furthermore, certain representations make certain inferences easier: tables make patterns easier to recognise and graphs supply the variation that is hidden in an equation
\textsuperscript{24}The ability to interpret graphs also appears to be a strong predictor of success in general mathematics at university level, reflecting a critical underlying cognitive structure (Gill, 1998).
\textsuperscript{25}This work was carried out for the Ohio State University Calculator and Computer PreCalculus Project.
and make structure visible (Cox and Brna 1995; Kaput, 1989). However, different types of representations are appropriate - and need to be learned - for different contexts; for example, the scatter graph is a very useful data interpretation tool in certain contexts but inappropriate in another whole range of situations which may appear similar to the learner (O’Reilly, Pratt and Winbourne, 1997). A doctoral study by Hart (1992) confirmed that individuals portray definite preferences for certain representations in different situations.
The above findings indicate that the popular rhetoric about multiple representations needs empirical investigation. This could encompass development of a perspective about the appropriate circumstances in which graphical representations might be used and the best way of constructing a solid understanding of a relationship between numerical, graphical and symbolic representations in interpreting graphs. Dick (1992) emphasises that differences in the quality of students’ use of multiple representations must be assessed; namely their interpretation and translation skills.
Much research finds that students tend to focus on the perceptually obvious features of graphs; after all, the path of a line is the salient visual feature, not the relationship of relative changes. For example, results of the APU work on difficulties in interpreting graphs confirmed that students perceive line graphs to be a picture of a situation and a direct model of how a single variable changes. Swatton and Taylor (1994) assessed over 700 students from 181 schools throughout England; they concluded that most students aged 11 and 13 do not appreciate the power of graphs as models of underlying relationships between variables (i.e. the data, which can be concrete or abstract, discrete or continuous) presented symbolically. Friedler and McFarlane (1997) assert that students are usually not taught interpretation skills explicitly - linking the events depicted and their symbolic representation - and neither the NC for Science or Mathematics encourage change in this approach. Consequently, students plot graphs mechanically and cannot articulate why they use them to represent data. Support for this view comes from a study of 1800 13-to 15-year-olds by Kerslake (1981) showing that the vast majority of lower secondary school students cannot link equations with straight line graphs. A smaller scale survey by Preece (1983b) confirmed that only 11% of 14- to 15-year-olds knew that a graph depicted the relationship between two variables.
Preece conducted an in-depth doctoral investigation of students’ ability to interpret and sketch graphs, with a particular emphasis on understanding of gradient, where many interpretation errors occur. She identified four conceptual levels in students’ understanding of gradient, manifest in their graph interpretation and sketching:
(1) the graph is viewed iconically
(2) points are interpreted/marked, and then joined by a line
(3) discrete changes in gradient are considered and comparisons made between intervals
(4) continuous changes in gradient are interpreted; descriptions of gradual speed changes are given
Students find it particularly difficult to distinguish between a quantity and the rate of change in it, although even comparing two curves is challenging for many (Beichner, 1990; Preece, 1983b). A common error is confusion of the slope of a line with a point on the line (e.g. the steepest slope is equated with the point of highest value). Iconic interpretations are also rife, and Preece observed that the highest line was often associated with fastest motion or increase in magnitude. Those who successfully interpreted graphs representing changes in temperature or animal populations used a high percentage of gradient and speed words and a low percentage of direction, position and shape words. The reverse was true for poor interpreters (Preece, 1983d).
Kerslake’s (1981) work corroborated the above findings and highlighted similar difficulties in understanding and applying the concept of gradient. It provided further examples of misconceptions about the significance of a graph’s visual appearance. Incorrect spatial interpretations particularly
concerned distance/time graphs and where the axes and scale of a graph were altered. They were most typical of students who were strong visualisers. Speed/time graphs are also frequently drawn incorrectly, with students representing the path of an object or a person’s journey instead of speed; they may view graphs as concrete objects rather than as indicators of abstract trends (Beichner, 1990; Mokros and Tinker, 1987). Additional evidence for difficulties specifically with distance/time and velocity/time graphs comes from the work of McDermott and her colleagues. They employed written problems, laboratory experiments and a diagnostic computer program, *GRAPHS AND TRACKS*, which simulates the motion of a ball on a set of tracks and presents or requests a corresponding graph. These tools were used to document a range of difficulties and errors in connecting graphs to physical concepts and events (McDermott, 1990; McDermott, Rosenquist & vanZee, 1987). These included discriminating between slope and height of a graph, interpreting changes in height and slope, relating position/time and velocity/time graphs, representing continuous motion, separating graph shape from path of motion, representing negative velocity and constant acceleration, and distinguishing between different types of motion graphs.
Some of the above findings were also supported by our work for the Conceptual Change in Science project (Driver & Scanlon, 1988). In particular, Hennessy observed that 12- to 13-year-olds were limited in their ability to generate speed/time sketch graphs representing the simulated horizontal motion under friction they observed during pilot tests. This (unpublished) work highlighted several of the common kinds of confusion. It again indicated that students need much support in understanding relationships between variables and in learning which measurements to take.
Qualitative interpretation is usually associated with global features of graphs that represent situations and is more difficult than quantitative interpretation (Preece, 1983b). While this is an under-represented area in the mathematics curriculum (e.g. Bell & Janvier, 1981), it is especially important for science learning, and indeed research on this emerges from a tradition which employs mathematics to help explain physical phenomena (e.g. McDermott, Rosenquist & vanZee, 1987; Mokros & Tinker, 1987).
The nature of the **context** of a graph - and the setting in which it is used - influences both the type of variables used and the interpretation of results. Leinhardt et al. (1990) maintain that students’ understanding of graphing is partly based on intuitions about graphs from experience and prior teaching. Some intuitive and everyday knowledge (e.g. that time only increases) serves as a useful basis for learning how to interpret graphs, however students may become distracted or overwhelmed by situational knowledge that interferes with graph abstraction (see also Janvier, 1981). Further insight may be derived from another study by Preece (1993) which investigated the role of context in students’s interpretations of graphs of biological phenomena. She found that many students aged 14-15 offered graphical interpretations focused on graph syntax - and influenced by shape - without relating them to task context in a meaningful way. Those interpretations which were integrated with context were either pictorial, dominated by particular conceptions related to the context or other world knowledge, or confused and unanalysable, and these categories were fairly robust. Thus most of the knowledge students bring to the task of mentally reconstructing a phenomenon or situation is irrelevant or misleading, whereas successful interpretation requires gradual integration of accurate and appropriate knowledge of the context. Preece noted that the most difficult graphs to interpret have unfamiliar variables within a familiar context and a similar form to a real object; this entices students to give non-graphical interpretations (Preece, 1983c). For example, the thermometer simulation used for diagnosis formed an analogue with its graph; as the temperature rose and fell, the graph corresponded. This encouraged students to develop notions of gradient based upon physical features, whereas a display of a random population of animals proved much easier (Preece, 1983d). (The issue of real world applications in task contexts is discussed later on in section 5 under ‘Context and authenticity’).
Further detail about difficulties concerning graphing is provided by the studies of college students carried out by Dunham and Osborne (1991). They identified three major (interrelated) areas of difficulty and analysed the behaviours and understandings required to build “better visual
intuition”. The first problem is failure to make connections between symbolic and graphical representations, as mentioned above. Three aspects of understanding the nature of graphs and functions were deemed necessary for making these connections:
(1) the notion of an ordered pair in the context of a function: students particularly fail to grasp the association between an ordered pair and corresponding $x$- and $y$- values;
(2) understanding that a graph is composed of an infinite collection of points (both on a line and between any two points) rather than being a single physical object - or alternatively, as the majority of schoolchildren believe - a representation of the discrete quantities plotted (Kerslake, 1981); understanding that manipulating a graph affects the original function;
(3) ability to infer characteristics of a function from more than one point, understanding the complex connections between what is seen on a graph, the behaviours of $x$- and $y$-values and their relationships; students frequently focus on a small number of distinct points of a graph (e.g. vertex or intercept), failing to relate visual characteristics with interval behaviour.
To elaborate further, the mathematics curriculum overemphasises local, i.e. pointwise interpretation (students plot graphs from tables of ordered pairs and tackle questions involving looking up specific information) rather than elaborating the properties of the underlying situation (Janvier, 1981). This may result in the conception of a graph as a collection of isolated points rather than a conceptual entity; teaching one element of graphing does not produce capability in other areas, particularly qualitative interpretation of graphs (Stein, Baxter & Leinhardt, 1990).
The second area of difficulty identified by Dunham and Osborne (1991) is in understanding scales and choosing appropriate ones, a persistent problem for students as other researchers have observed (e.g. Hart, 1981; Kerslake, 1981; Lindquist, 1989). Students misunderstand that issues of both relative order and measure need addressing (Leinhardt et al., 1990), and they tend to assume single unit intervals and equal scaling on both axes (Dunham, 1990). Dunham and Osborne point out that this inattention to scale leads to difficulties when students have to graph data in science classes; their attempts are confounded by mathematics teaching which presents examples of easy-to-draw graphs where scale is symmetric and therefore insignificant.
Thirdly, transformations of functions and scale changes are little understood, even by those college students who can plot and identify points, scale axes and make good use of graphing space (Dunham & Osborne, 1991). A complete understanding of graphical representations includes realising what visual features of the graph will change (geometrical angles between lines and axes) and what will not ($x$- and $y$-intercepts) under the change of scales. Difficulties with scaling arise in both constructing and interpreting graphs (Kerslake, 1981). A critical problem is confusion of geometric transformation with scale change, i.e. not perceiving a connection between a graph display and the reference system provided by the coordinates. Axes and graph are consequently treated as changing independently in scaling tasks. Traditional graph plotting tasks tend to portray functions as collections of individually calculated points joined together by straight line segments; this results in students’ failure to understand, for example, $y = 2x^2 - 5$ as a stretch of $y = x^2$. Ansell (1988, p.53) points out that most importantly, traditional methods encourage narrowness of thought, with students seeing the problem as a graph to be plotted, as an end in itself, rather than constructing functions as a means of problem solving.
**Overcoming students’ difficulties with graphing**
Dunham and Osborne (1991) offer suggestions for appropriate activities to help overcome the difficulties they identified. These focus particularly on the use of mathematical language and metaphor in different contexts (e.g. the metaphor of stretching and shrinking), and on activities which help students develop their own intuitions about what a graph reveals by supplying them
with rich experiences in visualisation. Leinhardt et al. (1990) also present detailed evidence from the literature and their own analysis of guidelines for effective teaching and activities. The emphasis is on the teacher guiding and presenting, through drawing on and transforming their subject matter knowledge of graphs and functions. Issues of curriculum sequencing are also discussed in some detail; the consensus is that movement between qualitative and quantitative presentation of graphs is most appropriate. Instructional explanations and the burden of notational conventions are also covered.
Further pedagogic implications arise from the above discussion of research into students’ difficulties with understanding graphs. Students seem to need more practice in interpreting trends in data and graphs as well as reading values, constructing graphs and doing more mathematical tasks. They need more guidance and activities focused on scale and on graphical representation of functions. To assist students in making links between different representations, working directly with a range of examples in numeric or graphic form, particularly when addressing new situations, can be very helpful before moving to a more generalised symbolic form (Ruthven, 1994). Paper-and-pencil methods encourage movement from an algebraic equation towards generating data points and eventually creating the graph of a function, but not in the reverse direction, which is considered to be harder. Most importantly, graphing activities need to take a qualitative approach emphasising exploration of mathematical relationships - intuitions about two simultaneously changing variables and their pattern of covariation - rather than symbolic manipulation for its own sake.
3. The role of technology in supporting graphing
The author believes that the new portable technologies can make a significant impact on a traditional area of the mathematics curriculum, namely students’ understanding of graphing. New graphing tools - computer plotters and graphic calculators - are continually appearing and research is clearly needed to understand best how to deploy them. Some research in this area has begun to emerge during the last decade, and this is the focus of this section of the article. The research indicates that portable computers and graphic calculators may help to overcome some of the conventional difficulties students experience, not least because they encourage an investigative problem-solving approach. The new interactive tools enable students to evaluate or simplify an expression, solve an equation or produce the graph of a function at the touch of a button. They are particularly useful for comparing multiple graphs simultaneously and for showing specific features of related graphs (Coles, 1990). Graphing tools can replace traditional construction procedures with more rapid and reliable ones, removing the need for calculating, arduous manual plotting and drawing, and axis scaling skills (e.g. McFarlane et al., in press). Thus students first meet graphs as a representation of the relationship between changing variables.
Graphing technologies are particularly suited to students who lack confidence in their symbol manipulation skills (Hart, 1992). Several authors report that by reducing the burden of numerical and algebraic computation, they allow more time for instruction and for students to concentrate on analysing problems and solutions, i.e. on mathematics rather than algebraic manipulation (e.g. Dunham, 1993); Dick (1992) asserts that the time available is doubled.
With powerful numeric, graphical, and symbolic computational tools in hand, the student can see the “carry out the plan” stage of problem solving as the least daunting step. Students appreciate more the relative importance of heuristic processes, mathematical modeling, and the interpretation of results. (Dick, 1992, p.152)
According to Dunham and Osborne (1991), graphing technologies offer a potential opportunity to increase the role of graphing and visualisation throughout the curriculum, addressing the critical need to combine visual and algebraic techniques. Dunham’s (1993) comprehensive review of research into the use of graphing technologies (in conjunction with curriculum change) highlighted a number of other benefits, including higher levels of understanding graphs and functions (see
discussion of Browning, 1989, below), greater motivation for and success on problem-solving tasks and more flexible approaches (e.g. Boers-van-Oosterum, 1991), greater skill in interpreting graphs and relating graphs with equations (e.g. Boers-van-Oosterum, 1991; Rich, 1990)\textsuperscript{26}, and better understanding of connections between different representations generally (e.g. Browning, 1989; Ruthven, 1990). With regard to the latter, graphing technologies allow the student to examine many more graphs - and their corresponding equations - more quickly with an extremely high degree of accuracy. Leinhardt et al (1990) have pointed out that this may help to illustrate the relationship between graphical entailments and algebraic parameters, although some unconventional informal conceptions seem to arise.
Hart’s (1992) study indicates that graphing tools may overcome problems with multiple representations, as identified by Scanlon (1990), because working simultaneously with at least two linked representations (graph + equation) becomes more manageable. Technology-generated graphs can now be used to determine important numerical and algebraic properties, reversing the traditional trend from equation to graph (Demana & Waits, 1990). Note that some technologies also display the table of data on which the graph builds. In multiple representation software, changes in one representation trigger automatic changes in another, so alterations to a graph immediately promote a change in the table of values and/or the algebraic description of the function. O’Reilly, Pratt and Winbourne (1997) point out that this two- or even three-way change offers a physical and educational advantage over spreadsheet graphing since the student has control over where the links are made. They introduce a note of caution, though: the student is constrained to using other people’s representations, running the risk that the difficulties of reading a representation are multiplied by the number of modalities represented on the screen simultaneously. The student must make sense of each modality in turn and the links between them. The authors point to the expressive \textit{Boxer} software environment as one which offers structures allowing the student to program links for herself; they distinguish between this ‘constructive representation’ and traditional ‘instructive representations’ such as graphic calculators (which they claim are used as tools to uncover pre-existing truths).
Evidence for the benefits of multiple representation software for the understanding of functions comes from the work of Confrey and Borba and their colleagues in Brazil. They have developed a computer graphing system, \textit{Function Probe}, which allows a graph to be transformed into another through direct actions using translation, stretch or reflection icons. The system has been tested individually with school students, who were asked to transform a graph, to predict the effect on coordinate values of a given point, then to explore the relationships between actions in the graph and coefficients of algebraic expressions. The results demonstrated that students can develop effective strategies of inquiry using an environment supporting multiple representations, plus carefully formulated tasks and teaching approaches. One case study showed that the student, Ron, was able to expand the notion of change in the axes, incorporating vertical and horizontal translations and stretches (Borba, 1995). He was also able to coordinate the numerical changes in coefficients with the transformations on the graph. The student actually had to build his own notion of translation, overcoming the limits of the software, which cannot allow for transformations in the axes in a dynamic manner. Although discrepancies among representations generated a problem for Ron initially, this was overcome; Borba and Confrey (1996) proposed that the strength of Ron’s investigation lay in his ability to coordinate visual actions with changes in other representations.
Another case study (Borba, 1994) offers an example of a student posing a “why” question and trying to explain the rule he detected in visual terms inspired by the activities he developed in the graph window. He investigated the way a given point moved horizontally when a graph is stretched and generated a powerful rule to link a stretched graph with the original one. This process included
\textsuperscript{26} Students using GCs tend to choose graphical solutions to algebraic problems (Rich, 1990), although some do have greater confidence in algebra (see O’Reilly, Pratt & Winbourne, 1997).
combining paper and pencil with the computer medium and comparing graph and table representations; it subsequently helped him to understand stretching better, enabling him to make a wider variety of predictions. Borba describes how the important “why” question in a multiple representation environment is usually motivated by discrepancies among patterns in different representations or by regularities found in one representation but lacking any kind of justification; the why question provides critical reassurance. New why questions and new connections with other representations and knowledge about other phenomena may arise during an investigation. This provides endless scope for allowing different students to choose their own problem-solving methods and to answer different questions, posed by the teacher or the students themselves.
The study by Browning (1989) associated with the Ohio State Calculator and Computer Precalculus Project provides additional important evidence for increases in students’ understanding of graphing through using graphic calculators and graphing software on microcomputers. Browning asserted that four hierarchical levels of graphing understanding exist:
Level 1. Recognition of graph of a parabola; simple graph interpretation; development of initial vocabulary
Level 2. Simple interpolation; translation of verbal information into a simple sketch graph; use of initial vocabulary
Level 3. Recognition of the connection between a graph and its algebraic representation; using properties of functions to construct graphs
Level 4. Using given information to construct a graph; deducing information from a graph
Pretest scores showed 78% of students operating at levels 0, 1 or 2. The (non-technology) control groups continued to function at similar levels, but 73% of the experimental groups had attained level 3 or 4 by the end of the year. Their understanding of graphing and function concepts, understanding of connections between algebraic and visual representations of problems and their knowledge of graphing strategies had improved.
Specific examples of benefits related to *dynamic graphing of experimental data* come from the NCET scheme where programs such as *Investigate* proved highly stimulating. They enable students to see graphs being plotted in real time as experiments progress, helping them to associate cause and effect. One controlled study reported that data logging produced measurable improvements in skills of interpretation of line graphs in Years 3, 4 and 9 compared with a traditional approach (Bowell et al., 1994). Another recent study employed a “Calculator-Based Laboratory” (CBL) to confront American college students’ misconceptions of graphs of motion; the innovative system consisted of a graphic calculator, a motion detector and a device which transforms data to the calculator (Hale, 1996). The author points out that it is cheaper and more portable than the conventional Microcomputer-Based Laboratory. Student understanding was improved when the activities were followed up by whole class discussion. The Texas CBL can be linked with over 20 different sensors and probes; practical issues concerning its use in British schools are described by Oldknow (1997a).
Further evidence, this time concerning graphing on the Pocket Book, comes from Robertson et al. (1995a, p.23), who quote an example of the use of Pocket Books attached to (temperature, light, humidity etc.) sensors for data collection in science. Information was downloaded straight into the Pocket Books, students then generated and printed graphs and spreadsheets. Immediate collection of data and production of graphs from sensors allowed more time for observation and motivated students to ask exploratory ‘what if’ questions (e.g. “what happens if I put my figure on the tip of the temperature sensor?”). These questions were spontaneously generated as a consequence of the Pocket Book freeing the student from making tricky and time-consuming measurements and having
to generate graphs by hand.
These assertions are substantiated by extensive work on data logging by Rogers and his colleagues. They extol the virtues and flexibility of graphing software such as *INSIGHT* (Rogers, Morris & Wheelhouse, 1994), which displays data in an extremely versatile manner and contributes towards interpreting it. Rogers et al. point out that the computer can provide an experience which progresses from qualitative to quantitative. Immediate display of a graph provides students with a qualitative overview of the data being collected without the need for handling numbers or tabulating data, thus making the graph a starting point rather than an endpoint in evaluating the results. They can inspect and select what is of interest on a graph and appraise its significance, being introduced to the quantitative properties of the data later when the need arises. This allows the low-level skills underlying investigative work to become automatic. It particularly empowers students with limited graph plotting skills by avoiding interruptions to the problem-solving process which can lead to errors (Underwood & Underwood, 1990). Unfortunately, data logging is only used by a small minority of schools at present.
Real time computer plotting portrays graphs as dynamic relationships rather than static pictures and helps to reduce “graph as picture” errors (Mokros & Tinker, 1987). Preece’s pilot work with the *SKETCH* program she developed indicated that offering students an opportunity to view a simulation (of temperature changes or animal population size) and then to sketch and interpret the graph of the changes seen helped students to gain an intuitive understanding of gradient (Preece, 1983a; 1983d). The simultaneity of dynamic graphing is commonly suggested to facilitate a mental linking between a real physical event and its graphical representation. However, passive simulation produced no educational impact in Beichner’s experiments with video recreation of a motion event alongside its graph; these showed that simultaneous perception, i.e. visual juxtaposition, of motion and graph, is insufficient to promote graph interpretation skills. Active control over the physical event and its graphical representation, with instantaneous feedback, may be the significant feature of real time graphing. It may be more motivating, for a start. The questionnaire survey by Robertson et al. (1995a) illustrated how experience with the graphing facility appeared to be responsible for a dramatic doubling in the percentage of students who considered the graphs easy to use (from 31% to 62%) when questioned five weeks and five months into the project respectively.
Graph plotting software is also useful for exploration of which mathematical functions fit a set of data. Students can simply try out different functions and instant visual feedback allows corrections/conjectures to be tried out immediately (Ansell, 1988). Another area where computer graphing utilities can potentially help students is in acquiring a feel for a graph being a collection of points. However, the capability for graphing a few points of a function and then adding other points is helpful. The typical left-to-right continuous sweep across the domain does assist with the notion of continuity but it presents the graph as a completed picture and along with attention to variation of a function’s parameters can obscure the fact that $x$ varies as well (Goldenberg, 1988). More random plotting could emphasise the role of discrete points as pairs of numbers; using paper-and-pencil techniques instead can convince students of this but makes continuity hard to grasp.
Graphing technology additionally assigns greater importance to scale, through facilitating the use of more realistic numbers whose graphs require attention to scale. Indeed the dynamic nature of computer- or calculator-generated graphs focuses much more attention on scale changes than do static paper-and-pencil graphs (Dunham & Osborne, 1991). In particular, the viewable portion of a graph changes frequently within the constantly-sized display window. Moreover students can explore the effects of (a) scale and (b) geometric transformation on shape by using graphing technologies, for example to compare different shapes of a single graph from different display windows and finding transformations producing different shapes in a single window or adjacent windows (as in the *Resolver* software developed by Yerushalmy, 1989, to help students to evaluate their algebraic transformations). Dunham and Osborne assert that this is crucial in overcoming ideas generated by prior experiences where scale was insignificant in graphing and for developing
awareness that shifts in scale can alter what is seen even where the function remains the same. Language is again important and teachers must recognise that metaphors associated with graphing utilities (e.g. ‘zooming’ in and out) require clarification as they can influence students’ ideas (in this case, about what happens to scale). The authors advocate addressing problems of shape and scale through using multiple views of a graph and training students in recognising critical visual features of a graph, then tracking them under transformations and scale changes. Using graphing technology does not always overcome difficulties in scaling axes (Coles, 1990). However it makes plotting more complicated algebraic functions much easier than by hand and as they possess more identifiable features than linear functions, they offer a richer base for visual intuition (Dunham & Osborne, 1991). Complex functions are traditionally introduced later on, but could now come earlier in the curriculum.
Several research studies highlight the importance of technology in introducing graphing skills and concepts to primary and lower secondary school students. McFarlane’s work illustrates how students unfamiliar with algebraic techniques can explore complex computer-generated graphs and engage in related problem-solving activities, so graphing can be introduced at a much earlier stage (cf. Leinhardt et al., 1990). She used probes linked to a portable computer allowing corresponding real time line graphs to be drawn. Friedler and McFarlane (1997) reported that the technology had a significant impact on graphing skills at age 14, including the ability to sketch line graphs and curves predictive of behaviour in a new context. This included labelling, accuracy of plotting and sketching - skills more usually associated with manual plotting. However, 16-year-olds were less susceptible to the advantages of data logging and found it difficult to make a link between a graph and the variables represented, possibly due to an added layer of abstraction in the investigations. Another controlled study used a similar approach with 7- to 8-year-olds, introducing graphs as a representation of the relationship between the variables of temperature and time (McFarlane et al., in press); the results showed an increased ability in the experimental group to read and interpret line graphs and again to sketch predictive curves.
The NCET publication ‘Approaches to IT Capability’ for KS3 highlights the use of spreadsheets as a medium for experimenting with and becoming familiar with symbolisation; the graphing facility can simultaneously be used to provide another view of the situation. This is exemplified by Ainley and Pratt’s recent studies with primary school students, referred to earlier, using data (e.g. reporting various body measurements) collected in spreadsheets on laptop computers. This allowed students to bypass the process of drawing by hand. The results showed that students as young as 8-9 years quickly learned to handle line graphs with intuitive ease (Ainley, 1995). However a comparative study of 9-to 10-year-olds found no difference between performance by a computer group and a ‘paper’ group - using a table of data and a hand-drawn graph - on a task to produce and interpolate from a line graph using new data. Performance by both groups was impressive and all students who could plot points and construct sensible axes could also interpolate successfully; they gained a sense of the conventions of graphing. The researchers believe that the two tasks shared features which were significant in supporting the children’s understanding, such as presentation of a complete image. Experiencing a number of similar graphs enabled them to assimilate some features of scale, which they could then use to produce their own graphs. Focusing on meaningful tasks using the graphs for a clear purpose - rather than on the representations themselves - was critical in successfully introducing difficult but powerful graphing skills. Traditional approaches focus instead on construction skills for their own sake, often concealing the context and purpose of drawing a graph. Normally, computers offer the only access to immediate graphical images drawn from purposefully collected data. Also instrumental was the process of ‘active graphing’\(^{27}\) described by Pratt (1994): the students collected their own ‘real’ data, entered it into a spreadsheet and viewed a
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\(^{27}\) The review of research into analytical reasoning with external representations by Cox and Brna (1993) supports this notion in its assertion that external representations including graphs must be actively constructed by the user; passive use of pre-formulated materials is less effective.
numerical representation of the phenomenon; the graph then showed up gaps in the data requiring further experimentation and predictions could be made from outside the data range. This meaningful interaction between graph and data offered the students greater control and enabled some to develop better understanding of their graphs. The teacher confirmed that the children’s ability to interpret and discuss the graphs illustrated their grasp and application of mathematical ideas normally introduced much later on (Stradling, Sims & Jamison, 1994, p.7).
The Pocket Book II palmtop introduces a sophisticated graph ‘Plotter’ facility which overcomes the more limited graphing capability of the original model and could bring more complex graphing concepts within the reach of younger students. The machine offers a range of complex functions, allowing the user to type in equations and plot Cartesian, polar and parametric functions, inequality graphs and coordinate pairs. Plotter can also display multiple graphs or families of functions; it can trace functions and report derivatives. The user can rescale the axes, zoom in and out, pan in all directions and change the viewing window. The simple interface to all of these functions coupled with the other functionality the machine offers (spreadsheet, word processing) makes this a potentially powerful tool for students across the age range; research is needed to establish how it could most usefully be exploited.
As with other portable technologies, little is known about the endurance over time of the benefits of graphing technologies. A handful of studies report little benefit during short periods of exposure to the technology. Martin (1994) found that one semester of use by college students was insufficient for novices to become sophisticated users or to display enhanced conceptual knowledge. Nevertheless students in the same study who had used the technologies subsequently showed significant differences in their approach to graphing problems, continuing to draw on a graphing perspective even when use of the technology was discouraged or prohibited. Thus graphing technologies can have a lasting impact.
Finally, a number of teachers in the Pocket Book project pointed out that drawing graphs by hand is a necessary skill and part of the NC. The concern is that using a computer prevents learning of that skill, but Robertson et al. (1995a) point out that it could still be taught, using the Pocket Book graphing facility more appropriately, e.g. for investigating changes in temperature or humidity. These tasks are not mutually exclusive and serve different pedagogic functions.
Graphic Calculators
Research showing the benefits of using graphic calculators (GCs) - custom-made tools for graphing - is beginning to emerge (e.g. Dunham & Dick, 1994). These overlap with the benefits of graphing on portable computers and a number of the points made in this section follow up aspects of the discussion in section 1. Although GC screens are more limited in size, the calculators are even more
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28 Another example of active graphing comes from the science investigation of the effects of gravity with Year 5 students, mentioned earlier and described by Pratt (1994) and in the NCET evaluation report (Stradling, Sims & Jamison, 1994, p.4); spreadsheets were used to record distances travelled by a toy car down a slope. Scattergrams and lines of best fit highlighted emerging patterns and non-conforming results, helping the students to decide where more data was necessary.
portable and easily affordable by individual students, making them even more controllable by students. The calculators are robust and highly personal, offering the same opportunities for private and informal use as small portable computers. Many schools also consider them to offer better value since at £30-£40 each\textsuperscript{29}, a class set together with a teacher’s model with OHP display pad, currently costs no more than one or two desktop PCs (Oldknow, 1998). Resembling scientific calculators in appearance, size and price, the ‘supercalculators’ are fast overtaking them as the standard for ‘A’ level mathematics students, about 60% of whom have their own machines (Oldknow, 1997b).\textsuperscript{30} They are in common use at college/university level and in schools although use below the age of 16 is variable and relatively recent. The ‘A’ level Mathematics core curriculum does not mention them specifically. It ‘encourages the appropriate use of calculators and computers’ and insists that 25% of assessment must be carried out without any technological aid (SCAA, 1997).\textsuperscript{31} By contrast, provision of GCs is expected for American high school students; their availability has been assumed at high school level since 1989 (Dunham & Dick, 1994). Shumway (1988) reports that the feeling of educators around the world has recently been converging towards greater use of calculators with accompanying major changes in curriculae to de-emphasise computation and emphasise earlier, deeper, conceptual learning.
Oldknow (1997b) has carried out an extensive survey which provides further information about GC use in schools within 26 countries in Europe, North America, Asia and Australia. He concludes that two different routes are being taken regarding the use of IT in secondary school mathematics. In some countries the pressure is on to build up a greater provision of desk-top computers and associated software. Others have succumbed to the developing power of personal hand-held products, particularly GCs, as offering an alternative solution with obvious advantages. Because of the practicability of using GCs in an examination room, some of those countries taking the second route have undergone a rapid transition from (a) banning such calculators, to (b) allowing their use, through (c) encouraging their use and finally to (d) making them compulsory.
GCs are potentially an ideal intermediate technology in terms of cost and power between traditional (pen and paper) and advanced (computer) technology (Ruthven, 1994). Calculators offer less flexibility and lower capability of data storage; for example, when one graph is erased on some models, all graphs must be erased. Nevertheless calculators could be said to be more widely integrated than computers into the curriculum at secondary school and college level (Sharp, 1994), precisely because they offer access to computing facilities without the administrative burden and at a fraction of the previous cost (the cost is generally borne by the students). GCs provide multiple representations of mathematical ideas, offering sophisticated environments for graphing mathematical expressions and modelling using real data, and sometimes for manipulating symbolic expressions. They also have facilities for calculating and mathematical programming (Ruthven, 1992a, p.1).\textsuperscript{32} (This review concentrates on the use of graphing facilities, which teachers appear to find most useful, e.g. Dick & Shaughnessy, 1988.)
The most significant research initiative in this area was the “Graphic Calculators in Mathematics” project (funded by NCET). This involved 1000 ‘A’ level students in 24 schools across 6 regions and offered unrestricted individual access to calculators over 2 years, either as a personal or as a
\textsuperscript{29} This puts the calculators almost in the realm of Christmas stocking fillers!
\textsuperscript{30} The most advanced models with “Computer Algebra Software” or CAS, such as the Texas T1-92 (which is effectively a specialised palmtop computer incorporating symbolic algebraic manipulation, interactive geometry software, a 3-D surface grapher, data analysis and a text editor, at a cost of about £200) have recently been banned in UK schools, however, presumably because they allow students to factor complex algebraic expressions.
\textsuperscript{31} This ruling indicates that the T1-92 developers’ call for abandoning the teaching of ‘obsolete paper and pencil algebra and calculus manipulations’ (TI-TIME, Autumn 1996, p.2) is unlikely to be realised in the near future.
\textsuperscript{32} Shoaf-Grubbs (1995) points out that GCs overcome a disadvantage of computer algebra systems which may not offer in one software package all of the mathematics that a teacher desires.
classroom resource. The main goal was to develop, trial and evaluate teaching approaches which exploited the potential of the GC. The teachers planned their own calculator work within the normal syllabus constraints. The project culminated in a resource pack for schools: *Graphic Calculators in Advanced Mathematics* (NCET, 1992), offering a wide range of short calculator activities on workcards and classroom accounts of using GCs in seven mathematical areas. The teachers’ accounts illustrate how the technology can stimulate and support problem solving and empower students, giving them greater scope to generate, test and develop their own ideas, supported by their teacher and in collaboration with peers (Ruthven, 1992b). Examples included using the calculator to generate varied instances of some mathematical phenomenon, supporting a process of seeking patterns and relationships and helping students to formulate and test conjectures. Ruthven (1992a, p.8) maintains that these conjectures and explanations can later be translated into more formal algebraic language, for consideration at a greater level of generality and abstraction; algebraic treatment is thus deferred until students are familiar enough with the underlying mathematical principles.
Experience with the calculator was found to erode students’ initial views of GCs offering automatic procedures, replacing them with sophisticated judgments about the efficiency and appropriateness of procedures. Most significantly, students using GCs generated strategic trial-and-improve approaches. These are a progressive refinement of guesses using evidence generated by the GC; they depend on interpreting graphic feedback in the light of key mathematical principles.\(^{33}\) Ruthven (1992a) argues that devolving mathematical responsibility to students and moving towards student generation and evaluation rather than teacher presentation of new ideas helps students grasp those ideas more firmly and develops their capacity for investigation and problem solving. This is essential in coming to grips with algebraic symbolism.
Clearly, the exploratory learning activities devised for the *Graphic Calculators in Advanced Mathematics* project were central in achieving the effects observed. By contrast, an American project with students of a similar age studying algebra, trigonometry and calculus found significantly less agreement - after a few months of use - that there are many different ways to solve most mathematical problems (Dick & Shaughnessy, 1988). This was the case despite the teachers involved reporting taking a more exploratory teaching approach to graphing topics. The male students exhibited a greater tendency than females to view mathematics as a rule-dominated discipline. (It is unknown whether this shift is natural with continued mathematical study, however, or whether open-ended activities can pre-empt it.)
The kind of investigative approach employed by Ruthven can help teachers gain both critical insights into students’ thinking and difficulties, and fresh mathematical insights for themselves. As with four-function calculators, use of the GC may itself throw up important mathematical issues and motivate discussion about them. Ruthven (1994) illustrates how calculator utilities may themselves embody novel concepts and make new mathematical approaches possible, notably those exploiting the calculator’s numeric or graphic processing capacities. An example is the facility to zoom in and out on a section of graph. According to Ruthven, this facilitates working with ideas of approximation and limit, supporting a more simple - and cognitively direct - approach to the generalised notion of gradient than the traditional approach. Using the symbolic language of the calculator, itself a mathematical symbol system, can also increase confidence and competence with using symbolism in other contexts.
Note that while graphic calculators may make sophisticated graphing skills redundant, in practice teachers and curriculae usually expect students to be able to perform manually most of the tasks previously carried out with pencil and paper: scaling, calculating, tabulating and plotting points, interpolating and sketching. Thus there remains a minimum level of competence that is expected
\(^{33}\) See Ruthven, 1994, p.161 for examples.
without the use of a calculator, just as mental arithmetic strategies are demanded alongside the use of a four-function calculator. Graphing on a calculator actually involves different activities to graphing an expression by hand, including a different kind of scaling, considerable selecting and entering, but its great advantage is that it bypasses the other manual activities (Monaghan, 1997). Ruthven (1992a) observed that the graphing facilities rapidly replaced mental and written methods (although the underlying mathematical approaches employed tended to be conventional ones). The project results showed that using GCs to sketch a graph quickly and reliably or find numerical solutions to an equation reduces drudgery and frees students to focus on the strategic and tactical elements of a problem-solving task (Ruthven, 1988). One study implied a broader approach to the use of the graphing facility with the GC than on computer (Ruthven, 1990). This controlled study compared the performance of project students in four schools with that of students in parallel classes without access to GCs or computer graphing. The project group scored significantly more highly on a reverse task to that automated by the calculator, namely that of describing a given graph in algebraic terms, or ‘symbolising’. Three fundamentally different approaches to symbolising a graph were identified, although all began by identifying the type of graph. The project group were significantly better both at recognising the type of graph appropriately in verbal or symbolic terms and at building up a precise symbolic description of the graph (refinement). They exploited salient information (e.g. orientation, position of extreme values, zeros) and knowledge of relationships between these features of a graph and its symbolisation.
Most importantly, *using a GC extensively is likely to reinforce relationships between particular symbolic/algebraic and graphic forms* since the calculator itself operates through such relationships (Ruthven, 1990, p.447). Access to GCs is also said to encourage both students and teachers to make more use of graphic approaches in solving problems, rehearsing more general relationships between graphic and symbolic forms and leading to new mathematical ideas being developed. These may derive from visual understandings being exploited to guide and support a symbolic treatment later on (Ruthven, 1992a). Ruthven cites an example showing the value of students using their manipulative skills and comparing graphs in the course of determining the equivalence of different symbolisations of a relationship (*ibid.*, p.7). Another set of factors operating during symbolisation concerns the improved quality of information available to students using a GC (Ruthven, 1990). This was observed to facilitate more frequent checking of formulae by graphing in the project group and to enable a graphic-trial approach; this repeatedly modifies a symbolic expression using information from comparing successive expression graphs with a given graph. This approach increases chances of success and reduces uncertainty and anxiety among less confident students.
There was no treatment effect on interpretation items entailing extraction of information from a verbally contextualised graph in Ruthven’s study. The results were explained by the different competences involved in symbolisation and interpretation and the fact that teachers used a cautious, fairly traditional approach to their teaching of calculus. Borba (1996) suggests that when less traditional approaches are used in the classroom (i.e. less reliance on textbook sequences and the blackboard), students can use the graphic calculator for tasks which go beyond the interpretation of graphs.
While some may argue that GCs have their limitations and that a more expressive software environment on a desktop computer allows more active student involvement (O’Reilly, Pratt & Winbourne, 1997), evidence is accumulating in favour of the benefits afforded by the calculator’s handling of multiple representations. Shoaf-Grubbs (1995, p.227) suggests that the visual, self-paced exploration process created through using a GC enables students to use concrete imagery to further abstraction of mathematical concepts. Spatial visualisation is important not only in mathematical reasoning but is believed to promote the creative and insightful use of mathematical concepts that can transfer to other areas of learning. Shoaf-Grubbs asserts that students using GCs are more likely to construct their own mathematical understanding through conscious reflection, although an exploratory and interactive learning environment which offers students greater control is again essential. Her controlled study with female college students provided an emphasis on making
mathematical connections, explicit teaching of concepts, multiple representations, support for student problem solving, and encouragement to develop positive attitudes in a traditionally difficult area of mathematics. The findings showed that the GC had a significantly positive influence on performance in the calculator group and that spatial visualisation and mathematical understanding were strengthened.
In the same vein, Smart (1995) observed a class of 13-year-old girls using GCs, again with unlimited access, over the course of a term. The class teacher believed in encouraging active student involvement, self-directed exploration and discussion of discoveries made; this was undoubtedly a critical factor. Their investigations included fitting a line or curve to data points and the effects of varying a constant. The data collected in this context showed that access to the GCs helped the girls to develop strong visual representations of functions given in their algebraic form and simultaneously developed their confidence in talking about mathematics and in investigating new problem areas. They were able to picture and describe a graph when given its equation in symbolic form and to use feedback from the graph, employing their visual knowledge to help perceive patterns and make generalisations. The girls’ written reports of their explorations were coherent and indicated that all had been stretched until they were happy solving problems that cause difficulties to older students who employ only algebraic methods; some students were working confidently at ‘A’ level mathematics problems. They were articulate about the predictions they had generated and tested and about their prior misconceptions. The girls’ views of their experience were divergent but they generally found graphing quicker and less arduous, although the calculator took time to get used to.
Smart is currently conducting a follow-up study in another school, a girls’ technology college, to see whether using the GC can provide students in Years 9-11 with a higher level of achievement based on a stronger concept of the relationship between algebraic form, tabular numerical form and graphical form (as the work by Hart, 1992, suggests it does). The GC technology may help because it allows translation between algebraic and visual forms - in both directions. (Ideally, then, after producing a graph from data points, further data could be extracted from the graph and then used to try to create an equation. This in turn could be used to create data or data could be used to check the algebraic rule. This complex process may take several weeks of experience with related activities, perhaps beginning with manual methods and predictions but moving on to integrate these with calculator use: Smart, personal communication.) For instance, Smart’s activities use GCs to investigate parallel and perpendicular line graphs, moving from symbolic to visual representations and then linking back to the equations.
The work of Borba and his colleagues discussed in section 3 employed a similar graphical visualisation approach which inverts the traditional approach to translations of functions. Their activities began with visualisation of graphs, then focused on the relationship between graphs and tabular values and finally, focused on the relationship between graphs and algebraic expressions (Borba and Confrey, 1996).
We believe that the emphasis on visualisation, in addition to restoring the historic emphasis on visual aspects of the study of transformations, allows students to move easily into the algebraic symbolism while containing some visual meaning for the symbolism. (*ibid.*, p.320)
The empirical work they present describes the final transition to algebraic symbolism and how previous experiences in visualisation and data manipulation facilitate that transition. The story of Ron illustrates the power of visual reasoning; the authors call for adequate time, opportunities and resources for students to make constructions, investigations, conjectures and modifications.
More generally, the GC’s encouragement for visual reasoning drawing on graphic representations means that using it can render mathematics and science work a more visual activity, even for older students tackling complex concepts, as these too are often facilitated through visual solutions. Ruthven (1994) speculates that in the future, the supercalculators will link numeric and graphic representations to symbolic expressions, so that any standard operation on an expression is
associated with a corresponding transformation in a numeric table and graph plot. (Graphs linked to tables in vertical split screen mode are already available on models such as the Texas T1-83.)
It must be emphasised here that the instructional approach is critical and students’ understanding is not necessarily improved by simply adding a technological component to an existing curriculum. A doctoral study of 36 students by Porzio (1995) found little difference between traditional students and those using GCs in their ability to make connections between different representations. Evidence was provided that students are better able to use, and make connections between representations when the instructional approach they experience emphasises different representations \textit{and} has students solve and interpret problems specifically designed to explore, establish, or reinforce connections between representations. This is the key to successful activities like those discussed above. Moreover, there may be a threshold level of understanding below which students will not benefit greatly. Giamati (1990) observed that the benefits of graphic calculators were much stronger for students who already had solidly formed links between graphs and equations. She also proposed that constructing tables of functional pairs of numbers was essential for developing conceptual links.
Further advantages of GCs were apparent from the positive responses of teachers and students in the NCET pilot scheme (Stradling, Sims & Jamison, 1994, ch.2). Students quickly familiarised themselves with the calculators. Teachers reported marked increases in the speed, quality and quantity of work although some were uncertain whether students’ understanding of underlying principles had improved. They acknowledged, however, that the same uncertainty had previously surrounded the use of scientific calculators in the classroom. Some teachers explored ways of providing differentiated support. As with other portable and graphing tools, a key factor was the increased time available; by speeding up certain mathematical processes (e.g. allowing several data sets to be processed quickly), the GC offered students with difficulties more time to assess their work and their understanding with the teacher and to repeat difficult tasks. At the same time it allowed more able students to do extension work and to see if they could transfer their learning to new kinds of problems. The NCET scheme showed that GCs can be used in other subjects, for example in geography for analysis of demographic data (Stradling et al., 1994, ch.3).
An innovation at university entry level is the recent introduction of course MU120 (“Open Mathematics”) at the Open University, which was studied by about 2000 students in its first year (1996). The course materials exploit the graphic calculator technology through specially designed activities accompanying each course unit, based on the Texas T1-80.\footnote{The Texas T1-80 is a widely available machine aimed at the educational market. Facilities include a screen display of 8 lines by 16 characters and pull-down menus; graphing of 4 rectangular functions, 3 parametric equations and 4 plot types; 7 interactive zooms; tabular data input of 6 columns; statistical drawings including scatterplot, box plots, xy lines and histograms. The calculator costs about £30.} The materials attempt to develop understanding of graphing and its rationale through exploration and information handling. There is an emphasis on skills for using mathematics - including manipulation of graphical representations - in investigating questions from other contexts as well as on mathematical techniques. Research in progress by the author indicates that the calculator is extremely popular with the students and perceived as a valuable tool for learning a range of mathematical concepts.
While GCs are used increasingly by ‘A’ level and older students, mathematics educators now believe that they can also be used by younger students (Key Stages 3-4, i.e. 11-16). In fact, the National Curriculum states that students of this age should use GCs and computers to understand the behaviour of functions (DFE/WO, 1995b). The NCET teacher resource document for KS3 (‘Approaches to IT capability’) points out further uses of GCs: exploring functions and graphs, analysing statistics, studying sequences and iteration. They suggest exploring the possibility of combining functions to build a more complex formula using models allowing data tabulation. Post-16 may even be too late to introduce GCs as younger students are more susceptible to improving
their graphing abilities. Research by Friedler and McFarlane (1997) indicates that using data logging has a significant impact on graphing skills at age 14 but much less so at 16. Smart (1995) similarly believes that KS3 is a crucial age for the formation of mathematical ideas and confidence. NCET asserts that the technology (like computer graph plotting) may nevertheless be less appropriate for students younger than KS3 since they need to understand the symbolic nature of a mathematical formula first. However there is a spectrum of diverse activities which can be performed with graphic calculators. MacKernan (1995) reports on his work with 10-year-olds exploring the functions of sine, cosine and tangent and subsequent activities with 7- to 9-year-olds. The younger students were able to program the calculators to produce mathematical shapes, explore parallel line graphs, plot graphs from coordinates and predict missing points.
The NCET scheme employed GCs widely with the age group below ‘A’ level. At Key Stage 4 they were used for helping students understand a range of mathematical principles and procedures (including converting data into graphs, solving equations, points of intersection, comparing families of graphs, transforming graphs, iterative processes, measuring projectile paths: Stradling, Sims & Jamison, 1994, p.7). Many teachers initially assumed the calculators would be used mostly at Key Stage 4 and for GCSE mathematics but were surprised by their potential to introduce advanced mathematical concepts to younger age groups. Calculators were used competently by students as young as Year 6. The evaluators illustrated this by describing how a class of Year 7 secondary school students carried out a whole range of mathematical investigations using GCs. They made predictions about graph shape and explored how it can alter when the range is changed. This led to a keen interest in graphs; students brought in graphs from newspaper cuttings, wanting to emulate them on the calculator. This in turn provoked discussion about different types of graph, described by their teacher as a valuable spin-off which would not have been possible without the calculators.
As with other portable tools, then, GCs were used in some NCET projects for work which would not otherwise have been done. Stradling, Sims and Jamison (1994, p.22) describe another example where Year 10 students went beyond the work set to seek patterns in their results and to make predictions about new expressions. The calculators permitted a faster speed of progress and led all groups to extend their knowledge and understandings of graphs, which would have taken much longer and been less enjoyable if every student had had to draw each graph. Three schools used the calculators to investigate number patterns, iterations, coordinates, simultaneous and linear equations. (One teacher reported that student motivation was high and that calculators provided easy access to graphs, shifting emphasis away from drawing skills to an understanding of shape and form which is increasingly important for Key Stage 4 examinations.) This experience led to greater reliance of mathematics teachers on the calculators. Together with the “Graphic Calculators in Mathematics” project (at which time GCs cost at least £70 each and up to £300 for some models), the scheme raised the awareness of teachers in general of the calculators’ capabilities and increased access to them.
Smart (1995) concluded that “the arrival of the graphic calculators has provided the opportunity to develop a secondary school curriculum that is calculator-aware” (p.198).\(^{35}\) The research literature indicates that use of GCs has already significantly changed the climate of the mathematics classroom (e.g. Dunham & Dick, 1994). As we might expect, teachers using GCs tend to lecture and explain less. Students have become more active, exerting greater control over mathematical processes; more groupwork, investigations, explorations and problem solving have been observed (Farrell, 1990). Teachers have been forced to relinquish some control, acting as consultants and dealing flexibly with the uncertainty inevitably arising in the course of using GCs, but have generally responded well. Rich (1990) observed that those teaching with GCs asked more higher order questions and stressed the importance of graphs in problem solving. One teacher - and his students - exhibited more exploration, conjecturing and generalising (compared to behaviour measured in the same classroom
\(^{35}\) This refers to the CAN Project (Shuard et al., 1991).
earlier in the year and in a control classroom). Like the microcomputer, GCs can now be viewed as a third agent in the classroom, with students consulting both the technology and the teacher.\textsuperscript{36}
Research Issues
The review of research on the use of GCs by Dunham and Dick (1994) points out that the research evidence from controlled studies is mixed, although encouraging. As with studies of other kinds of technology, difficulties in matching content and instruction between experimental and control groups and the issue of whether the calculator is made available during final testing can confound the data.\textsuperscript{37} Hammond (1994) exemplifies how difficulties in measuring the impact of IT on learning may arise as a consequence. Certain programs are intended to be used in different ways and contexts to the traditional activities used by non-computer groups and means that assessment of both groups using the same tests - which normally return to traditional methods - may be inappropriate. For instance, one reason for the apparently low impact of IT in the ImpacT and PLAIT reports discussed above could have been the restricted scope of the subject-specific tests used, which may say more about transferability - rather than development - of skills. While the changes in activities which accompany innovative uses of GCs preclude direct comparisons with traditional approaches, they are both desirable and inevitable. For example, the ‘multiple representation’ approach necessitates the tools to use numeric and graphic strategies as well as paper-and-pencil algebraic techniques and demands that problems are open-ended; GCs have served as a catalyst for curriculum change in this direction and consequently for mathematical learning, according to Dunham and Dick (1994). However, some controlled studies (e.g. Quesada & Maxwell, 1994) offer no insight into underlying reasons for improved performance linked to calculator use.
In-depth studies of students’ understanding of graphs can offer most insight and with a couple of exceptions, the results are generally positive for GCs. However, many studies are descriptive and for guidance about curriculum development, further information is needed about the process of using calculators and how it may influence mathematical thinking. Dunham and Dick (1994) call for data concerning (a) which aspects of GCs promote greater understanding (e.g. presence or dynamic creation of a graph, ability to easily manipulate or generate multiple graphs, immediate feedback and checking facility); (b) the role of multiple representations and student preferences; (c) what paper-and-pencil skills retain their importance (e.g. point plotting or scaling); (d) which factors determine success in implementing use of GCs (user friendliness, availability of suitable course materials, teacher training and attitudes). Ruthven (1992a, p.12) supplements this list with a call for more information about whether the use of trial-and-improve methods can support the development of more direct strategies - and the corresponding powerful concepts - by improving students’ discrimination of relevant features of a problem situation. Alternatively, those methods may inhibit such development by providing an indirect but simple strategy adequate for many situations?
Dick (1992) expands upon the cognitive issues affecting the pedagogical use of graphic calculators for understanding and translating between multiple representations. He asks what the cognitive obstacles are, how students manage conflict between multiple representations, whether easy external access to multiple representations deters students from creating for themselves a ready internal access, and how the role of symbolic computation will change? In sum, there is a great deal of work to be done before we can judge the true potential of graphic calculators for facilitating mathematics learning.
\textsuperscript{36} There have been some extraordinary recent developments in GC technology, including the “Flash ROM” facility to download programs and data to the calculator, so that curriculum materials could potentially be accessed via the Web. Digital control technology can also now be used with the GC instead of the PC (Oldknow, 1998).
\textsuperscript{37} Positive findings tend to derive from studies where students have access to calculators during testing, e.g. Quesada & Maxwell (1994); Ruthven (1990).
Summary: Aims of using portable graphing technologies
The aims of graphic calculator use identified by the “Graphic Calculators in Mathematics” project (Ponte, Nunes & Veloso, 1991, p.158) can be extended as follows in light of the above discussion and applied more widely to encompass the aims of other portable technologies for promoting understanding of graphing:
- to promote spontaneous use of computing facilities within normal mathematical activity
- to foster students’ mathematical thinking; to encourage an active role in learning and evaluation of students’ own ideas and conjectures through problem solving and investigations; to create more time for investigative work
- to assist visualisation and exploration of mathematical relationships
- to encourage a variety of approaches for the same problem - numeric, algebraic, graphical - and translation back and forth between different representations (particularly using graphs to solve equations)
- to develop graph recognition and interpretation skills, and generalisation using feedback from graphs
- to develop understanding of transformations, scale changes and relationships between graphs
The above discussion has made it obvious that while portable technologies offer many advantages, on their own they can have little impact upon learning. Supportive teaching and mathematically rich activities in which graphs are used both meaningfully and purposefully are essential to develop students’ understanding and skills in this complex area. The notion of active graphing (Cox & Brna, 1993; Pratt, 1994) is critical to this aim.
4. Portable graphing technologies: some elements of caution
Portable technologies may create their own unique problems, motivational and conceptual as well as practical ones, and these are the subject of this section. Some general problems associated with computer use, particularly those related to over-reliance on technology, are raised, followed by problems specific to graphic calculator interfaces.
Motivation and ‘magic’
The potential problems which may derive from using portable technologies call for further research (Leinhardt et al., 1990). First, the individual’s motivation for using a particular form of technology must be considered, particularly that of adults for using a palmtop (cf. Robertson et al., 1995a). Some of these machines have keys too small for easy use even by young primary students and a keyboard size encouraging a one-finger approach. With students, lack of a mouse can be a hindrance since control of editing and other features depends on the child’s ability to use function keys. (Other technical problems were outlined in an earlier section.) Another consideration is the initial learning curve of the chosen software and hardware. In the Australian laptops project reported by Gus (1995), teachers complained that students spent too much time learning to use the software rather than grappling with the mathematics content. The next section indicates that GCs are especially complex.
We particularly need to look out for the new errors or misconceptions which new technologies may possibly introduce. One potential pitfall highlighted by Hennessy and O’Shea (1993) is the attribution of ‘magic’ to results produced on a computer which can create or reinforce misconceptions. There may be a tendency, particularly among younger students, to regard information from computers as more authoritative, objective and accurate than that from other people (Howe, Tolmie & MacKenzie, 1995). There may be a sex difference here: Macleod and his colleagues have continually noticed that male undergraduates demonstrate much more unquestioning faith in the power of IT than females (Macleod, personal communication and Siann, Macleod, Glissov & Durdell, 1990). Leinhardt et al. (1990) and Smart (1995) have similarly warned of the consequences of over-reliance on graphing technology and of students perceiving computer- or calculator-generated graphs as unquestionable. According to Leinhardt et al., these may include not understanding the underlying patterns and principles that drive the production of graphs: “The authority may be in the hands of the computer in subtle ways that do not support learning” (p.7). Hart (1992) reported that college students were least critical of results obtained through routine methods of computation. Their confidence in graphical information appearing on the screen was linked to having a priori information.
Some of Smart’s students actually felt that working with the calculator was cheating! This observation of “calculator guilt”, particularly by females, was also made by Dick (1992); Dunham (1991) and Foxman (1997). Smart’s students recognised that some graphing activities extended their capability further than they could have achieved alone and this provoked insecurity and unease at having access to or being dependent on a kind of magic technology. Similarly, Dunham’s students preferred the satisfaction of solving a problem algebraically. A handful of students in the “Graphic Calculators in Mathematics” project were initially reluctant to use any kind of calculator, considering that it led to a loss of responsibility and control of the mathematics; they preferred to retain awareness of every detail of a mathematical process (Ruthven, 1992a). (While this view became increasingly impractical and calculators were ultimately used, it did serve to encourage more critical interpretation of results.) Some student teachers of mathematics also under-utilise available technology, even in examinations; they worry that mathematics may become ‘de-skilled’ (Aitkenhead, 1996).
Our own experience indicates that while GCs are motivating for the majority of students, a minority are technophobic; they tend to be put off by syntax errors and to blame the calculator for problems experienced. (This is probably true of all forms of IT and the consequence is that a few students will inevitably experience enough difficulty with the technology that its use does not positively impact their learning.) One teacher we observed pointed out that calculators can indeed be fallible occasionally or at best, confusing, especially as students tend not to check their answers for sense (which is not specific to technology-based mathematics). Dick (1992) points that we should make a quick mental sketch of the graph a derivative as a check on the reasonableness of a GC’s symbolic
presentations (just as we should estimate the result of a numerical computation on a calculator).
A common view among teachers and researchers involved with GCs is that so-called ‘errors’ or ‘problems’ arising are actually challenges which provide an opportunity for learning. They can even be deliberately evoked, e.g. by comparing calculator responses to the same input in different modes. This strategy helps to overcome the tendency to simply input expressions, and along with sketching predicted graphs on paper first, it may encourage thinking about the relationship between an equation and its graph. Dick (1992) reports that ‘confrontational examples’ can be experienced by having students change the viewing window slightly; by drawing students’ attention to GC limitations explicitly, his teachers hope to breed a healthy skepticism.
Finally, young children can succumb to the novelty of the visual impact made by computer graphing rather than perceiving its relevance to the data. Nonsensical graphs can nevertheless be of benefit if students are brought into conflict with their own criteria for judging these graphs (Pratt, 1994). The mathematical richness of a situation may not emerge spontaneously from activities where students are expected to find patterns and generalise since spotting patterns sometimes becomes “an activity in its own right and not a means through which insights are gained” (Hewitt, 1992, p.7). Could technological assistance in seeing and comparing patterns exacerbate the problem?
Problems specific to graphic calculators
A question posed by Dunham and Dick (1994) was whether the calculator technology itself poses obstacles to expertise and understanding and there is some evidence that it can. Certainly, GCs have a lot of buttons and sometimes three or four functions attached to each key; hence perhaps more than other portables, they require some induction. Graham (1992) noted that students given the calculators with only a hefty manual to help them were noticeably more critical and less able to exploit its special features, despite having access to a particularly interactive and intuitive machine. Those provided with calculator worksheets and specially designed activities progressed more quickly and enthusiastically. Evidence for conceptual difficulties comes from Giamati (1990), who observed that students with poorly and partially formed conceptual links between graphs and equations were cognitively distracted by having to learn how to use the graphing utility on the calculator. Their understanding of stretches, shrinks and translations was not aided by using GCs. Giamati concluded that unfamiliarity with certain calculator characteristics may affect its effectiveness as an instructional tool. Reliance on certain features may evoke conceptual difficulties: Lagrange (1996) reported that many students using a calculator initially connected the concept of limit primarily with the corresponding key of the device, relying on the key even for very simple limits like \( \frac{1}{x} \) when \( x \) approaches infinity rather than finding the limits by reflection.
A complication in scaling tasks is that shape of a graph is an artifact of scale and depends on the viewing window, whose dimensions are chosen by the student. This is not recognised by students trained to draw a single view of a graph, choosing a reasonable scale to fit within the paper’s boundaries (Dunham & Osborne, 1991), but it creates a conceptual demand that may affect the kind of mental images a student can construct (Leinhardt et al., 1990). Dick (1992) stresses that since different graphical operations can lead to a similar visual picture (e.g. simple translation of axes gives the same picture as both changing the centre of the viewing window and translating the function), underlying causes of graphical changes can be masked. A specific problem is that the part of a graph displayed may be misleading in predicting the behaviour of the whole graph. Zooming in obscures global information and zooming out obscures local information about the graph (ibid.). Many of the girls observed by Smart developed problems when they could see less of one graph than another on the graphic calculator screen but failed to recognise that it was a partial view of a parabola.
A survey of high school students by (Dick & Shaughnessy, 1988) indicated that remembering key
sequences and correct syntax for entering information were the most frustrating aspects of calculator use. Similarly, Ruthven (1992a) describes in some detail the practical problems arising during the “Graphic Calculators in Mathematics” project and confirms that users initially experienced difficulties in coping with the density of information and in finding particular symbols or operations on the keyboard. The different calculator models varied in the format of mathematical notation; all required adaptation from conventional notation but reverse notation increased the cognitive load on users. Lack of confidence in working with the new notation persisted in a few cases (particularly where the GC was a classroom resource and where the teacher showed reluctance to use it). Some operations did not behave as users expected and a graphing algorithm intended to create visual continuity may have provoked confusion. Machines whose graphing facilities (e.g. axis scaling and magnification) matched paper-and-pencil methods more closely, and those whose screen was larger, proved easier to use. Models offering symbolic manipulation were unsuccessful owing to a mismatch between users’ informal concepts and the formal ‘language’ of the calculator. The similar mismatches in encoding mathematical expressions and specifying graphic ranges were more successfully overcome: new schemata were incorporated into students’ thinking; the machine’s operation was modified to be more conventional; or novel approaches were generated which portrayed cognitive change stimulated by the structures implicit in the machine’s primitive operations (*ibid.*, p.6).
Teachers we have questioned have detected idiosyncratic features of different calculator models and various technical problems and visual illusions which cause difficulties (e.g. students’ attempt to explain an apparent difference in width between the graphs of $x^2 + 5$ and $x^2 - 5$). Our observations show that some problems are due to students’ investigational techniques, e.g. drawing too many lines simultaneously on the calculator without remembering which were linked to which equation. Obstacles also arise where students omit to specify the range or attempt to simply input an equation like $2y = 3$ without first rearranging it to the required form ‘$y =$ ...’. Other problems emerge when the calculator connects up points which should not be connected or as discussed above, when it displays a partial view of a graph. Finally, the calculator may not always be the best tool for a job, especially where more than one approach is required; for example, teachers may use a spreadsheet to explore convergence because it allows a graph to be viewed alongside numerical data. The GC clearly lends itself to certain topics in the mathematics curriculum more readily than others.
5. Curriculum change and the influence of technology
The discussion in this section focuses on the impact of technology upon curriculum development and introduces the notion of the portable computer as a catalyst in supporting the investigational approach to mathematics learning in school. The controversy surrounding problems set in real world contexts is also discussed.
Computers and calculators are enhancing many areas of the school curriculum, but Goldstein (1994) believes that they are having a radical and continual effect in mathematics, changing the curriculum itself, at all levels. This is essential since ready access to new technologies cannot in itself improve mathematical performance and understanding. Noss and Hoyles (1996, chapters 3, 5, 6) elaborate by portraying the computer as an agent of cultural change and as a context which facilitates construction of mathematical connections:
Our vision of mathematical learning includes the computer as an important part of the material realities of the learner and teacher, with the potential to catalyse fundamental changes in them. (*ibid.* p.53)
Noss and Hoyles’ thesis is that the computer offers a ‘window on the construction of mathematical meanings’ through the interaction of internal and external resources between learners’ activities, teachers’ practices and mathematical knowledge. Thus, it is mathematical cultures and not just technologies which shape meaning and facilitate knowledge development. In fact, the mathematical
needs of society and the mathematics which is accessible to students are both changing rapidly; the curriculum must keep up with social and cultural forces. For instance, as technology progresses, decisions need to be taken about which of the traditional skills taught may become redundant. The order of curriculum topics may also need to be reconsidered (e.g. continuity may need to be addressed earlier and in a different way: Leinhardt et al., 1990). One implication of the above discussion is the notion of a shift in direction of graphing activity, towards interpretation of global behaviour of graphs and toward generalisation from a number of related graphs to a wider class of functions.
We have also discussed examples of how students can spot patterns and explore difficult concepts and relationships using technological tools to generate and process large quantities of data rapidly. However they still need to think analytically: planning operations, interpreting results and contextualising them (Goldstein, 1994). As with four-function calculators, teachers must devise activities which enable students to make sense of results obtained on a graphic calculator or computer program (Shuard et al., 1991). They must help students learn to exploit personal technologies, making effective choices about when it is appropriate to employ a machine and which application to use. New tools obviously generate new solutions; we already have evidence from students working with GCs that they can adapt their approaches and methods to exploit the strengths of the machine, e.g. using a graphical method rather than symbols to solve a trigonometric identity. Goldstein expects all students to have access to personal technologies in future and asserts that students and teachers will need to adapt their approaches to the curriculum accordingly.
**The investigational approach to mathematics learning in school**
Curriculum innovation tends to lag behind technological progress, probably owing to a combination of factors including already over-loaded curriculae, students’ lack of access to new technology and teachers’ lack of time to develop expertise and confidence in using it. Indeed a range of complex cultural factors may affect the actual impact of proposed curriculum change, as Noss and Hoyles (1996, ch.7) elaborate. Penetration of new mathematical tools - such as the readily available four-function calculator - has certainly been slow in the past\(^{38}\), despite overwhelming evidence that students using calculators achieve as much or more in comparison (e.g. Suydam, 1986). A meta-analysis of 79 research studies by Hembree and Dessart (1986) indicated that use of calculators improves the average student’s basic skills with paper and pencil too, both in working exercises and in problem solving, as well as improving attitudes towards mathematics. Where such tools are accepted, however, their use has usually been confined to traditional mathematical practices. Ruthven (1994) fears that the graphic calculator may meet the same fate. Encouragingly, however, the latest version of the NC for mathematics (DFE/WO, 1995b, p.15) expects Key Stage 3 and 4 students to use graphic calculators and computers to understand the behaviour of graphs.
Other curriculum developments are also encouraging; an important one is the inclusion of ‘investigations’ throughout the mathematics curriculum. This trend began with the landmark Cockcroft Report in 1982, which resulted in considerable pressure to introduce investigative learning and “real” tasks. Unfortunately the result in practice was that investigations became separated from mainstream mathematics and tasks became less and less real. While experimentation and inquiry have not traditionally been routine tools in the teaching and learning of secondary school mathematics in most countries (e.g. Colgan, 1992), a curriculum change is nevertheless beginning in the U.K. This partly reflects the introduction of new technology and complements its use very well. The shift is most significant at GCSE where assessment includes written reports detailing investigational processes (e.g. planning) as well as their results, although investigations are not
\(^{38}\) They are still banned until upper secondary level in many Far Eastern countries such as Japan, Singapore, Hong Kong, Korea (Foxman, 1997).
necessarily open-ended. They can be algorithmic too (Morgan, 1994); our own observations confirm this.
Encouraging progress has nevertheless been made in terms of student attainment through investigative mathematics. The latest report by the Third International Maths and Science Study overturns to some extent their previous suggestions that English students ranked towards the bottom of the international league tables in mathematics. Tasks administered to 450 students aged 13 in 50 schools for the study by the National Foundation for Educational Research required students to employ a range of equipment and materials. They tested skills such as weighing and measuring in ‘real-life’ contexts, as well as graphing and scale drawing. Evidence of specific skills and thinking processes was obtained, including those involved in designing and executing investigations and analysing the data produced. The results showed that the NC’s emphasis on using and applying mathematics has apparently been successful: English students came seventh in the world and only one other country performed substantially better (Harmon et al., 1997; TES, 26.9.97, p.1).
The trend towards investigations is now visible in ‘A’ level syllabuses, where the old emphasis on algebra and calculus has diminished recently, the latter in line with demand from the world of employment (although algebra is important in many fields). With respect to graphing, GCs are becoming more prevalent and teachers are incorporating them in their teaching.\(^{39}\) The calculators are even becoming the norm in the new innovative ‘A’ level syllabuses (SMP 16-19 and Nuffield) and examinations. A key development is the Nuffield Advanced Mathematics course, which was initiated in 1990 partly in response to a perceived need to respond to changes in technology. Burns (1994) describes the course’s aims as being to encourage appropriate use of technology, to attract more students to ‘A’ level mathematics, and to encourage more active learning.\(^{40}\) In more detail, the intention was to build “good intuitive understanding of concepts, through experimentation and through using graphical and numerical tools to support analytical approaches” with students working cooperatively and becoming increasingly independent (\textit{ibid.}, p.204). The observable success of previous graphic calculator projects – including teachers’ enthusiasm and the manageability of inservice training – encouraged the developers to require access to GCs for all students, as well as provision within each institution of a computer running a graphing spreadsheet. (The latter had proved to be a powerful general modelling tool, a key feature of the Nuffield course, along with the use of algorithms.)
The advent of the new generation of graphing tools, and calculators in particular, is resulting in a welcome shift away from tasks involving merely drawing and interpreting given graphs towards explorations of ideas about graphs and how they can be transformed (for example, by investigating the effect on a graph of changing a coefficient). According to Ruthven (1992a, p.11), this area of understanding and expertise is the key to many of the graphic strategies enabled by the calculator and it reflects the importance of visual methods in mathematics. Ready access to GC graphing potentially allows graphic ideas (e.g. knowledge of particular graph forms, solving equations using graphical methods and using transformational ideas to describe relationships between graphs) to be addressed earlier in the curriculum (Ruthven, 1994). The notion of graphic zoom is useful and could be progressively developed. The latest ‘A’ level syllabuses place less emphasis on analytic methods, notably marginal techniques for symbolic manipulation, and their associated examination questions no longer require routine mental and written procedures for which an automatic calculator alternative exists. There is still room for considerable change; Browning (1989) points out that the greatest task for educators is to allow students opportunities for making their own connections without providing shortcuts early on.
\(^{39}\) Calculators are likely to have an impact in other curriculum areas too, for example plotting data from experimental work and fitting a trend line (Ruthven, 1992a).
\(^{40}\) Note that post-16 mathematics curriculae around the world are moving in a similar direction towards incorporating technology, real data and more active learning (Burns, 1994).
'Real world contexts'
Recent mathematics textbooks and schemes (e.g. the very popular SMP 11-16) have increasingly attempted to use real world settings as educators realised they were failing to engage students with traditional algorithmic approaches and that knowledge acquired in the abstract tends to remain inert (Collins, Brown and Newman, 1989). However, real world applications are often designed to motivate students to improve their understanding of abstract mathematical concepts. Unfortunately, simply introducing a shopping or other real world context into school problems serves only to disguise mathematical relations, according to Lave (1988). Certainly the almost random inclusion of such contexts has proved unsuccessful (as in the famous example of the typical response of a large sample of students to a calculation of the number of 36-seater buses needed to carry 1128 soldiers, namely ‘31 remainder 12’: Schoenfeld, 1987). Problems of this kind are not the same as those faced in life and are more simplistic; according to Maier (1980, p.21), “they are school problems, coated with a thin veneer of ‘real world’ associations” and school students recognise this. ‘Real world’ mathematics is infinitely complex and does not easily enter the classroom, which has its own cultural perspective, values and goals.
Moreover, embedding tasks ‘in context’ does not necessarily provide learners with any extra handle on mathematical meanings; it might well evoke confusion in the form of more than one set of meanings, practices and understandings (Noss and Hoyles, 1996, ch.2). The strategy of introducing real world contexts assumes general familiarity or understanding of the context and is problematic also because no single task context can be familiar and meaningful to all students. It ignores the intricate relationship between an individual’s own social and cultural values and previous experience, and his or her mathematical goals and beliefs; it continues to underestimate the importance of task context and the myriad of individual interpretations and forms of interaction with tasks as students struggle to construct their own meanings in different situations (Boaler, 1993; Murphy, 1995). Task context is incorrectly expected to influence motivation but not mathematical procedures and performance. Learning mathematics in realistic contexts is assumed to be easier and to promote transfer to the students’ everyday lives. Boaler indicates that this assumption is problematic too because students must learn to ignore certain factors which would be pertinent in the real life situation whilst attending to others. Their tendency to bring in world knowledge deemed ‘irrelevant’ to the task is supported by other work, including the study of graphing by Preece (1993) referred to in section 2. A review of research into science learning by Murphy (1995) offers further evidence and contends that task context determines the link between students’ knowledge and its relevance in a particular situation. In sum, the intended task is often very different from that received. According to Boaler, transfer often fails because students do not perceive underlying connections; contexts can enhance transfer by encouraging such perceptions but only through stimulating interest in the mathematical idea or generating discussion and negotiation of the activity and its underlying structure.
What is important is the appreciation and understanding of the potential generalisability of what is learned and the resemblances to future problems. This appreciation can only come from an examination of the underlying structures and processes which connect experiences. (Boaler, 1993, p.15)
Thus contexts can provide an important source of motivation but will only enhance learning transfer to the extent that they make mathematics more meaningful to the individual. This demands that teachers recognise students’ own methods, values and experiences (social and cultural as well as cognitive), encourage students to analyse mathematical situations, and take account of individual differences in selecting contexts. Also of prime importance in making a context meaningful is spending some time on elaborating and discussing the context with students, perhaps even engaging them in prediction and speculation about the data. A successful example of this is Ansell’s (1988) investigation of variation insunrise patterns throughout the year with an enthusiastic group of year 11 students; the qualitative approach used was successful in motivating the students. In sum, achieving personal authenticity means that students must perceive the underlying rationale and value of their activity. Boaler (1993) points out that ‘real world’ tasks are devised by adults and usually based on
adult everyday life and workplace practice rather than student daily life. In this case, activities are authentic in both senses from the teacher’s or employee’s view but less ‘real’ to students.
There are a handful of exceptional curriculum development projects which build on the situated cognition framework and apply its notion of flexible, authentic problem solving to school mathematics. The exemplary Middle-School Mathematics through Applications Project (MMAP) uses various technologies in activities based on real world applications, e.g. students take the roles of designers of a research station in Antarctica (Goldman, 1994). Another is the Jasper Problem-Solving Series of ‘contextually anchored’ mathematics and science problem-solving tasks, a computer system incorporating interactive video of rich problem-solving situations; learners identify or generate their own problems and subgoals collaboratively (CTGV, 1992).
Brenner (1996) reports a study of seventh and eighth graders engaged in a 5-week investigation of student preferences for different pizzas, involving assessment of orders and invoices for equipment, advertising, nutritional content, profit and loss (the “Pizza Unit”). The mathematics in context included data collection, graph and table construction and interpretation, equation generation and formulae for area. The students demonstrated their everyday knowledge of mathematics and this sometimes formed an effective candidate for more formal mathematical reasoning. However the results highlight the problematic and challenging aspects of trying to incorporate everyday mathematics into the curriculum; it is irrelevant to students unless teachers bring it to the fore. They need to make informal mathematics an explicit part of classroom discourse, with enthusiasm, modeling and elaborating written material using examples of how problems relate to personal experience and local circumstances.
Of most relevance here is the indication that innovative uses of portables as described in the report by Stradling et al. (1994) tend to incorporate more meaningful activities. The authors give an example of newly generated enthusiasm when a spreadsheet activity was changed to a more practical exercise - a budget for the Christmas party; the primary school students relied less on written calculations and became more willing to extend the spreadsheet to other purposes. Several of the examples of work carried out in classrooms involved in the NCET scheme and some of the other studies outlined throughout this review also demonstrate how portable technologies lend themselves to more authentic activities. We have seen how students’ work with these tools, even where it begins with a relatively prescribed task, will often take off spontaneously in new directions; students can rapidly become engaged in extensive follow-up investigations. Unfortunately the mathematics NC is slow to develop in this direction, the only apparent concession being an attempt to make the Programme of Study for algebra at Key Stages 3 and 4 more palatable via frequent references to ‘real-life situations’ (DFE/WO, 1995b, p.15). The only reference to real-world situations in the latest specification for the ‘A’ level mathematics core curriculum concerns mathematical modelling (SCAA, 1997). It therefore remains up to imaginative teachers, students and researchers to continue the pioneering work which already offers considerable potential for engagement in meaningful activity.
A final and rare example of innovation is the course MU120 at the Open University, mentioned in section 3. This course takes a radically new approach to mathematics learning by introducing mathematical ideas in meaningful and accessible contexts. The course was designed for (and successfully attracted) those with rusty or limited mathematical knowledge; it aims to build confidence and engage students in using mathematics, and to encourage question posing rather than answering: questions are formulated before data from real world situations is collected or presented, analysed and interpreted (e.g. statistical investigations in contexts of health and economics; maps, art, baking, motion). The range of graphing contexts goes beyond the traditional restriction to the two categories of travel and growth. Some of the materials could be adapted for use by younger students too (as the conceptual level is similar to ‘A’ level syllabuses). Indeed a pilot evaluation of a small number of secondary school students who studied the course during 1996 (alongside their conventional ‘A’ level work) shows that it successfully heightened the students’ awareness of the
uses of mathematics, altering their perceptions of mathematics from numbers or textbook examples to “mathematics all around them” and how it “fits into everyday life” (Allen, 1997). The MU120 materials provide an exciting and wide range of applied activities for research purposes.
6. Cooperative use of portable computers
We turn now to another important issue in designing classroom activities for use with portable computers; the role of collaboration in facilitating learning. There is a wealth of research on the benefits of cooperative and collaborative learning and this has been reviewed at length elsewhere (including by the author in Hennessy & Murphy, 1998). Much of it focuses on computers, using the software either as a background context for student interaction (e.g. Moschkovich, 1996\(^{41}\)), or specifically to structure collaboration, or as a critical mediator of social interaction (Noss & Hoyles, 1996, ch.6). Despite theoretical differences between these views, work in this area generally converges on the conclusion that computers can stimulate valuable discussion between students.
The research literature has clear implications for planning activities for students working with technology. For example, the group needs a shared goal and to work as a group, not merely alongside each other. The findings of the *Groupwork with Computers* project (Pozzi, Healy & Hoyles, 1993) imply that the optimal scenario for learning is for students first to engage in mutual discussion with peers whilst interacting with the computer, then coming across the perspectives of other students during whole group discussion. Having a public prediction phase (followed by checking) is believed to be motivating where conceptual development is the aim (e.g. Howe et al., 1995); students become interested to determine who is correct. Recent work by Hale (1996) draws on Roschelle’s framework for how collaboration between students using graphical simulation software can promote ‘convergent conceptual change’: discourse can accomplish gradual convergence of meaning both between students and between informal and scientific concepts (Roschelle, 1992). Hale’s work with the Calculator-Based Laboratory proved partially successful in improving understanding of graphs but indicated that discourse between students can actually reinforce or provoke new misconceptions unless it is followed by a well-organised teacher-led discussion giving students an opportunity to repair their misconceptions. Moschkovich’s (1996) studies of the rich descriptions of the discourse between three pairs of high school students using graphing software to explore the connections between linear equations and their graphs concluded that students must address conflicts, resolve negotiations and maintain a focus on mathematical productive paths of investigation and questioning, for collaboration to be constructive.
The advent of portable technologies raises some unique issues regarding collaborative investigations and it is these we are particularly concerned with here. It must be acknowledged that portable computing requires a shift in classroom organisation since becoming carried away with the notion of one machine per student could mean that the benefits of student interaction are lost (Goldstein, 1994). Even though NCET (1993) happily predict that the ratio of students to computers will reach 1:1 during the 1990s, they express a small element of caution: “Not every technological advance means an advance in learning - 30 students sitting at 30 desks working at 30 ‘electronic slates’ is no way forward” (p.29). Apart from educational and social considerations, most portable computer screens can only be viewed comfortably from particular angles; while this facilitates student privacy, groups can find them difficult to use (Cloke, 1996), although this will probably improve. Goldstein concludes that teachers will continue to need to work with a large group around a single computer sometimes. Desktop machines may still play a role in the classrooms of the future.
\(^{41}\) Moschkovich is one of the few authors who addresses the detailed processes underlying peer collaboration.
Our own and others’ experience of the NCET scheme (Arc, Autumn 1994, p.21; Bowell et al., 1994) confirms that students working with portable computers spontaneously share information and expertise, both within and outside lesson time. (Technological problem solving in general appears to foster a culture based on cooperative learning far more successfully than ordinary book-based schoolwork does.) It is possible to teach a whole class a new technique by demonstrating it to one or two individuals (Bowell et al., 1994). In the Pocket Book pilot study there was a notable ‘cascade effect’ during every session observed whereby knowledge, skills and information about the machine’s features were rapidly shared with other members of the group. On several occasions the observers witnessed small learning groups which had formed naturally to teach each other how to use the various Pocket Book facilities. Any student encountering a problem using the Pocket Book was more likely to consult peers rather than the teacher or the manual, except as a last resort (Fung et al., 1995). The degree of co-operative learning taking place within the tutor groups was in fact reflected in the finding that the Pocket Books were considered easy to use.
Peer tutoring was commonly observed in the primary and secondary schools in the NCET scheme. Bowell et al. (1994) pointed out that helping each other made students feel valued and raised their self-esteem. Some students previously viewed as disruptive or low achieving became motivated and respected members of the class as a consequence of their newly developed expertise. It is not only IT expertise which develops: some teachers found that students working with portables collaborated more and were more productive. Some noted that students, particularly those of primary age, were happier to work in pairs on the machines. The scheme also showed that students could write creatively in small groups by passing the palmtop between students (Stradling, Sims & Jamison, 1994, ch.2). While some of the learning activities described by teachers could have been undertaken using desktop machines, portables were preferred because they offered more opportunities for interaction. Bowell et al. (1994, p.24) concluded: “Far from discouraging verbal communication and collaborative working, the use of portables has provided opportunities for communication at a level that could not have been envisaged.” Parents’ and others’ fears that portable computing would evoke social isolation have proven unfounded. Further evidence derives from the Australian experience. Loader (1993) asserts that peer learning played a new and major role when all students aged 9-10 were issued with personal laptops. He claimed that much informal classroom dialogue became work-focused rather than socially oriented.
As we will see below, a gender issue arises because research shows that working alone at computers can alienate girls, who tend to enjoy and benefit from collaborating (Underwood, 1994, ch.2); the superior social skills they develop from a young age offer them an advantage in working together in school (Murphy, 1998). Boys, by contrast, may fight for control, and they view collaboration as distracting from individual achievements (Sutherland and Hoyles, 1988). In the case of the smaller portable technologies - palmtops and GCs - which have smaller keys and screens than conventional computers, there may be a case for encouraging cooperation between students each working on their own machine. Smart (1992) observed that while this setup enables students to experiment and make mistakes in private, much involved mathematical discussion still develops and collaborative working can be encouraged through investigative tasks. An example is offered where collaboration is the most efficient way of working (using different calculators for different aspects of the task). However Smart (1995) successfully organised her research class into pairs sharing GCs and found that the girls not only shared the machines but collaborated in their planning and shared their findings with their partners and classmates. Underwood (1994) similarly observed that girls organised into pairs tended to work well as a team, whether they were instructed to collaborate or work individually.\(^{42}\)
With either kind of organisation, the cooperative element serves to pre-empt feelings of exclusion and incompetence by less confident students or indeed teachers. It may also overcome the
\(^{42}\) Pairs of boys were able to collaborate successfully but performed poorly when instructed to work individually.
perception, particularly by girls, that computing is an unsociable activity. Successful groupwork appears to allow students to transcend gender stereotypes (Pryor, 1995).
The next section presents further discussion of the gender issues which necessitate consideration in planning computer-based activities, including differential attitudes and approaches to using technology. Specifically, the potential benefits of portable computing for increasing girls’ participation and engagement in computer activities are considered.
7. Gender issues in portable computing
Use of and attitudes to computers
Surveys of the literature (notably, Beynon, 1993; Hoyles, 1988; Kay, 1992; Robertson et al., 1995b) indicate a research focus on differences in *attitudes* and *access* to computers and in performance on computer tasks, generally converging on the conclusion that males of all ages are more dominant and more positive towards computers, although there are some exceptions (e.g. Loyd, Loyd & Gressard, 1987; Pozzi et al., 1993). Evidence for (physically and verbally) dominant behaviour by boys in mixed-sex groups and poor performance by girls indicates that boys may become more enthusiastic as a consequence (Culley, 1988; Kirkup, 1992; Underwood, 1994). Mixed-sex grouping undermines the confidence of girls and their perceived competence, however. As Underwood (p.9) put it, “Boys, girls and computers are a dangerous combination... because the boys see themselves as the rightful and superior users of the technology.” Computing has become defined as an activity more appropriate to males (Culley, 1988).
Various different reasons for the gender gap have been proposed, including socialisation and gender stereotyping; consequent peer pressure, adult role models (most parents and teachers using computers are male: Culley, 1988), teacher bias and parental attitude; and an interaction with socio-economic status (Kirkman, 1993; Millard, 1997b). Resulting differences in *access* to computers may be the most important factor; boys certainly use them more often at home than girls, most computers are bought for males (e.g. Culley, 1988; Kay, 1992) and boys receive more parental encouragement than girls (Millard, 1997a). Although use within lesson time is equivalent, school computer clubs are dominated by boys too (Siann & MacLeod, 1986). Prior computer exposure, particularly home access (and therefore parental attitude), influences affective and cognitive attitudes towards computers more than gender (Levin & Gordon, 1989) and more than school use (Kirkman, 1993).\(^{43}\) Thus attitudes formed at home probably dominate students’ attitudes to computers, both generally and at school. Confident users - mainly boys - compete more strongly and more successfully for computer time.
The importance of home access and adult modelling of opportunity is corroborated by a recent study of 190 students aged 11-14 by Millard (1997b). Interviews determined that some boys acted as computer bouncers at home, restricting access to their sisters and expressing dismissal of girls using their machines. Questionnaires indicated that while actual computer provision appeared to be approximately equivalent, more than twice as many boys had computers situated in their own rooms. Millard claims that gender differences in the ownership and control of machines can be overcome by family shared machines and computer literate parents who use computer programs themselves for work; these are rare in less affluent households. In sum, students bring with them to school firm ideas on what aspects of computer literacy are most appropriate to themselves and boys’ views are more intractable than girls’ (Millard, 1997a).
\(^{43}\) Joiner and Norgate (1997) found that both computer experience and background knowledge about a problem-solving task were important in explaining better performance by boys than girls.
The nature of use may confound the apparent sex difference in use of computers if use for entertainment is included. The NCET questionnaire survey of over 500 students yielded no significant differences in the use of different features of the portables; both sexes used the machines for homework but boys were twice as likely to use them for purposes other than schoolwork such as playing computer games (Stradling, Sims & Jamison, 1994, ch.3). The questionnaire data from 61 students in the Pocket Book project indicated that boys and girls had equal use of a computer at home, once games machines were ignored. However boys were 10 times more likely to have sole access to computers and they used them significantly more often. Robertson et al. (1995b) interpreted this to mean that girls see computers as less effective instructional devices than boys. This finding is supported by Siann and Macleod (1986) and Turkle (1984), who suggest that girls are less interested in conventional uses of computers than boys. The gender difference begins to emerge at a very early age and persists through secondary school. However, Millard (1997b) claimed that when given free access and encouragement for using the technology, girls did not find the machine culture alienating but adapted it to their own purposes and interests. These girls were enthusiastic about using computers to support school work.
Portable technologies may provide a different picture in any case. Robertson et al. (1995a) found that girls and boys displayed the same overall pattern of use of the Pocket Book for homework, for personal use, for different applications and in different subjects. Similarly, the NCET survey found that girls were as positive as boys about the use of portables, so perhaps these personal machines are more appealing to girls than desktop machines. Additional support comes from the London Docklands Project: despite no significant differences between girls’ and boys’ attainment before the project, girls’ reading levels improved significantly more than boys’ did (National Literacy Association, 1996).
Girls also outperformed boys on a symbolising task used in the Graphic Calculators in Mathematics project - although boys in the control group performed better than girls, ostensibly because using GCs regularly reduces uncertainty and anxiety (Ruthven, 1990). The attitude survey by Dick and Shaughnessy (1988) provides further evidence that girls’ initial anxiety about using GCs shifts over time towards a view of calculators as making mathematics enjoyable and easier. Calculator use offers greater exposure to symbolised graphic images which is believed to increase both competence and confidence of students, particularly females, on such tasks. Work by Smart (1992) confirms that GCs may benefit girls because they value the opportunity to use more personal forms of technology (concealing mistakes from their computer-literate male peers), and the processes of investigation and discussion lead to unusually high levels of confidence about their work. Similarly, Dunham (1991) observed an interaction between gender and confidence whereby low confidence females were the most likely group to use GCs and high confidence females the least likely. Furthermore, the final report from one school in the NCET scheme pointed out that boys dominate more where access to technology is limited. Male computer experts lose their power when portables are used since girls quickly match their expertise. These findings suggest at least that these new technologies offer no advantages to males, and they may be instrumental in overcoming girls’ feelings of inadequacy and “learned helplessness” (Licht & Dweck, 1985).
Computer experience is clearly related directly to student attitudes to computers (e.g. Kirkman, 1993; Levin & Gordon, 1989; Loyd et al., 1987) but it is uncertain whether frequent use promotes a positive attitude, or vice versa. Robertson et al. (1995a) predicted that students’ experience of using computers should lead to changes in attitude over time and this was supported by their questionnaire data. Pre-test scores indicated that girls felt significantly less confident about and less competent at using IT; they were less positive about the role and effectiveness of computers and would be less likely to work with computers and learn about them. These differences were probably due to the boys’ greater previous experience of computers. In contrast with previous research, there were no differences in anxiety or enjoyment however. After 8 months of Pocket Book computing and similar experiences with other computers in school at least, there was a striking effect: gender differences had all disappeared except on the confidence subscale (even here, the difference was reduced).
Further evidence comes from the PLAIT project questionnaire results reported by Gardner et al. (1994), where the experimental girls enjoyed mathematics significantly more than their control counterparts while the boys showed an opposite trend. The authors raise the question of whether girls’ typical dislike of mathematics is positively influenced through using portable computers; the experimental girls’ perceptions of school were also significantly more favourable than in the control group of girls.
**Female-friendly technological activities**
Research in the area of IT and gender issues indicates that tasks may contain gender biases which can elicit attitudinal and performance differences (Littleton et al, 1992). While boys may be unaffected by task format and context, girls are considerably more sensitive to even slight changes; Littleton et al. found that girls engaged much better with a planning task involving ‘Honeybears’ than the same task with ‘King’s men and pirates’ as characters. In a later study, girls preferred a female stereotyped version of the software (‘Princesses’) and performed better with it, whereas boys were motivated regardless of the software (Joiner et al., 1996). The authors concluded that software should be designed for girls. Unfortunately, teachers apparently make little effort to accommodate girls’ interests in devising curriculum materials (Culley, 1988). Millard (1997b) confirms that the persistent gender differences in attitudes to computers around the world indicates a failure in the way gender issues are being addressed and tackled in schools.
There are some further hints about how to avoid gender stereotyping and bias, ensuring that technology-based tasks are female-friendly, from Burke et al. (1988), Carmichael et al (1985), Hoyles (1988), Licht and Dweck (1985), Pryor (1995) and Shoaf-Grubbs (1995): open-ended tasks with loosely-defined goals and similarly, teacher as participant rather than dictator; cooperation rather than competition; emphasis on process rather than outcome; minimal tension between computer and other school work, through curriculum-focused courses and computer activities which follow up previous non-computer work; lack of time pressure; peer evaluation. In the case of the complex GC, it is also important to provide user-friendly materials specially for the calculator and to encourage girls to familiarise themselves with the machines at their own pace (Smart, 1995).
Building confidence is extremely important for girls, who unsurprisingly benefit from student autonomy, including in organising resources, and from positive female role models, as in the SMILE mathematics scheme (Burke et al., 1988).
Turkle’s work (1995) implies that the nature of students’ introduction to computers - as well as the content of software - should be carefully considered. One factor is that girls in single-sex schools demonstrate far more enthusiasm for and participation in computing activities; male domination and girls’ apparent disadvantages (including cognitive ones: Siann et al, 1990) might thus be reduced if single-sex groupings are used (Culley, 1988). This is contentious, however (see Hughes et al., 1988, for a conflicting result); ability and personality factors may be more important (Pryor, 1995).
The new activities developed for the OU course MU120 (described earlier) certainly seem to appeal to women. The course team’s deliberate attempt to broaden access to women (e.g. by gently building up complexity of carefully selected tasks and setting activities within everyday contexts) has been spectacularly successful: the proportion of women students enrolled in the first year more than doubled that of the previous foundation course (from 23% to 49%), and actual numbers of women increased by about 28%. Moreover, women achieved more and persevered for longer: only 28% failed the course or dropped out compared with 42% of men, and as with the previous course, twice as many women (20% versus 10% men) gained a distinction. However, the numbers of men who registered for MU120 dropped significantly - to just under half of the previous number - and the proportion of men who failed or dropped out increased during the new course (from 29% to 42%). Men may have been attracted to other more traditional or higher level courses instead. It would be worrying if the women’s success was instead directly at the expense of the men’s; this is an issue
which needs addressing.
Some evidence that real world contexts are particularly attractive to females comes from the first small group of secondary school students to study MU120. The female students asserted that the “stress on real uses of mathematics” motivated them most to study the course whereas males reportedly “needed the mathematics for other courses” (Allen, 1997). However this sex difference was not apparent in a larger survey of 96 adult MU120 students (average age 35 years) over the first two years of the course. The results showed that “wanting to know more about mathematics” was the predominant source of attraction to the course in both sexes and “real uses of mathematics” was rated third (Allen & Mason, 1997). These findings do not explain why the course appeared far more accessible to women than its predecessor and this would benefit from further investigation. (Use of the GC does not seem to be the influencing factor since preliminary results of a questionnaire survey by the author and her colleagues indicate that the calculator was viewed as equally user-friendly and supportive of mathematical learning by male and female MU120 students.)
**Gender and engagement in computer activities**
Anecdotal evidence from a number of authors (Carmichael et al., 1985; McFarlane, 1995b; Pryor, 1995; Smart, 1992; Turkle, 1995), including our own informal observations during the Pocket Book project, confirm that there is a striking gender difference in the *nature* of computer use: girls will use computer technology only if it has clear relevance and a recognisable advantage. Boys, on the other hand, are more interested in exploring and discovering new facilities. (This phenomenon will be explored further by Hennessy in a forthcoming paper.) Turkle’s research with college students shows that many women (and some men) have in fact felt alienated from the computer (Turkle, 1984; Turkle and Papert, 1990). Support comes from several authors (e.g. Culley, 1988) who have commented that many girls do not perceive computer activities and games as related to their own interests.
The educational research findings reported here are reflected in the wider technological society, where there is an overwhelming bias towards production of software which is specifically male-interest orientated (Frenkel, 1990). The software industry believes that targeting the female market through advertising would have an undesirable effect upon the male market. This culture understandably produces feelings of unease for women.
Siann and Macleod (1986) stress that if students are to familiarise themselves with technology and view it as a useful resource that will continue to play an increasing role in their lives, then we must not alienate girls any further. Parents have a role to play here too - in providing girls with access to home computers and software tools, as well as role models and encouragement. Fortunately, the computer culture may now be changing - away from a requirement for programming skills towards an emphasis on exploratory interaction; it seems to be rapidly becoming more accessible to women (Turkle, 1995; Kirkup, 1992). The limited evidence concerning portable computers corroborates this proposed shift, which warrants further empirical investigation. Studies of gender differences in perceptions of and interactions with portable technologies may provide some insight or highlight some new issues.
**8. Conclusion**
Our starting point was the proposition by Leinhardt et al. (1990, p.7) that “More than perhaps any other early mathematics topic, technology dramatically affects the teaching and learning of functions and graphs”. This review of the literature indicates that graphing technologies, portable ones in particular, present a compelling opportunity to help students develop understanding and skills in a
traditionally difficult curriculum area.
Portables are becoming increasingly popular in schools for a variety of reasons: they offer tremendous flexibility; increased access to IT and significant practical advantages over conventional desktop computing; personal ownership and opportunities for more independent, investigative learning across the curriculum; improvements in the quality of work produced by students; increased student motivation; a supportive environment for female styles of working and stimulation of productive collaboration between students. They are a potential catalyst for curriculum change, already forcing educators to re-evaluate what and how they teach with respect to graphing. The present National Curriculum in the UK will remain unchanged for 5 years but revisions are expected in 2000, when portable computers may perhaps play a greater role. Research is needed now to establish how the potential of this powerful tool may be exploited and to guide the introduction of future forms of portable technology into education.
The PIGMI (Portable Information Technologies for supporting Graphical Mathematics Investigations) Project currently being undertaken by the author and her colleagues, Pat Fung and Eileen Scanlon, at the Open University is addressing this challenge through a series of pilot studies with secondary school and Open University students. Using classroom observation, interviews, questionnaires and written records of graphing activities, we hope to shed some further light on the role which portable computers and graphic calculators can play in facilitating development of graphing concepts and skills. The main objectives are to investigate how these technologies mediate learning to handle graphical representations (establishing their strengths and weaknesses in this context), to identify the role of multiple representations in learning, and to develop and test appropriate activities involving investigations of real world problems.
ACKNOWLEDGEMENTS
Thanks are due to my colleagues Eileen Scanlon and Pat Fung at the Open University for their involvement in the PIGMI Project work which resulted in this publication, and to all those researchers who kindly responded to my requests for papers and information. Thanks are also expressed to Kenneth Ruthven for his helpful comments on an earlier draft, and to Hansa Solanki for her painstaking effort in chasing references and preparing the bibliography.
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Make a reminder of where Jesus came from and why His Father sent Him to earth for us.
**What You Need:**
A white (or yellow) paper plate (dessert size).
Pencil.
Scissors.
Yellow and red crayons or markers.
Yellow cotton balls or pom-poms.
Glue.
**Finding Jesus** “Of old hast thou laid the foundation of the earth” (Psalm 102:25).
**Directions:** Color the inside of the paper plate to represent Heaven. Fold the paper plate in half. On the fold, draw a half of a cross at the bottom. Look at the sample below. While the plate is folded, cut on the lines. Ask Mom or Dad to help you. Do **not** cut the bottom of the cross. Open the plate and color the cross red. Fold the cross forward so it stands up. Gently pull apart the cotton balls (fluff) or use yellow pom-poms and glue to the plate to remind you that Jesus came from Heaven to earth and died on the cross for our sins.
Did you ever think about where Jesus was before He came to earth as a baby? Because we were born as babies, sometimes we think that is when Jesus’ life started. But Jesus was alive long before He came to earth.
Jesus lived in Heaven with God because He is God’s Son.
We learned that God has no beginning and no end. He always was; He is now; He will be forever. Because that is how God is, His Son, Jesus, is that way too. Jesus has always been with God; He is with God now, and He will always be with God.
That is hard for us to understand. Everything here on earth had a beginning. We all had a beginning. And eventually, everything on earth dies.
In the Bible, Jesus’ disciple John calls Jesus “the Word.” He wrote that Jesus was with God and was God and was in the very beginning with God. Jesus helped God create everything on the earth.
John 1:10 says the world was made by Him. Imagine! Jesus made elephants, lizards, flowers, beans, Adam and Eve! He was right there with God.
In John 1:14 we learn that Jesus became human like us and was born as a baby on the earth, just like us. Why did God send His Son here? We know it was to be our Savior. He came to rescue us from our sin. He is the only One Who could do that, because He is God’s Son.
David was so excited he didn’t think he could wait another minute for Christmas to come. Mother was baking cookies in the shape of stars and angels while she played Christmas music he could hear all over the house. Every day the mail carrier brought cards with beautiful pictures. The Christmas tree was so tall it almost touched the ceiling. David liked to sit by the tree and look at the presents wrapped in red, white, green, and gold paper. Some presents had his name on them.
On the piano, there was something Mommy called “a manger scene,” but Daddy called it “God’s Christmas Present.” David didn’t know why he called it that. It wasn’t wrapped in Christmas paper. There was a little building called a stable and figures of Mary, Joseph, baby Jesus, sheep, a donkey, and some shepherds.
One day Daddy and David were looking at the figures. “Why do you call this ‘God’s Christmas Present?’” asked David.
Daddy picked up the baby Jesus figure. “This represents the gift God gave us,” said Daddy. “He loved us so much that He sent us His Son, Jesus. He came from Heaven to live on earth.”
“So Jesus was a baby in Heaven too?” asked David.
“Oh no, Jesus was the same as God in Heaven. In fact, He created the world and everything in it. I know it is hard to understand, but Jesus always was with God. He did not have a beginning or an end,” Daddy explained.
“God’s present to us was to send Jesus to earth to grow up and die on the cross to save us from God’s punishment for our sins. When we ask Jesus to be our Savior from sin, God says we can live in Heaven with Him someday when we die. Now do you understand God’s Christmas present?” asked Daddy.
“Yes,” said David. “And I’m going to accept His present and thank Him for it right now.”
Wreath Reminder
Your child has learned that God has no beginning and no end. He learned the meanings of the words “everlasting” and “eternal.” Because Jesus is God, the same is true of Him. To reinforce this, consider using a Christmas wreath. The wreath is made of evergreen which symbolizes eternal life. Evergreens are always green, even in winter, as opposed to other trees which turn brown and drop leaves. The traditional circle shape represents God (therefore Jesus) as having no beginning and no end.
Secure a wreath for the project (any size).
The other emphasis in today’s lesson is that Jesus, as God, was the Creator of the world and all things in it. Work with your child to find or draw pictures of Creation (cut items from old cards or magazines), such as any of the animals, planets, plants, sea, etc. Mount on card stock, punch a hole, and tie a string or ribbon to each picture. Mount on the wreath.
You and your child should be prepared to answer questions about the meaning of the wreath.
Growing at Home
That Jesus is God and always has been is a difficult concept even for adults to understand. That Jesus came to earth as a human and grew to be a man in the same chronological order that we do is also a hard concept. Your child may ask you questions about how Jesus could be God and Man at the same time. Was Jesus still God when He was a little boy? Is His name Jesus in Heaven? Why didn’t He live forever on earth? Be prepared to answer him truthfully and from Scripture. Young children trust you to tell the truth and will accept your answer. Don’t disappoint them.
Measurables
Look for the following indicators that your child understands Jesus’ position in Heaven and why God sent Him to earth.
1. My child understands that Jesus was never a baby in Heaven.
2. My child knows that Jesus is God’s Son.
3. My child is learning that Jesus is the same as God.
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Northeastern Local School District
2024/25 Preschool Parent Handbook
Dear Parents,
The Northeastern Local School District staff is excited to begin a new school year. We welcome the opportunity to work with students and their families and sincerely hope that this year will be a positive and enriching opportunity for all.
Our program provides age-appropriate education for children ages three to five years old who are typically developing or have special needs. This education is guided by the Ohio Academic Content Standards for Early Learning and School Readiness and is accessible to parents on the Ohio Department of Education website. Students with special needs also receive appropriate speech, physical, and occupational therapy as determined by the IEP team.
Northeastern Local School District staff members are licensed by the Ohio Department of Education in conjunction with the Ohio Department of Jobs and Family Services and participate in continuous professional development throughout the year. The Ohio Department of Education also visits each preschool classroom annually for licensure inspection. Compliance reports are posted in each classroom.
The Northeastern Elementary Preschool is a Special Education Preschool Program. There are two classrooms located at Kenton Ridge Elementary and Northeastern Elementary, each made up of 16 students (at full capacity typical students and 8 students identified with disabilities) per classroom. The Ohio Department of Education sets these parameters, and the District is not allowed to exceed them unless there is specific permission from the Ohio Department of Education.
This handbook has been prepared to serve as a resource for parents. Many questions you may have about the daily operation of our program will be answered in this handbook. If you do have a question or concern, please feel free to contact your child’s teacher or me. Each person working with your child is looking forward to the coming year.
Sincerely,
Steve Linson
Director of Pupil Personnel
Northeastern Local Schools
email@example.com
937-325-7615
# Table of Contents/Preschool Handbook
| Section | Page |
|------------------------------------------------------------------------|------|
| Cover | 1 |
| Parent Letter | 2 |
| Index | 3 |
| Preschool Building Information | 4 |
| Preschool Hours/Early Dismissal/Delay/Calamity | 5 |
| Preschool Philosophy & Goals | 5-6 |
| Parent Involvement/Parent Teacher Conferences | 6-7 |
| Child Information | 7 |
| Snacks | 7 |
| Attendance | 7 |
| Sick Children | 8-9 |
| Medication Policy | 9 |
| Immunizations | 9 |
| Parent Teacher Organizations (PTO) | 9 |
| Recess | 10 |
| Supplies | 10 |
| Transportation & Field Trips | 10 |
| Diapering | 11 |
| Diapering Policy | 11 |
| Toileting Needs | 12 |
| Developmentally Appropriate Program and Materials | 12 |
| Typical Preschool Day | 12 |
| Checkpoint Periods | 13 |
| PBIS/Behavior Management | 13 |
| Building Inspections | 14 |
| Child Transition Meeting Process, Policies, and Procedures | 14 |
| Concerns/Complaint Procedures | 14 |
| Fees | 15 |
| Child-Find and Identification | 15 |
## Additional Forms
- Healthchek Form
- Preschool and School-Age Child Care Medication Form
- Field Trip/Swimming Permission Form
- Serious Risk/Incident Reporting Form
- Preschool Transition Planning Meeting Form 2024-25
- JFS-01373 Transition Plan
Preschool Building Information
Kenton Ridge Elementary
2250 Montego Drive
937-342-4627
Rob Shaffer, Principal
Northeastern Elementary
140 West Main Street
937-346-0840
Lori Swafford, Principal
Preschool Staff
Steve Linson
Preschool Director
Stephanie Sturgeon
KR/ES Preschool Teacher
Emily Schafer
KR/ES Preschool Teacher
Jane McKeever
NE/ES Preschool Teacher
Morgan Gourley
NE/ES Preschool Teacher
Tara Slagle
KR/ES Preschool Paraprofessional
Kristin Crankshaw
KR/ES Preschool Paraprofessional
Michelle Helterbran
NE/ES Preschool Paraprofessional
Traci McDaniel
NE/ES Preschool Paraprofessional
Rachael Harvey
Preschool Psychologist
Carrie McGuire
Mental Health Therapist
Samantha Ark
Mental Health Therapist
Casey Patton
Behavior Specialist
Rita Fincham
Occupational Therapist
Julia Cook
Certified Occupational Therapy Assistant
Lori Phillips
Physical Therapist
Lindsay Brumfield
Speech Language Pathologist
Saundra Winter
Speech Language Pathologist
Feel free to access the Northeastern Local School District Preschool Webpage
Regular Preschool Hours
Preschool is in attendance Monday – Thursday. The hours are as follows:
Kenton Ridge Elementary Preschool
AM 7:45 – 10:30
PM 11:15 – 2:00
Northeastern Elementary Preschool
AM 7:45 – 10:30
PM 11:15 – 2:00
Two-Hour Delay Schedule
This schedule will only be in effect when Northeastern Local School District is on a two-hour delay.
Kenton Ridge Elementary Preschool
AM 9:45 - 11:40
PM 12:10 - 2:00
Northeastern Elementary Preschool
AM 9:45 - 11:40
PM 12:10 - 2:00
Preschool Not in Session/Calamity Days - Weather-Related
NELSD preschool follows the decision of the school district or individual school buildings. Please visit the Northeastern Local School District website (nelsd.org) to be informed about cancellation decisions.
Preschool Philosophy
It is the philosophy of the Northeastern Local School District Preschool Programs to provide children with a foundation of developmentally appropriate experiences where children are encouraged to learn and be successful in a safe and nurturing environment. The learning experiences serve as a bridge between home and the school setting to channel their natural enthusiasm and curiosity to set the stage for future learning.
We believe that each child is a unique individual and that all children can learn. Our preschool programs provide an inclusive setting that recognizes children’s varied abilities, interests, needs, and learning styles.
We recognize that parents are the child’s first teachers. Children learn best when parents are involved in their educational programs. The primary bridge between home and school is the involvement of family and community. We believe children learn best through meaningful play. Our play-based, child-centered program reflects the integration of physical, cognitive, social, emotional, language, self-help, and aesthetic areas for the total development of the child. Open-ended, center-based play encourages curiosity, discovery, and problem-solving which allows individual growth and development of a positive self-image.
Preschool Goals
The goals of the Northeastern Local School District Preschool Program are to:
1. Provide preschool experiences that are developmentally appropriate for students who are 3 through 5 years of age.
2. Identify the needs, abilities, and interests of each child.
3. Develop and implement an appropriate instructional plan for our children.
4. Provide a caring, enabling, and enriching environment that encourages growth through independence.
5. Assist and support families in establishing a strong foundation of basic academic and social skills.
6. Monitor, assess, and report the progress of each child during the school year (2 checkpoint periods).
7. Facilitate a smooth and effective transition for each child into an appropriate program for kindergarten-aged children.
Students who are being transported to school by their parents or another caregiver should be at school by start time or they will be considered tardy. Parents transporting their children to school must follow building guidelines for arrival and dismissal. Please send a written note to school with your child any time there is a change in transportation.
Parental Involvement
Parental involvement in the student's education is encouraged and appreciated. Positive parent participation and feedback in the classroom can occur through attending parties, guest reading, parent surveys, assistance with centers, and many other ways teachers may suggest. Any parent of a child enrolled in the program will be permitted unlimited access to the school during its hours of operation to contact the child and evaluate the care provided by the program, the premises, or for other purposes approved by the director or principal. Upon entering the premises, the parent will sign into the office. It is suggested that arrangements for visits be made in advance whenever possible, especially when you wish to speak with teachers, therapists, or administrators.
Parent/Teacher Conferences
Parent/Teacher conferences will be held twice a year to discuss the developmental progress of your child. The lead teacher will set up the meetings and contact you with the date/time.
Child Information
Physicals must be obtained within 30 days of your child’s enrollment and updated **13 MONTHS FROM THE DATE OF THE EXAMINATION**, thereafter. The medical statement can be provided by a physician, a physician’s assistant or a clinical nurse specialist, or a certified nurse.
It is the responsibility of the parent to have the following information on file in the school office no later than the first day of attendance.
**Preschool Registration (Enrollment & paperwork to be completed on FinalForms)**
All forms must be updated and on file for our preschool programs. When a child is new or returning to our program, you will need to enroll or update their student account in FinalForms and complete the additional forms on the Northeastern Preschool Webpage.
The forms you will complete/update in FinalForms before attending school are as follows;
- New Student Registration Process
- Contact Information
- Demographic Information
- Additional New Student Information
- Request for Student Records
- Health History & Medical Profile
- Medications
- Injuries & Hospitalizations
- Past and ongoing Health Conditions
- Emergency Medical Authorization
- Transportation Information
- Acceptable Use Policy
- Movie Release Form
- FERPA Opt-Out Notice
- Student Media Release
- Field Trip Permission
- Preschool Oral Health Assessment
- Child Medical Statement
- Development and Education Goals for Step Up to Quality
- Preschool Federal Poverty Guidelines
Snacks
Each preschool classroom serves a snack to students daily. NE Preschool classroom snacks are planned according to ODE guidelines. They are as follows:
- Snacks shall be of quality and quantity to supplement food served at home so that the daily nutritional needs of the child are met in accordance with the required daily allowance as prescribed by the US Department of Agriculture.
Parents may provide snacks for birthdays, parties, and fun activities. Parents are encouraged to provide snacks with good nutritional value, and all snacks must be store-bought and in the original, sealed container. Please contact the teacher to ensure there are no food allergies and that an alternate snack can be provided.
Attendance
It is very important to begin establishing a routine for your child and attending preschool is a wonderful opportunity to begin this. Preschool meets Monday through Thursday, with no classes held on Fridays. If your child will be absent for any reason, please call the school to inform us of this absence. Parents must notify the school of an absence by calling the office between the hours of 7:00 a.m. and 8:00 a.m. for morning students or between 7:00 a.m. and 10:30 a.m. for afternoon students. Also, send in a note explaining the absence when your child returns to school. It is highly encouraged that your child attends preschool on a consistent
basis. If you would choose to withdraw your child from the preschool program, please contact the building secretary.
**Sick Children**
**3301-37-11 B2/Symptoms of Illness**
NELSD preschool staff will work with parents and school nurses to ensure that each preschool classroom is a healthy environment. Since illness is easily spread among young children, we ask that a child displaying any symptoms of any illness, such as a temperature or severe cold symptoms, remain at home rather than attending school. If a child displays severe symptoms while at school, parents will be contacted and expected to pick the child up from school early. **A child should be symptom-free for 24 hours before returning to school.**
The following guidelines have been provided by the Ohio Department of Education to assist parents in determining if a child should be kept home for illness:
A child with any of the following signs or symptoms of illness shall be immediately isolated and discharged to his parent or guardian. If these symptoms occur at home, please keep your child home because of illness:
- Diarrhea (more than one abnormally loose stool within a twenty-four-hour period)
- Vomiting one or more times with other symptoms
- Severe coughing, causing the child to become red or blue in the face or to make a whooping sound, coughing that won’t stop, coughing that is distracting to the learning process.
- Difficult or rapid breathing
- Yellowish skin or eyes
- Conjunctivitis (pink eye) Must be on antibiotics for 24 hours (bacterial) and/or no longer have yellow/green drainage (viral)
- The temperature of one hundred degrees Fahrenheit when in combination with other signs of illness without the use of fever reducing medicines
- Untreated/undiagnosed infected skin patch(es)/rash(es)
- Unusually dark urine and/or gray or white stool
- Stiff neck
- Evidence of lice, nits, scabies, or other parasitic infestation.
- Symptoms such as yellow/green drainage from eyes/nose/ears
Students may return to school once the symptoms have improved and they are fever/vomiting/diarrhea free for 24 hours, or have been on antibiotics for 24 hours or a doctor has released them to return to school.
**3301-37-11/Reasons to isolate and discharge at some point during the day**
A child with any of the following signs or symptoms of illness shall be immediately isolated from other children. Decisions regarding whether the child should be discharged directly or at some other time during the day shall be determined by the director and the parent or guardian. The child, while isolated at the program, shall be carefully watched for symptoms listed in
paragraph (B) (2) of this rule as well as the following: (a) Unusual spots or rashes; (b) Sore throat or difficulty in swallowing; (c) Elevated temperature; or (d) vomiting.
3301-37-11 B5/ Isolating and Discharging an Ill Child
A child isolated due to a suspected communicable disease shall be: (a) Cared for in a room or portion of a room being used in the preschool program; Within sight and hearing of an adult at all times. No child shall ever be left alone or unsupervised; (c) Made comfortable and provided with a cot. All linens and blankets used by the child shall be laundered before being used by another child. After use, the cots shall be disinfected with an appropriate germicidal agent, or, if soiled with blood, vomit, or other body fluids, the cots shall be cleaned with soap and water and then disinfected with an appropriate germicidal agent; (d) Observed carefully for the worsening condition; and (e) Discharged to parent, guardian, or person designated by the parent or guardian as soon as practical.
3301-37-11 C5 Notification to Parents: Exposed to Communicable Disease
Each program shall have a written policy concerning the management of communicable diseases. The policy shall include, at a minimum, procedures for notifying all parents of enrolled children who are exposed to a diagnosed communicable disease such as pink eye, ringworm, chicken pox, or lice.
3301-37-07 D4 Medication Administration Requirements
Legislation enacted in 1984 (Senate Bill 262) requires that a form is on file (Preschool and School Age Child Care Medication Form) at the school in order for school personnel to dispense any prescription or non-prescription medication. This includes such things as sunscreen or diaper lotion. No medications of any type can be given unless the appropriate form is on file in the office. A form can be picked up at the office or from the teacher. Each time medication is administered, a written record or log including dosage, date, and time shall be made. That record or log shall be kept on file for one year. Only employees who are health professionals or who have completed drug administration training may administer medication pursuant to section 3313.713 of the Revised Code. Medication shall be stored in a designated locked storage place, except drugs requiring refrigeration shall be kept in a refrigerator not accessible to children.
Immunizations
Ohio Revised Code requires all children to be immunized before beginning school. Written evidence must be submitted that a child has been immunized against mumps, poliomyelitis, diphtheria, pertussis, tetanus, rubeola, and rubella. If parents object to immunizations for “good cause,” a written statement must be presented to the school. Parents must supply the school with written documentation of immunization before the beginning of school.
Parent Teacher Organization (PTO)
The preschool would like to request representation in the school-wide parent-teacher organization from Northeastern Elementary and Kenton Ridge Elementary. Each organization meets monthly and if you are interested, please contact the preschool teacher.
Recess
The students will have an opportunity to have recess on the playground when the weather permits. Please be sure to dress your child appropriately for outdoor recess during the spring, fall, and warmer months.
Supplies
It is recommended that your child has the following school supplies:
- See School Supply List
- Change of clothing
- Diapers if appropriate
Please send in a spare set of clothes to be kept here at school in case of toileting accidents or spills. Please include underwear and socks. Mark each item of clothing with your child’s name.
Transportation & Field Trips
Transportation will only be provided as arranged by the school district. No child will be transported privately by a preschool staff member.
Field trips may be arranged by the teacher, principal, or director. District-arranged transportation and/or parent transportation may be used for these trips. From time-to-time children may participate in a field trip. Parents must provide written permission and will be informed of time, place, and transportation arrangements. Field trip participation is at the discretion of the parents. If your child will not participate, regular preschool programming will not be available that day. The preschool will schedule a field trip for the Fall and Spring. No child will be transported without a signed transportation authorization on file at the office.
Diapering
Typically, children are developmentally ready to be toilet trained between the ages of two and three. Children in the process of being toilet trained at home are supported with this in our preschool classrooms. Parents are encouraged to communicate with teachers about the status of their child’s development in this area. If a child is not toilet trained, our preschool classrooms do follow ODE requirements about diaper changing. These rules can be obtained at www.ode.state.oh.us/ece/ or upon request from the classroom teacher.
The use of potty chairs in the program shall be provided in accordance with all of the following:
- Potty chairs shall not be located in areas used for food preparation or serving or in areas not normally used for diaper changing or toileting.
- Potties shall be emptied, cleaned, disinfected, and rinsed with water after each use. The rinsing solution shall be disposed of in a toilet, not a sink.
- Disposable cloths used for cleaning potties shall be used once and disposed of in a plastic-lined covered receptacle. Reusable cloths shall be stored in an appropriate germicidal solution and held for laundering for no longer than one day.
Diapering Policy
- The changing of diapers will occur in a space that contains a hand-washing facility.
- The program shall provide disposable gloves for diapering; however, the use of hand sanitizer does not preclude the requirements of proper handwashing.
- When changing at a central diapering station, there shall be some type of disposable material between the child and the changing table surface. The material shall be discarded and replaced after each change.
- The diaper-changing area will be disinfected after each diaper change with an appropriate germicidal agent.
- A clean diaper supply will be readily available in a specific area.
- During the school day, soiled clothes will be placed into a plastic bag, sealed tightly, stored away from the rest of the child’s belongings, and out of reach of the children and sent to the parent.
- Soiled diapers to be disposed of by the program will be placed in a plastic-lined covered container which will be emptied, cleaned, and disinfected with an appropriate germicidal agent daily or more frequently as needed.
- Any product used during diaper changing on more than one child shall be used in such a way that the container does not touch the child. Any product obtained applied to a child shall be applied in such a manner so as not to contaminate the product or the container. Common containers shall be cleaned and disinfected with an appropriate germicidal agent when soiled.
- For the purpose of diapering, topical ointments and creams provided by parents shall fall under the same policy as all other prescription and non-prescription medications. Please see the medication policy.
- Diapers or clothing used during diaper changing and brought from the child’s home shall be stored in a space assigned exclusively for each child’s belongings. Soiled clothing and/or diapers shall be sent home daily.
Toileting Needs
- Unless handicapping conditions or health conditions exist, preschoolers will be toilet trained or attempts will be made upon admission.
- Disposable gloves, disposable mats, and a closed container for the disposal of diapers shall be provided at each site.
- All preschool staff members shall wash their hands with soap and running water after each diaper change or after assisting a child with toileting.
- Disposable towels or an air hand dryer shall be available at all times.
- Preschool staff members will assist with care for all toilet needs until the child is able to do so without being reminded or assisted.
Developmentally Appropriate Program and Materials
The instructional approach in preschool center-based classrooms is based on developmentally appropriate practices in early childhood education, as described by the National Association for the Education of Young Children. This work links early development research, with regard to how all children learn, to a “best practices” approach. We believe that high-quality early childhood programs provide a safe and nurturing environment that promotes the physical, social, emotional, and cognitive development of young children while responding to the needs of families.
The concept of developmental appropriateness implies age appropriateness and individual appropriateness. This recognizes predictable sequences of growth, the individual pattern, the timing of growth, and individual differences in personality. While Northeastern Local School District provides a learning environment that integrates typically developing peers with special needs children, there is a need to consider the varying ability levels within the classroom. Exceptionality appropriateness recognizes the patterns of needs and abilities that are characteristic of various developmental delays or disabilities. It is our goal to blend developmentally appropriate practices with age, individual, and exceptionality needs.
The Creative Curriculum has been adopted by the Northeastern Local Board of Education will be used to assist in the implementation of developmentally appropriate activities in the classrooms. The curriculum will be aligned with the Ohio Early Learning and Developmental. The areas of the Content Standards are Approaches Towards Learning, Cognitive Development, Creative Development, Language and Literacy, Mathematics, Physical Development and Wellness, Science, Social Studies, and Social and Emotional Development.
Indoor and outdoor play spaces used by the students will contain furniture, materials, and equipment of appropriate size and nature. Play materials to be used by the students will be arranged in an organized manner so that they may select, remove, and replace materials with minimal assistance. Activities and materials will be planned and implemented with the Ohio Early Learning and Development Standards and the student’s strengths and needs in mind. Activities and materials will be selected to meet the intellectual, physical, social, and emotional needs of the children.
A Typical Preschool Day
Each preschool teacher plans the daily schedule and activities in each preschool classroom. While each classroom has a different routine and setup, they both incorporate best practices into the lesson planning and play activities. Each teacher will integrate the following activities into the school day.
- Discovery time / free play: Student-initiated discovery and play is not only developmentally appropriate but also provides opportunities for students to learn many needed skills. Discovery time / free play invites the children to select from many meaningful learning centers. These centers may include a writing center, block area, dramatic play center, math and science centers, and sensory activities. Each of these centers allows children to initiate their own learning while interacting with problem-solving, exploring, and creating. Your child’s teacher will be capturing information and collecting data from the free play as every station has a purpose and objective based on the preschool early childhood standards.
• Circle time: Teachers use circle time to introduce new topics, reinforce topics already taught, and incorporate routine into each child’s day. Circle time activities include calendar and weather time, music and fingerplays, reading multiple books, gross motor activities, student sharing, language activities, and many more age-appropriate activities.
• Snack: Snack provides another wonderful opportunity for students to initiate interactions with their peers and adults in a less structured setting. It also allows teachers to discuss the importance of manners and healthy eating.
• Your child’s teacher will be capturing information, taking notes, collecting samples of writing (s) and drawing (s), and taking photos/videos throughout the year. They will compare the information collected to what research tells us of what can be expected of children of similar ages. Also, the teacher will use the information to support your child’s learning and meet his/her individual needs.
**Reporting Periods**
Your child’s teacher will be capturing information, taking notes, collecting samples of writing (s) and drawing (s), and taking photos/videos throughout the year. They will compare the information collected to what research tells us of what can be expected of children of similar ages. Also, the teacher will use the information to support your child’s learning and meet his/her individual needs. There will be two reporting periods throughout the school year and a report will be sent home at the end of each period.
1st Reporting Period: End of First Semester
2nd Reporting Period: End of Second Semester
**PBIS/Behavior Management**
PBIS stands for “Positive Behavior Interventions and Supports”. The state of Ohio has adopted this framework for behavior management. One of Northeastern Local Schools’ district initiatives is to implement PBIS support in all buildings. Each classroom teacher is responsible for behavior management within his or her classroom. These behavior management plans will include motivations for appropriate behavior and consequences for inappropriate behavior.
• No discipline will be delegated to any other child.
• No physical restraints or seclusion will be used during behavior management to confine a child by any means other than an adult holding a child for a short period of time, such as in a protective hug, so the child may regain control. No child shall be placed in a locked room or secluded in an enclosed area, such as a closet or box.
• No child shall be subjected to profane language, threats, or derogatory remarks.
• Discipline shall not be imposed on a child for a failure to eat, sleep, or having toileting accidents.
• Techniques of discipline shall not humiliate, shame, or frighten a child.
• Discipline shall not include withholding food, rest, or toilet use.
• Separation, when used as a discipline, shall be brief in duration and appropriate to the child’s age and developmental ability. The child shall be within sight and hearing of a staff member.
**Building Inspections**
A copy of the Building Inspection Reports can be obtained at the Northeastern Board of Education Office at 1414 Bowman Rd. Springfield, Ohio 45502.
**Child Transition Meeting Process/Policies and Procedures**
Transitions are a natural part of the preschool experience. The district has formalized the transition process to support children in successfully transitioning from one classroom or program to another. When a classroom transition is anticipated, the child’s current teacher will contact the parent to discuss the upcoming transition. The teacher will invite the parent to participate in a meeting to discuss the upcoming transition. If feasible, the receiving teacher and the Preschool director) will identify strategies to support the child in making the transition, discuss any factors that may impact the transition, and discuss the timeline for the transition.
The teacher will document the discussion and transition on the *NELSD Preschool Transition Planning Meeting Form & JFS 01381*. The parent and receiving teacher will each be given a copy of this form.
If a parent is not able to or does not wish to attend a transition meeting, the child’s current teacher will make recommendations as to strategies to support the child in transitioning and send a copy of the NELSD Preschool Form to the parent. Parents are offered the opportunity to provide feedback to the teacher in writing or via phone if they are unable to attend.
**Concerns/Complaints About ODE Licensed Programs**
Parents who have a concern about their child’s education or classroom should contact their child’s teacher to discuss this concern. The only exception to this would be a complaint concerning transportation. For transportation complaints, contact the Transportation Office. If an educational issue remains unresolved after speaking to the teacher, please contact the building principal.
You may also contact the Ohio Department of Education at 1-877-644-6338 or fill out a *Serious Risk Reporting Form*. The Ohio Department of Education is responsible for investigating complaints or grievances. These numbers are also posted in the Preschool classroom.
If you still have concerns after speaking to someone at each level, you may contact the Ohio State Ombudsman @ 614-644-6338 toll-free (877) 644-6338. Ask for the preschool licensing department.
Preschool Fees
The peer program is funded by the tuition of $125 per month for the morning and afternoon classes. Tuition is due on the 1st of each month (September, October, November, December, January, February, March, April, and May). The first payment will be due on September 1st.
Accounts must be current on the first day of each month and must remain current. Your child will be withdrawn from the preschool if you are 30 days late on a payment. Deductions will not be made for a child’s absence due to illness. There also will be no deductions for family vacations; we have vacation time already in our school schedule.
No payment will be accepted by the teachers: payments are due to the financial secretary in each building. Mrs. Krista Lingrell, Northeastern Elementary School, and Ms. Jenny Herzog, Kenton Ridge Elementary School. Checks can be made out to Northeastern Elementary School or Kenton Ridge Elementary (Depending on where your child attends). Please put your child’s name on all checks.
Identification and Child Find
A student can access special education and related services through the proper evaluation procedures. Parent involvement in this procedure is important and required by Federal (IDEIA), A.D.A. Section 504) and State law. If a parent suspects their child has a disability and informs a district staff member, the staff member will contact the relevant staff (Special Education Supervisor, Director of Preschool Program, building principal, and the building guidance counselor) when an evaluation request is received. The district will, within 30 days of receipt of a request for an evaluation from either a parent of a child or a public agency, either obtain parental consent for an initial evaluation or provide to the parent prior written notice stating that the school district does not suspect a disability and will not be conducting an evaluation. Also, a parent may contact the Director of the Preschool Program or the Special Education Supervisor at (937) 325-7615 to inquire about making a request for special education evaluation procedures concerning the identification process, and services provided for identified children.
In addition, the preschool program will provide multiple Child Find Screenings throughout the school year. If you would like to set up a date and time for the next upcoming child find screening, please contact Steve Linson @ 937-325-7615. | ce678591-69f1-4248-beec-3cce88b4f628 | CC-MAIN-2024-51 | https://resources.finalsite.net/images/v1722284369/northeasternk12ohus/lr8qmrdqczchoo4gxp4z/2024-25PreschoolHandbook.pdf | 2024-12-12T14:24:41+00:00 | crawl-data/CC-MAIN-2024-51/segments/1733066109581.15/warc/CC-MAIN-20241212124237-20241212154237-00803.warc.gz | 438,078,483 | 6,785 | eng_Latn | eng_Latn | 0.904874 | eng_Latn | 0.997086 | [
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Monstrous Year 7s
In Year 7 English, students are studying Phillip Pullman’s play adaptation of Mary Shelley's 'Frankenstein'. To enhance students' understanding of Pullman’s characterisation of Dr Frankenstein's monster, we ventured outside and worked collaboratively to explore how the monster develops from Act 1 to Act 2. In the images, you can see students using gesture codes to emphasise emotion. Felix F, Felix-Carr H, Josh B, Bella D and Isabel C were standouts during their performance. Well done!
Shrek Tickets
We are looking forward to seeing those of you are coming to see the school production of Shrek. The show starts at 7pm every night, but please feel free to come beforehand as refreshments will be served from 6.15pm in the canteen. If you haven’t yet got your ticket, there are some still available on sale on ParentPay priced at £8 each.
Save the date – Careers Fair
NEXT STEPS
CAREERS FAIR
18th April 2024 5:30 - 7:30pm
Years 9 – 13
Students and Parents Welcome
Science experiments
Y9 students completed the food test experiment in which they had to complete 4 different tests with the appropriate chemical to identify 4 types of nutrients needed: starch, sugars, proteins and fat. Do you know what each of these nutrients is needed for? Just ask the Year 9 students! They will tell you! 😊
Year 7 history
This week Ms Riglin accidentally set her Year 7 History class a Year 12 homework assignment about an A-Level topic they’d never studied before. Despite having no help - with Ms Riglin also off ill - the students all persevered and completed the homework. We couldn’t be more proud of their resilient attitude, no matter the challenges thrown at them! Well done Year 7!
Y13 completed another practical activity on identifying different organic functional groups. In this experiment student had to identify the correct haloalkane by the colour of the precipitate they formed and compare the speed of formation. Their results were top-lab-correct. As you can see in the picture where Isha and Emily hold the test tube containing the white, cream and yellow precipitates of chloro-, bromo- and iodobutane! Well done Y13s!
Celebrating British Science Week
This week students celebrated British Science Week. They engaged with cool science quizzes, challenged their beliefs about the skills of a scientist and learned about the profiles of various current scientists. We would like to thank all the students that took part in the activities as well those who helped out with running the activities 😊 They also had a chance to complete a number of experiments both in lessons and the STEM club which has been running all week! Here some of the best of from STEM club:
Here you can see students extracting limonene from oranges! We used distillation as an extraction method as direct heating would result in decomposition of the oils whereas steam distillation allows us to collect the oil produced (limonene) distilled in steam at a temperature just below 100 °C (below the BP of the limonene). This is a great introduction to show how the extraction of plant oils works. Limonene is an unsaturated hydrocarbon, so we then used bromine water to check if we managed to extract limonene. All groups managed to extract limonene as their sample were decolourised when mixed with Bromine water! Limonene is a very interesting molecule; the major biological form of limonene is used in food manufacture, medicines, as a fragrance in cleaning products, a botanical insecticide, and due to its flammability, it also a potential biofuel!
Year 7 Design Technology
In Design Technology some of our Y7 students have just completed their sweet dispensers. They were influenced by an animal and their final outcomes clearly demonstrate a wealth of skills learnt, ranging from coping-saw use to beautiful finishing techniques.
Well done, Y7; you should be proud!
Enjoy just a handful of them here.
It was such a pleasure to mark these letters that I thought I'd share a few with you.
---
**Monday 4th March 2024**
To Chris O'Shea (CEO of Centrica)
Have you heard about the new technology? Have you heard about the improvements about our society? This is MAPLE, the new and improved energy source. So far we are sending satellites up, and we have managed to power a couple of LEDs. You may ask why do I care? You may ask yourself, I'll tell you why. Because it is the next step in human history right now. Everyone's first emergency service needs to come volunteer at NASA to help build the next satellite.
Yours sincerely, Edward
AMAZING! Great work Edward. Well done.
---
Dear Anne-Marie Trevelyan,
I am writing to update you on the latest technology and what scientists are trying to do to provide the earth with clean energy. This technology is called 'MAPLE'. I think you would be interested to hear about this because it is more environmentally friendly to get light this way. Maple is a solar panel field that can beam energy to the earth. You should invest in this because it's a more efficient way to get light and energy, and you may get loads of money from this. If you do earn money from this, you should maybe purchase things to save the earth or maybe maybe bigger dog shelters or get more energy-efficient things. You could make more solar panels, you could also raise tax for teachers and doctors so everyone gets fair pay. Or maybe you could talk to the government about making these changes. MAPLE also encourages us to have more solar energy correctly. This could help prevent your business from stopping in the future.
Great letter. Well done Ruby.
---
To Anne-Marie Trevelyan, This letter is to inform you about the new technology and to take action. The new technology is solar, which doesn't produce carbon dioxide and is renewable energy source. You should be interested because this is a big step in a better future and a healthier planet. For example, scientists have put solar panels into space to get to the sun where it will absorb more energy from the sun. After that, it will be set at a certain angle to beam back to Earth where there is usually no sun. Please help our planet.
Love from Felix xoxo
Super science. Well done!
Voting is now open!
We have 5 fantastic students who are standing for election in the Kingston and Richmond Youth Council or Parliament:
- Taran (Y12) - running for Youth Parliament and Council
- Evie S (Y9) - running for Youth Council
- Kaysan C (Y9) - running for Youth Council
- Jameson B (Y9) - running for Youth Council
- Lily F (Y7) - running for Youth Parliament and Council
These students have nominated themselves, created manifestos and even attended hustings! We are so proud of them and would love to see them get elected.
All students have been voting this week in tutor time. If your child has been unable to do so, please ask them to pick up a unique voting code from Mrs Johnson in 1.25. They can then scan the QR code, watch the manifesto videos and vote.
The voting link is also on Bromcom.
Good luck to all our brilliant Turing House candidates!
Learning concern from home
If you are concerned about the learning needs of your child, please complete this brief survey using this QR Code or link. These can also be found on our website under ‘contact us’. When you have completed the form, a member of the Learning Support Team will investigate and contact you within five working days.
Turn On the Subtitles
The simplest way to boost your revision!
Did you know?
If you Turn on the Subtitles while learning online, it can help the learning stick?!
So, when you’re revising, make sure you turn on those subtitles …And don’t forget to tell your mates to do the same!
www.turnonthesubtitles.org
Turing House Friends Comedy Night
Thank you to everyone who joined us for a night of laughter, delicious food, and fun at the Turing House Friends Comedy Night! Your support made it a truly fantastic evening.
A special shout-out to our incredible team of volunteers who worked tirelessly to make the event a success. Your dedication and hard work did not go unnoticed, and we’re truly grateful. Huge appreciation also goes to the fantastic site team for ensuring everything ran smoothly, allowing us to focus on enjoying the night.
To those who left with a smile, some belly laughs, and perhaps a raffle prize, your enthusiasm and energy made the event truly memorable. You also helped raise over £1,700 for the school! AMAZING!
Sickness reporting via Studybugs
We would like to encourage all parents/carers to use the Studybugs app for sickness reporting. This feeds directly into our registers and saves us time each morning when accounting for absent students. It’s quick and easy to register and automatically reminds you to keep us posted.
If your child is not able to attend school due to illness, please contact us each day before 8.30 am. Please give an indication of the problem and when you expect your child to return to school.
Please download the following link to set up your Studybugs app. https://studybugs.com/about/parents
This link can also be found on our school website.
U15 table Tennis Success
Pavalan in Year 8 played in the Ellenborough National Cadet League U15 Table Tennis tournament and Harlow Batts Junior League U19 Table Tennis tournament. He received a medal in both of these tournaments. Well done, Pavalan!
Turing House School Determined Admissions
For Arrangements for 2025-26
We would like to advise parents/carers that the Turing House School Determined Admissions Arrangements for Y7 and Sixth Form for September 2025-26 are now available to view on the school website (see links below).
THS Determined Admissions Policy Year 7 2025.pdf (turinghouseschool.org.uk)
THS Determined Sixth Form Admissions Policy 2025.pdf (turinghouseschool.org.uk)
Should you have any questions, please do not hesitate to contact us.
Sports fixtures
Year 7 Boys Football v Hampton High
The Year 7 boys got one of their two fixtures underway this week on the football pitch as they faced Hampton High away. Some subliminal goal stopping saves were on show in both halves which might have made the difference come full time. The Turing team worked tirelessly to net four goals of their own to the opposition’s 2, in order to return to school as victors. Their second game came just two days later so read on to find out how they got on. Well done to all involved!
6th Form Basketball v Kingston Academy
This week's packed sports fixture action saw the 6th Form boys take to the basketball court once again as they faced Kingston Academy. After a delayed travelling team provided the opportunity for the Turing team to fit in a lengthy and extensive warm up, players were raring to go by the time tip-off came round. A fairly even contest played out and scores felt like they were even at 0-0 by the half time. The opposition pressed on in the third and fourth quarter but so too did THS. The boys had to accept defeat in the end, though, as they lost 39-45 in what was a highly contested and entertaining match. Well done to all involved!
Year 9/10 Girls Football v Hampton High
The Year 9/10 girls football team played two games this week, the first one being against Hampton High. The Turing team kicked off with a point to prove and they did exactly that by half time - two goals up and a clean sheet so far. But the second half saw the girls really enjoy their football as they didn't hold back on every scoring opportunity. The opposition managed to get a goal back, but THS had created too much of a lead and they could see out the game as victors before taking on Teddington the next day. Read on to find out how they got on in their second match. Well done to all involved.
Year 9 Boys Football v Teddington
The Year 9 boys took to the football pitch towards the end of this week when they faced Teddington at home in their borough league fixtures. Playing with confidence, the Turing team managed to expose gaps up front by spreading the defence thin at times. Conceding two goals but scoring a handful of their own ensured that the boys went home with a well-deserved win under their belt at the full-time whistle. Their attention will now turn to their game next week when they take on Richmond upon Thames. Well done to all involved!
Year 9/10 Girls Football v Teddington
The year 9/10 girls were back in action the day after their first game of the week but this time travelling to Teddington hoping to make it two away wins from two. Armed with some skilled academy players among their ranks, the opposition made a ferocious start and converted many scoring opportunities to points on the scoreboard. Just when the Turing team thought they were down and out, they came back in the second half with more fighting spirit and impressively drew that half. The hosts had created enough of a lead from the first half to ensure a loss for THS, but it was a gutsy performance from the girls nonetheless. Well done to all involved!
Year 7 Girls Netball v Waldegrave
The Year 7 girls made the journey to Waldegrave to face them in their netball borough league fixture. Always a tough opponent to face, the opposition started off strong, but it quickly became clear that both sides were very evenly matched. The Turing team were determined not to let the host gain momentum and they squashed many offensive efforts to keep the game fairly low scoring, while ensuring they took their chances too. The match finished 9-6 to THS! The girls will now look ahead to their next game against Christ's. Well done to all involved!
Year 8 Girls Netball v Waldegrave
The Year 8 girls also took on Waldegrave earlier this week on the netball court. They were hoping to match the efforts of the Year 7 team and pull off a double win. Both sides created plenty of scoring opportunities from early on in the match, but the Turing team just couldn't quite close the gap that the
hosts had established as a result of some accurate shooting. As with the Year 7 girls, their next game is also against Christ’s where the girls will look to put this one behind them and revive the team with a win. Well done to all involved!
Swimming Gala success
A group of students went to compete at LEH in a swimming Gala. The students did amazingly with two 1st places, one 2nd place and one 3rd place finish! The way the students supported each other and made friendships with students in different years was brilliant! Well done everyone!
Volunteer at Kingston Hospital
You can make the difference
Contact us now on 020 8934 3620 or email firstname.lastname@example.org to find out how you can help your local hospital.
www.kingstonhospital.nhs.uk/get-involved/volunteering
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# Great Old Broads for Wilderness Media Kit
## Table of Contents
- Mission .......................................................................................................................... 2
- Board of Directors ........................................................................................................... 3
- Council of Advisors ......................................................................................................... 4
- Our Work ....................................................................................................................... 5
- History ............................................................................................................................ 6
- Broadbands ..................................................................................................................... 8
- Broadwalks and Broadworks .......................................................................................... 9
- What Are Public Lands? ............................................................................................... 10
- What is Wilderness? ...................................................................................................... 12
- Wilderness Protection Position Statement ............................................................... 14
- Energy and Mining Position Statement .......................................................................... 15
- Public Lands Grazing Position Statement ..................................................................... 16
- Roads, Roadless Areas, and Vehicle Use Position Statement ..................................... 17
- Climate Change Position Statement ............................................................................. 18
- Diversity, Equity, and Inclusivity .................................................................................. 19
For all media inquiries, please contact:
Susan Kearns
Communications Director, Great Old Broads for Wilderness
email@example.com
Phone: 970-385-9577
Fax: 970-385-1585
Mission
Great Old Broads for Wilderness (“Broads”) is a national grassroots organization, led by women, that engages and inspires activism to preserve and protect wilderness and wild lands.
Conceived by older women who love wilderness, Broads gives voice to the millions of Americans who want to protect their public lands as Wilderness for this and future generations.
As a women-led* organization, we bring knowledge, leadership, and humor to the conservation movement to protect our last wild places on earth.
Vision:
Wild public lands are treasured for their intrinsic values and protected for current and future generations.
Values Statement:
Wilderness and public lands are for everyone; they are the heritage of all and a gift to future generations. Wild places, once destroyed, may be gone forever.
We value:
- National public lands and waters.
- The spirit and intent of national conservation legislation such as the Wilderness Act, National Environmental Policy Act, Endangered Species Act, and Antiquities Act, which protect wild places that once destroyed, may be gone forever.
- The natural world as a community where humans, as one small piece of an interconnected whole, must take responsibility for care.
- Sound science as a basis for informed decisions.
- Being bold, courageous, and fearless in defense of wild lands.
- Humor, grace, common sense, and passion.
- Openness to all perspectives.
- Dialogue to resolve conflicts.
- Expanding racial, cultural, and gender diversity in the conservation movement.
- Broadness as a state of mind.
* For Broads, the term “women” includes and represents anyone who self-identifies as a woman.
The Board of Directors actively provides guidance on strategic direction and assures that the necessary resources—including funds, staff, and professional expertise—are available to accomplish Broads’ mission.
- Directors serve 3-year terms, with a maximum of two consecutive terms.
- The Board meets quarterly by conference call to focus on strategy, advocacy, budget, programs, activities, and fundraising.
- An annual retreat is held near the end of the fiscal year (December 31) to review past actions, plan future directions, and approve the budget.
- Each member is expected to take an active role in the organization.
- Each board member brings unique and valuable talents and networks to the organization. Board members taking on roles as officers will generally contribute more hours of work than other members.
Council of Advisors
For years, our organization has relied on a select group of individuals with a unique set of skills, experience, and resources—the Great Old Broads’ Council of Advisors. This group provides the expertise, financial support, and encouragement necessary to meet the challenges facing us in our efforts to protect public lands and the values we hold dear.
Aside from providing advice on specific issues to the Broads’ national office and Broadbands, the Council serves as a “kitchen cabinet,” advising the Board of Directors on matters of national importance to the Broads.
Council of Advisors (May 2022)
- Steve Allen
- Joe Breddan
- Rose Chilcoat
- Craig Childs
- Dave Foreman
- Maggie Fox
- Ginger Harmon
- Vicky Hoover
- Libby Ingalls
- Frandee Johnson
- Matt Kenna
- Linda Liscom
- Regina Lopez-Whiteskunk
- Bill Meadows
- Caroline Kirksey Munger
- Marcey Olajos
- Tim Peterson
- Carl Rountree
- Lois Snedden
- Blake Spalding
- Liz Thomas
Our Work
Broads empowers women to use democracy to defend our birthright—America’s public lands and waters. We train and mobilize advocates in communities across the nation to rally for wilderness designation and public land protections to ensure clean air and water, and a healthy habitat for all of Earth’s creatures. We focus on four core activities:
EDUCATION
Education is the foundation of action and the core of our work. We believe in placed-based education to develop a strong understanding of the issues, history, and important link between public lands and mitigating the effects of a changing climate. Our work is guided by science and research to ensure we advocate for what is best for the land. Our members learn to act as citizen scientists, documenting impacts on our public lands, and gathering data used to evaluate land conditions and support protection proposals.
ADVOCACY
Broads takes a grassroots approach, connecting people with a desire to get involved and guiding them on how to take action. Individual members and our 40 (and growing!) Broadband chapters across the country participate in land management decision-making to keep threats at bay and support policies that protect public lands. We coach Broadband leaders and members how to hold government agencies and decision makers accountable for sustainable management of our public lands, and how to engage communities to effect change. We’re there to speak at legislative and agency hearings for the voiceless—wilderness and wildlife.
STEWARDSHIP
We show our love for the land through projects that repair and restore our wild places. We teach volunteers to document impacts to landscapes and gather data. Broads are the eyes and ears, the boots on the ground, the reporters and supporters. From re-seeding to fence building to trail repair, Broadbands work with land management agencies such as the US Forest Service and Bureau of Land Management to lend their loving hands to tend public lands.
FUN
As legendary columnist Molly Ivins once said, “You got to have fun if you plan on staying involved for the long haul.” This is serious work, but we don’t take ourselves too seriously. Broads have fun learning and doing, making their voices heard, putting pen to paper, and getting close to nature. The challenges often feel unrelenting, but being on the land leads to a natural camaraderie with others who share the enthusiasm for the fight for America’s wild lands.
History
1989 – A Lively Beginning
Great Old Broads for Wilderness was founded in 1989 on the 25th anniversary of the Wilderness Act by a feisty bunch of lady hikers who wanted to refute Utah Senator Orin Hatch’s notion that wilderness is inaccessible to elders. About that time, wilderness designation had been proposed for Escalante, and Senator Hatch opposed it, saying, “…If for no other reason, we need roads for the aged and infirm.”
Outrage Begets A New Voice
Founder Susan Tixier and her fellow activists were outraged, and with sudden clarity, saw that an important voice was missing from the environmental movement: the older woman—impassioned, experienced, not afraid to speak out, and definitely not needing roads. The group committed themselves to grassroots advocacy to preserve wilderness and wild places for future generations.
What’s in a Name?
Tixier and her colleagues happily settled on their role and purpose, but hadn’t yet decided on what to call themselves. Fate brought an answer to them. One fine day while the gang was out hiking and discussing what action to take next, they came upon a group of elderly ladies coming off a trail—dusty, tan, sinewy, and gray-haired. Someone remarked “What a bunch of great old broads.”
The name stuck. It captured the spirit of the budding entity they envisioned, emphasizing the old and the feminine. More importantly, the moniker had humor, a core value of the group from the beginning.
Concept to Coalescence
The early framework declared Broads to be a nonprofit, social organization dedicated to the protection, use, and enjoyment of the wilderness (designated, proposed, or imagined).
The early days were informal—there were no dues. To become a member you just had to declare yourself one, and then you could buy a T-shirt to proclaim it to the rest of the world. The point was to have fun while doing what you were passionate about.
The Broads sat around kitchen tables and brainstormed. The plan was to spend their time and energies on action protecting wilderness, not creating a formal organization with a paid staff.
History (Cont.)
A Force to Be Reckoned With
By 1993, with a growing membership and expenses, the board decided to institute annual dues—though payment was still optional. In 1994, it became necessary to hire a staff person to keep the membership database, publish the newsletter, *Broadsides*, and handle public relations. Broads was on its way to becoming a cohesive organization.
Today, Broads has a small staff and our ranks have grown to more than 8,500 members and supporters. There are nearly 40 Broadbands (chapters) in 17 states across the country dedicated to local and national wilderness issues. Our members include men (Great Old Bros) and younger women, too.
Wherever there are wilderness concerns, you’ll find Broads jumping into the fray.
Broadbands
Broadbands are member-run regional or local chapters across the country formed around Broads’ mission to preserve and protect wilderness and wild lands.
These chapters, led by volunteer leaders and co-leader teams, are made up of passionate and dedicated Broads and Bros of diverse backgrounds and ages, with a fire for change and a love for the land.
Have Fun Doing Serious Work
Focused on education, advocacy, outreach, and collaborative stewardship projects—humor and joy play a fundamental role in our work. Broadband members share stories, experiences, and passions; creating deep connections to each other and the earth that lead to stronger Broadbands and stronger advocacy.
As for activities, there’s something for everyone:
- Educational events, lectures, and films.
- Stewardship projects (monitor and collect data, build and maintain trails, remove invasive plants, etc.)
- Public meetings, write letters, and rallies.
- Working with land management agencies and political leaders.
- Represent Broads at local events, make presentations, and attend gatherings.
- Hiking, camping, and road trips.
- Pot lucks, book clubs, and other gatherings.
Broadwalks and Broadworks
What’s a Broadwalk?
Broadwalks are multi-day place-based educational events where you get to know an area through hikes, stewardship projects, and local experts. There’s plenty of on-the-ground exploration and discussion with people who know the landscape, its history, flora and fauna, and land health.
Broadwalks give you an in-depth experience where you’ll come away with a better understanding of why these landscapes warrant protection.
What’s a Broadwork?
Broadwork events are stewardship-focused trips coordinated with partner organizations and agency land managers. Activities range from field observations and monitoring of land health to all-out river restorations and invasive plant removal. No experience is necessary. Broads and Bros are trained and schooled in the “whats” and “whys” behind the Broadwork activity. Conversations and learning continue throughout the event.
Keeping It Local
Broadband chapters across the country host their own style of Broadwalks and Broadworks focused around regional or state issues. Each event has a flavor of its own, but includes many of the same elements as national events.
What Are Public Lands?
Broads’ work is centered on the preservation and protection of wilderness and wild lands. These lands are “public” lands—not owned by individuals or businesses—they belong to all Americans. Government entities—local, state, or federal—manage them on our behalf.
Because the lands are held in trust for the public, every American has a say in how these lands are managed.
Most of the lands Broads are working to protect are federal lands managed by four Federal agencies. These lands, when claimed by the US government, were mostly Native American lands.
Different Management—Different Uses
The bulk of the management job is split between the Bureau of Land Management (BLM), managing 10.5%, and the Forest Service (USFS) managing 8.5%. Two other agencies manage smaller pieces—the US Fish and Wildlife Service (USFWS) and the National Park Service (NPS) each manage about 4% of US land.
The BLM, the USFWS, and the NPS are agencies of the Department of Interior, while the USFS is an agency of the Department of Agriculture. This curious arrangement continues to reflect the view of USFS founder Gifford Pinchot that forests were agricultural products to be managed for “wise use,” rather than preservation.
The agencies that manage most of our public lands are not strictly in the business of protecting our lands. In particular, the missions of the BLM and the USFS focus more on using resources and meeting needs for current consumption. That’s why the US government leases public lands to be used for logging, grazing, fossil fuel extraction, and mining.
The mission statements of the BLM and the USFS are similar. Both agencies operate under a “multiple use” guideline, managing for both current consumption and preservation for the future.
The USFWS has a more eco-centric mission to “conserve, protect and enhance,” wildlife and the places they live. However, the ultimate goal remains people-centric—management for the “continuing benefit of the American People.”
The National Park Service’s mission is distinctly different and clearly preservation-centered, calling for the NPS to “preserve unimpaired” “cultural resources and values.”
But of all public lands, only designated wilderness areas are fully protected from development.
What Are Public Lands? (Cont.)
A Concern for Conservation
When people began to see the devastation of natural resources and loss of wild lands in the US, particularly the logging and the damming of Hetch Hetchy in California’s Yosemite, they began to formulate legislation that would protect wild lands in perpetuity. That was the genesis of the Wilderness Act, which was signed into law by President Lyndon Johnson in 1964.
This law gave Congress the power to designate lands as Wilderness Areas. This is the highest form of protection for wild lands, a designation that protects those lands from future development of any kind. In fact, these are lands where there are no roads, no structures, no “mechanized” travel (including mountain bikes) and “man is only a visitor who does not remain.”
What is Wilderness?
We like to think of Wilderness as our gift to future generations of Americans. It’s one piece of the ecological puzzle to save our country from ever-expanding development. It’s refuge and corridor for wildlife. It’s biological diversity. It’s untamed forest, desert, coast, and mountain. It’s quiet. It’s restorative. It keeps us sane.
Protecting America’s wild landscapes is what Great Broads for Wilderness is all about. It takes an act of Congress to designate an area as wilderness—and YOUR voice is an important part of protecting our wild places.
The Wilderness Act of 1964
The Wilderness Act created the National Wilderness Preservation System to preserve and protect public lands that fit the following definition of wilderness:
“… in contrast with those areas where man and his works dominate the landscape, [Wilderness] is hereby recognized as an area where the earth and its community of life are untrammeled by man, where man himself is a visitor who does not remain.
An area of wilderness is further defined to mean in this Act an area of undeveloped Federal land retaining its primeval character and influence, without permanent improvements or human habitation, which is protected and managed so as to preserve its natural conditions and which:
- Generally appears to have been affected primarily by the forces of nature, with the imprint of man’s work substantially unnoticeable.
- Has outstanding opportunities for solitude or a primitive and unconfined type of recreation.
- Has at least five thousand acres of land or is of sufficient size as to make practicable its preservation and use in an unimpaired condition.
- May also contain ecological, geological, or other features of scientific, educational, scenic, or historical value.”
What is Wilderness? (Cont.)
Wilderness Study Areas (WSAs) are landscapes that are currently being managed as Wilderness because they qualify for designation as Wilderness by Congress. These are roadless areas lacking human development that also have “wilderness characteristics”—opportunity for solitude and reflection.
Still, the vast majority of the wild lands managed by Federal agencies are open to consumptive uses of some kind.
There are also laws beyond the Wilderness Act that provide ways to designate lower levels of protection for our public lands. Designation of National Parks by legislation protects those lands from commercial development, setting them aside for conservation so that present and future generations can enjoy, be inspired by, and use them for education. There are 62 “National Parks,” but 419 national park sites, with at least one in every state. National Monuments, which are designated by Presidential decree, are also protected from commercial development.
The Bureau of Land Management (BLM) and the U.S. Forest Service (USFS) manage their public lands according to “resource management plans” (RMPs) that must comply with the guidelines of the National Environmental Policy Act (NEPA).
Much of Broads’ work involves participating in these resource management plans during the public comments periods and using NEPA in court to challenge plans that will lead to the degradation of wild lands and contribute to climate change.
Great Old Broads for Wilderness
POSITION STATEMENT
Wilderness Protection
*Wilderness is the highest level of protection for public lands. These lands are designated by Congressional action according to the 1964 Wilderness Act.*
*Wilderness lands reduce the impacts of climate change. Increasing the acreage of designated wilderness is critical to the survival of all life on Earth.*
- We acknowledge that America’s wilderness and public lands were once homelands to Indigenous people, often taken through force or coercion. Tribal people hold significant knowledge of these complex ecosystems that may benefit long-term practices to protect them. Collaboration with tribal peoples and incorporation of Indigenous knowledge is valued and will contribute to the sustainability of the land.
- New wilderness legislation must be in keeping with the spirit and intent of the 1964 Wilderness Act.
- All public lands with wilderness qualities should gain protection based solely on those qualities.
- Protection of designated Wilderness and Wilderness Study Areas should never be reduced as the result of *quid pro quo* trades that result in privatization, development, or other activities that compromise protection and/or degrade public lands.
- Wilderness legislation or proposals must not compromise or reduce the existing protections for Wilderness Study Areas, Roadless Areas, National Park Units, Wildlife Refuges or other protected lands. These lands are important for fish and wildlife habitat, air and water quality, cultural heritage, and as refuges of peace and quiet.
- Although livestock grazing is allowed on Wilderness lands under the Wilderness Act, Broads supports the elimination of grazing in designated wilderness areas and encourages voluntary, permanent retirement of grazing allotments.
The activities undertaken by Great Old Broads for Wilderness are guided by the overriding principle that the focus of attention must be on what is best for the land and water, for Mother Earth.
555 Rivergate Lane, B1-110 • Durango, CO 81301
970-385-9577 • www.greatoldbroads.org
Energy and mineral exploration and extraction has many harmful impacts in addition to releasing carbon and contributing to greenhouse gas emissions.
The construction of pipelines, roads and utility corridors, and the use and transport of toxic materials negatively affect water and air quality, wildlife habitat, and the natural quiet of the lands.
- Designated wilderness, Wildlife Refuges, Wilderness Study Areas, Wild and Scenic Rivers, roadless areas, and lands with pristine character, wilderness qualities, and critical wildlife habitat and corridors must be protected from the impacts of energy and mining activities.*
- Energy and mining activities should not be allowed in future designations of protected lands.
- Great Old Broads advocates for reducing the demand for fossil fuels through conservation and sustainable alternative energy sources. We support just transition to secure workers’ rights and livelihoods.
- Renewable energy reduces fossil fuel dependence, decreases air and water pollution, and mitigates the threat of climate change. However, since all large-scale energy sources have impacts, permitting decisions on federal public lands should avoid or minimize impacts to plant and wildlife habitat, wilderness-quality lands, cultural resources, and other unique values.
* We recognize in some cases, designation language specifically allows such activities.
Great Old Broads for Wilderness
POSITION STATEMENT
Livestock Grazing
Commercial livestock grazing impacts more total acreage than any other permitted use of public lands. From headwaters and high mountain meadows to hot, dry deserts, grazing compacts and erodes soil and destroys biological soil crust. It consumes, fouls, and warms water, removes flowers, seeds, and cover upon which wildlife depend, depletes native plant and wildlife species, spreads invasive species, and damages cultural resources.
Grazing interests fuel demands to remove native woody vegetation, kill top predators, and alter water cycles by harnessing natural springs and damming runoff. Public land managers generally defer to private permittees and local governments, while the public is excluded from nearly every aspect of grazing decisions.
- Broads supports voluntary grazing permit retirement, followed by permanent allotment closure, for ecosystem or species recovery and for increasing ecosystem resilience in the face of climate change.
- Although livestock grazing is allowed on wilderness lands under the Wilderness Act, Broads supports the elimination of livestock grazing in designated wilderness.
- Natural waters, including springs and their associated wetlands, must be protected from livestock grazing impacts.
- Vegetation treatments (e.g., removal of piñon and juniper) should only be undertaken to protect and promote potential native vegetation and natural processes and not for the purpose of increasing forage for livestock or wild ungulates.
- Public lands grazing decision processes should seek and respond to evidence, research, and suggestions provided by interested members of the public; non-governmental organizations; tribes; and scientists, as well as permittees and government representatives. Agency decision making should involve interdisciplinary teams, consideration of climate trends, and public transparency.
- Broads are encouraged to document grazing impacts, communicate concerns to decision makers, suggest alternatives, and initiate and participate in consensus collaborations to minimize adverse impacts of livestock grazing.
The activities undertaken by Great Old Broads for Wilderness are guided by the overriding principle that the focus of attention must be on what is best for the land and water, for Mother Earth.
555 Rivergate Lane, B1-110 • Durango, CO 81301
970-385-9577 • www.greatoldbroads.org
Great Old Broads for Wilderness
POSITION STATEMENT
Roads & Vehicular Use
Roads and associated infrastructure have been identified as one of the greatest threats to biodiversity and their impacts are even greater in the face of climate change.
Roads bring noise pollution, greater erosion, and degrade water and air quality. They damage soils, vegetation, riparian zones, and wetlands; disturb wildlife and increase mortality; and reduce and fragment habitat.
- Broads opposes exemptions from the federal Roadless Area Conservation Rule (RACR), and believes the few remaining roadless areas should persist without roads to protect habitat connectivity and carbon sequestration.
- Public land managers should strictly enforce compliance with the RACR, Wilderness Act, and all laws, regulations, and policies for roads and routes on public lands.
- In land use planning processes, the USFS and the BLM should close roads when they threaten clean water, habitat, and the recovery of endangered or at-risk species.
- Land management plans for USFS and BLM lands must not include new roads without specific NEPA (National Environmental Policy Act) analysis, including consideration of long-term cumulative effects on wildlife, watersheds, and climate.
- All motorized and mechanized (e.g. bicycles) vehicles on public lands must be limited to designated motorized and mechanized routes to avoid damage to fragile ecosystems and to cultural/historical sites.
- Any routes on public lands that are not specifically designated as open should be managed as closed, with appropriate compliance and law enforcement.
- E-bike use should be confined to designated open motorized routes.
The activities undertaken by Great Old Broads for Wilderness are guided by the overriding principle that the focus of attention must be on what is best for the land and water, for Mother Earth.
555 Rivergate Lane, B1-110 • Durango, CO 81301
970-385-9577 • www.greatoldbroads.org
Climate Change
Climate change affects all life on Earth. Wilderness can provide unbroken habitat and wildlife corridors to give plant and animal species room to adapt to changing conditions. Wilderness provides conditions for clean water, less severe floods, and greater biodiversity. Intact wildlands sequester carbon, particularly in high-biomass forests, riparian areas, oceans, and coastal wetlands.
- Keeping fossil fuels in the ground is critical to global temperatures and preventing the Earth’s vital signs from reaching a tipping point.
- Fossil fuel corporations must not be allowed to shift the costs of climate disruption to society while reaping profits from public lands.
- National forest planning rules must require conservation of forested areas with higher-than-average carbon biomasses.
- Commercial timber harvests and development should take place on public forests only when careful analysis of cumulative impacts demonstrates that carbon benefits exceed carbon costs over two to four decades.
- Natural water cycles on public lands must be rigorously protected to maintain ecosystem quality, quantity, integrity, and stability for the benefit of ecosystem and public health.
- Public land management planning must minimize the climate impacts of resource development, livestock grazing, roads and vehicular routes, and recreation. Wild public lands should be prioritized for carbon storage, mitigating climate change, biodiversity, and promoting resilient landscapes.
The activities undertaken by Great Old Broads for Wilderness are guided by the overriding principle that the focus of attention must be on what is best for the land and water, for Mother Earth.
Diversity, Equity, and Inclusivity
Great Old Broads for Wilderness is committed to building a diverse, inclusive, and broader conservation community.
Our Broad commitment means:
- We are focused on the inclusive value that “broadness is a state of mind.”
- We are open to all perspectives while encouraging dialogue to resolve conflicts.
- We develop deep and authentic partnerships with diverse communities to further a broad set of conservation goals.
- We understand and respect the goals of communities with which we work.
- We identify and find ways to eliminate barriers that prevent full diversified public participation.
- We seek common ground to work collaboratively for the long-term.
We define diversity broadly to include age, race, ethnicity, gender, sexual orientation, geographies, socio-economic status, and political affiliation.
By including diverse voices, we seek to engage the cooperation of as many constituencies as possible to strengthen support for ecosystem preservation and balance, conservation of public lands, and the environmental justice issues associated with these issues.
We seek the representative voices of Indigenous peoples whose present-day identity and ancestral history are embedded in the land, along with the full diversity of cultures and ethnicities that make up the country’s population. We pledge to work in collaboration with individuals and organizations to respect and honor diverse cultural perspectives of public lands.
Fostering diversity and inclusiveness is an ongoing process requiring continuous awareness and diligence. Diversity is not a project or task with an end point.
Broads identify, engage, invest in, and listen to partners and community leaders as we work towards a more representative and inclusive conservation movement, and make choices consistent with those investments.
When working in new communities, we work to gain full understanding of issues facing those communities; and we are mindful of those issues, our potential impacts, and the need to follow through on clear commitments.
Diversity, Equity, and Inclusivity (Cont.)
We will integrate diversity and inclusiveness awareness throughout our programs and organizational structure. We work to create an environment in which all feel valued and respected, where learning and integrity are fostered, and laughter and fun are appreciated. | ffed65f6-d685-4aa3-a8cf-6731d94a54d6 | CC-MAIN-2022-21 | https://www.greatoldbroads.org/wp-content/uploads/2022/05/Broads-Media-Kit-05122022.pdf | 2022-05-27T12:42:12+00:00 | crawl-data/CC-MAIN-2022-21/segments/1652662647086.91/warc/CC-MAIN-20220527112418-20220527142418-00683.warc.gz | 877,394,027 | 5,939 | eng_Latn | eng_Latn | 0.946854 | eng_Latn | 0.995202 | [
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Student Behaviour Management Policy
This Student Behaviour Management Policy provides students, staff, and parents with the principles and framework governing Bayside Christian College’s (College) approach to managing inappropriate student behaviour and developing positive student behaviour and engagement.
It includes clarity as to the behaviour expected of students and the consequences when those expectations are breached.
The long-term goal of this policy is that students will learn to engage in right actions, stemming from self-discipline motivated by a love for God and a desire to care for others, their surroundings, and themselves.
1. Policy Statement
All students and staff have the right to a safe learning environment, characterised by positive relationships, and based on respect. All students and staff have the right to be treated fairly and with dignity in an environment free from intimidation, harassment, discrimination, bullying or continued disruption.
Effective discipline is critical to promoting students’ successful learning and wellbeing. Addressing the causes of misbehaviour of all our students ensures the safety and dignity of all our students and staff and fosters progress towards improved learning and behaviour goals with the aim to:
- reflect a genuinely caring College environment where the value of community is celebrated and acknowledged as much as, and together with, the individuality of each person.
- nurture Christian character, where students are equipped to be responsive disciples of Christ and apply the Gospel in an ever-changing world.
- nurture students’ awareness of and care for themselves, others, property, and the environment.
- inspire a love of learning and a desire for excellence.
- recognise that a culture of positive behaviour and high levels of student engagement are essential prerequisites for student learning.
2. Application
This policy applies to all College staff, students and parents/carers.
3. Philosophy
The foundation of this policy is that self-discipline rests upon the recognition that all people are children of God and worthy of respect and care. Self-discipline is developed by learning to exhibit the values articulated by the Bayside Way rather than seeking blind obedience to rules.
The Bible is clear that not only do people have deep longings that they thirst after, but also, because of their stubborn independence/rebellion, they resort to wrong behaviour. It is only by practising making right choices, in a context where they are free to make poor choices, that they learn to make good decisions.
*It is clear that God has called you to a free life. Just make sure that you don’t use this freedom as an excuse to do whatever you want to do and destroy your freedom. Rather, use your freedom to serve one another in love; that’s how freedom grows (Gal 5:13,14).*
process the world around us, we have, in truth, been transformed by our learning. Thus, the foundational and inalterable truth is that schooling is fundamentally about transformation (Gerber, CTJ, 2019).
The following assumptions underpin the goal of learning:
- That students are intelligent and capable individuals who, in the main, know what the right thing to do is but might not have the self-discipline or desire to enact it.
- People all have deep longings that they thirst after. In pursuing these things, they sometimes make poor decisions and resort to unacceptable behaviour.
- That people can learn to make right choices and exhibit appropriate behaviours by practising in a context where they can make poor choices and are held accountable for them.
- Students will be explicitly taught appropriate behaviour rather than assuming everyone knows how to behave in particular contexts.
- All actions, whether pre-emptively or reactively, will be taken to further students’ growth while caring for both individual students and the wider community.
4. Promoting Positive Behaviour
The College maintains a positive culture by setting and communicating clear expectations of students and encouraging positive behaviour.
It is important to have high expectations for students while recognising some students have additional needs.
Expectations of students include behaviour during both the school day and outside school hours, and where students are representing the College offsite. This can include, but is not limited to, completing College related tasks or engaging with other College community members, travelling to or from the College, and/or when wearing their College uniform.
Expectations are based on the following attributes of The Bayside Way:
- Be Respectful (Show respect and compassion)
- Be Responsible (Take care of yourself and others)
- Maximise Learning (School is your job)
- Be Kind (Show compassion and care towards others)
These attributes can be exhibited in many ways including:
- Showing consideration of others regardless of differences,
- Behaving in a safe and settled way around the College (movement, language, tone and volume of speech),
- Working hard, following instructions,
- Caring for and respecting personal, others’, and the College’s property.
College expectations are reinforced through assemblies, classroom instruction, and individual interactions with students. It is both all staff and all students’ responsibility to challenge examples where College expectations are not met and equally, to acknowledge positively when they are.
Students’ positive behaviour should be acknowledged through:
- Verbal or written commendation directly to the student(s),
- Communication with parents/carers,
- Teacher’s Award,
- Recognition at College assemblies or in College publications.
5. Rules and Expected Standard of Behaviour
Students are expected to abide by the rules of the College, and the directions of staff. These rules are in place to maintain the positive values and culture of the College and provide safe and productive learning environments for students and staff.
6. **Response to Behaviour Incidents**
The College’s response to incidents, when student behaviour falls short of College expectations, seeks to balance accountability with an understanding of the roots of student behaviour. Responses are to incorporate the features of procedural fairness and restorative practices.
All teaching staff are expected to support and promote positive student behaviour and appropriately address incidents where student behaviour does not meet College expectations.
While teachers are foundational to promoting and maintaining positive student behaviour, the response to more serious or persistent incidents can require referral to and involvement (as per College procedures) by:
- Leadership staff.
- Learning support staff.
- Student wellbeing staff.
- College Deputy and/or Principal.
There are a range of consequences that students may face if their behaviour falls short of College expectations which are outlined, but not limited to, those provided in the Bayside Engagement Concept Map.
As all incidents vary in context, it is important to note that consequences could compound as the severity of the level increases. For example, a Major breach could include consequences identified at the Pastoral, Minor and Significant levels.
7. **Procedural Fairness**
Students have a right to procedural fairness in dealings that involve their interests. Procedural fairness refers to what are sometimes described as the ‘hearing rule’ and the ‘right to an unbiased decision’. This includes disciplinary decisions.
The College aspires to promote the concept of procedural fairness, particularly when investigating matters with potentially serious consequences. The requirements for giving procedural fairness or natural justice are not fixed and can vary depending on the circumstances.
Principles that promote procedural fairness include:
- Being informed of the College’s rules, and what behaviour is expected of students;
- Having decisions determined by a reasonable and unbiased person (and in the absence of bias by a decision-maker);
- Being informed of the process by which the matter will be considered;
- Being informed of the allegations that have been made, and to respond to them;
- Being heard before a decision is made; and
- Being informed of the process and be able to seek to have a decision reviewed (but not so as to delay a timely resolution/consequence).
In matters where significant consequences are contemplated, the College will give particular emphasis to procedural fairness to acknowledge the gravity of the circumstances. This includes the offer of having a support person/observer attend formal interviews. The key points of the interview/discussion should be recorded in writing.
8. **Restorative Practices**
Restorative practice (justice) is a teaching and learning approach that encourages behaviour that is supportive and respectful. It puts the onus on individuals to be truly accountable for their behaviour and to repair any harm caused to others as a result of their actions.
A restorative approach focuses on building, maintaining and restoring positive relationships, particularly when incidents that involve interpersonal conflict or wrongdoing occur.
9. Behaviour Engagement Concept Map
The Behaviour Engagement Concept Map outlines the process framework that underpins the Student Behaviour Management Policy and illustrates the journey for:
- Positive behaviour – affirmation / communication
- Negative behaviour – intervention / investigation / consequence / further action (if required).
As it is a framework, many varieties or a combination of steps can be undertaken to address an incident.
10. Related Documents
- Student Behaviour Management Procedure
- Student Code of Conduct
- Complaints and Grievance Policy
- Child Safety and Wellbeing Policy
- Mandatory Reporting Policy
- Responding to Suspected and Reported Child Abuse Procedure
- Enrolment Policy
- Terms of Enrolment
- Suspensions and Expulsion Policy
- Privacy Policy
Approver Staff Leadership
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EDINBURGH SYMPHONY ORCHESTRA
Conductor: Gerard Doherty
Leader: Sheena Jardine
Summer Concert
Saturday 1st June 2024
7.30pm Greyfriars Kirk
Programme Notes
www.edinburghsymphonyorchestra.co.uk
Images - Claude Debussy (1862-1918)
I Gigues,
II Iberia
i) Pars les rues et par les chemins (In the streets and byways).
ii) Les Perfums de la nuit (The perfumes of the night).
iii) Les Matins d'un jour de fete (Morning preparations for a festival).
Debussy was born in 1862 at St Germaine en Laye. His early childhood was unsettled as his father was imprisoned after the Paris commune of 1871, and he received no formal education until he entered the Paris Conservatoire in 1872. There he showed early promise as a virtuoso but he became more interested in composition, winning the Prix de Rome in 1884 with his cantata L'Enfant prodigue. A few years later he composed his first great piece Prélude à l'après-midi d'un faune.
Debussy was attempting to move away from classical harmony which had dominated music for almost 200 years. He did this by experimenting with various scales most notably the pentatonic scale and the whole tone scale. In this scale, each note is separated by a tone and there are no semi-tones. This means unlike music based on traditional tonality, there is no sense of a discordant chord having to resolve onto a consonant one. However, the scale is based on the interval of an augmented fourth or tritone, which in traditional music was called the devil in music (Diabolous in Musica) and every student of classical harmony is told to avoid this interval like the plague. The use of whole tone scales gives Debussy’s music a dreamlike static quality, each chord standing alone by itself with no contrast between the tonic chord and the dominant chord.
Debussy went on to compose a number of other orchestral works including Nocturnes (1900) and La Mer (1905). He wrote for a large
orchestra, which included many exotic percussion instruments such as the gamelin, celeste and castanets. His works making use of orchestral colour and juxtaposing many different motifs rather than concentrating on the development of two or three big themes.
Debussy's Images L22 was composed during the years 1905 to 1912. It is a set of three works, of which the first two are heard during this concert. They present musical picture post cards of England, Spain and France. They are often performed separately and had separate first performances.
The first piece in the series, Gigues, was actually the last to be composed during the years 1909-1912. Its original title was Tristes Gigues (Sad Gigues) an apparent contradiction in terms. However, one of the inspirations for the work was a poem by Verlaine, which are the bitter reflections of a jilted lover that include the refrain "Dansons Les Gigues" ("Let's dance the jig"). The other main influence on the piece is the Tyneside folk song *The Keel Row*. The piece begins quietly with a solo flute playing a motif derived from the *Keel Row* over muted strings and glissando harps, the use of the pentatonic scale being suggestive of a Monet misty landscape. After the introduction, the oboe d'amore introduces a melody marked *doux et melancholique* (soft and melancholic). The rhythm becomes dance-like with the woodwind presenting a distorted version of *The Keel Row*, as if the dancers are mocking the jilted lover. About halfway through the piece, the oboe d'amore introduces another theme providing a contrast to the obsessive rhythmic pattern in the strings. This becomes important in the development section. The piece reaches a climax achieved by a high *sforzando* single high note played by two piccolos and a solo violin combining with a cymbal roll. The music then ends with a diminuendo, returning to the atmosphere of the introduction and the oboe d'amore. *Gigues* is a haunting piece providing a contrast to the stereotype of "'Merrie England'."
The second piece in the group, *Iberia*, was composed during the years 1906-1908. Debussy, along with many other composers such as Ravel, developed an interest in Spanish culture and had composed an earlier piece inspired by Spain, *Soiree dans Grandee* in 1903. This impressed the composer Falla who remarked that it was nothing less than miraculous, that a piece so evocative of Spain could be written by someone who was not a Spanish native. *Iberia* goes further and influenced Falla and other Spanish composers in their own compositions.
*Iberia* is a triptych within a triptych, the first part of which *Pars les rues et par les chemins* (In the streets and byways) depicts the hustle and bustle of a Spanish street. It begins with a rhythmic motif involving the tambourine and castanets, over which the clarinets play a sevillina-like theme suggesting village folk music. The rhythm exploits the ambiguity between 6/8 and 3/4 time. Fragments of the theme are alternated with plucked strings. A languorous Moorish tune is introduced by the oboe and viola, which will recur in the second part. Finally, the horns and trumpets introduce a march like theme that has a jazz like swing to it. After the main theme is reintroduced, the music just dissolves into thin air.
The second part of *Iberia*, *Les Perfums de la nuit* (The perfumes of the night) invokes a sultry Spanish night against a shimmering background, the oboe presents whole tonally an expressive habanera theme. The languorous mood is maintained by a series of glissandos and makes use of the xylophone and celeste. The habanera theme is taken up by divided violas and cellos, whilst the oboe plays the Moorish theme from the first part. The music becomes agitated reaching an expressive climax before subsiding. At the end, over a whole tone texture in the strings and horns distant bells and muted trumpets hint at the festive music that is to come in the last movement.
The final part, *Les Matins d’un jour de fete* (Morning preparations for a festival), begins without a pause. At first the sun begins to rise
then the music becomes more and more animated, with interjections by the tambourine, side drum and bells. At the height of the day, the strings strum vibrant chords like some giant guitar. Themes from the first and second movements are recalled and the movement ends with an exuberant finale.
Debussy went on to write a few other large-scale orchestral pieces including *Jeux* (1913). He died of cancer at his home in Paris in 1918.
Johann Nepomuk Hummel was born in 1778 in Pressburg, Hungary. His father was the director of the Imperial School of Military Music and conductor of the theatre orchestra. Johann showed aptitude for the piano and impressed Mozart who took him into his home for two years receiving tuition. He soon became well known and studied composition under Haydn and Albrechtsberger. In 1803, Hummel succeeded Haydn in his court post at Esterhazy. He immediately set about composing a trumpet concerto for Anton Wiedinger, the principal trumpet player of the orchestra and for whom Haydn had previously written a trumpet concerto. Wiedinger had invented a keyed trumpet, a precursor to the current valve trumpet, which enabled the player to use the chromatic scale. The piece was originally written in E major but is often transposed to E flat major. It was premiered at Esterhazy on January 1st, 1804, the day of Hummel’s arrival.
The first movement follows the pattern set by Mozart, namely a concert Allegro. This begins with an exposition of the two principal themes of the movement played by the orchestra and usually remains in the tonic key of the movement. The first exposition is then repeated by the soloist, but this time the key of the second theme is now in the dominant of the movement’s key, also variations on the themes are introduced. After the double exposition is completed, the themes are developed for a while, culminating in a repeat of the opening material with the second theme in the tonic key. A climax usually ensues ending on a pause before the soloist embarks on a cadenza based on the themes of the movement and allowing the soloist to display their virtuosity. Then
the orchestra embarks on a cadential sequence ending the movement.
The first movement of the Hummel concerto begins with a statement of the first theme in E major by the orchestra. This theme consists of two motifs, the first is a repetition of the note E in unisons and octaves. The second consists of a three-note descending quaver scale passage, followed by two sequential leaps of a sixth in crotchets. After a modulatory section to the dominant key of B major and back to E, a half cadence leads to the second subject played by strings and winds introduce. This is rhythmically distinctive consisting of three short notes in rapid succession, repeated three times. A cadence on E introduces the closing section. This introduces a new theme based on a rising scale a codetta leads to the second exposition by the soloist. This is similar in structure to the first exposition but introduces new thematic material and the soloist has plenty of opportunities to display their virtuosity. After a short development section, the recapitulation begins with a direct statement of the second exposition, ending with a cadence. This is normally where one would expect a cadenza to occur However there is no formal cadenza, but a short passage containing cadenza like material. A short codetta ends the movement.
The second movement andante is a song like form ABAB followed by a coda. The melody is played by the trumpet with the orchestra accompanying the soloist. The movement begins in A flat minor and is marked in 4/4 time. The orchestra plays repeated triplets underneath the duple time melody of the trumpet. A series of secondary seventh dominants creates tonal ambiguity until the second section in C major is reached that is harmonically stable. The third section is in A flat minor using material from the first section transposed to this key. The fourth section is in another different key namely A major and uses material from the second section, the movement creating a sense of unity within diversity. The movement
ends with a coda in A major with the orchestra predominating over the soloist.
The third movement is a lively rondo in 2/4 time. It follows the pattern A B A C A with the A section in the key of E major, the B section in B major and the C section in C minor. Each A section ends with a small codetta. The last section acts as a coda and gives the trumpeter a chance to display their dexterity with plenty of trills, turns and arpeggios. A short tutti by the orchestra and soloist ends this joyous piece.
Although Hummel was quite prolific in his output, the musical climate was changing with the arrival of Beethoven and his trumpet concerto is the only piece of Hummel regularly played these days, thus making Hummel essentially a one-work composer. He died peacefully in Weimar in 1837.
Symphony No 5 D major - Ralph Vaughan Williams (1872-1958)
I Preludio
II Scherzo
III Romanze
IV Passacaglia
Ralph Vaughan Williams was born in Gloucestershire in 1872 and quickly developed a talent for music. He studied at the Royal College of Music under Sir Hubert Parry, where he met and became friends with Gustav Holst. On leaving the RCM from 1904 – 1906, he was asked to edit a new hymn book, the English Hymnal and he also developed an interest in English folk song.
This experience helped Vaughan Williams extend his musical style from the well-developed ‘Germanic’ tradition, based on the use of minor and major scales, to include the modal scales, essentially those picked out by just playing the white notes of the piano from a given note. He also spent some time studying with Ravel. It was whilst he was compiling his hymns, that he came across a setting of a number of psalms by Thomas Tallis and this led to his Fantasia on a theme by Thomas Tallis (1910), which made use of modal techniques and would define Vaughan Williams’ style for the rest of his life. He went on to compose a number of symphonies. His second symphony, A London Symphony (1914), depicts various scenes of London life whilst his Third Symphony (The Pastoral (1922)) is a lament for the people, including many of his friends, who died in the First World War. In contrast, probably as a reflection of the turbulent times, his Fourth Symphony (1936) is a stormy one which took many people by surprise. Vaughan Williams began composing his Fifth Symphony in 1938. It is similar in mood to his Third Symphony and provides a contrast to the Fourth Symphony. At the time Vaughan Williams was working on his opera The Pilgrims Progress and the work quotes many of the themes from the opera. It was dedicated unofficially to Jean Sibelius and received its
premiere on the 24th June 1943 at a Prom concert by the London Philharmonic Orchestra conducted by Sir Henry Wood.
The first movement begins with a pedal C in the bass, answered by a horn call outlining a D major chord. But the tonality is quite ambiguous, the strings making use of the pentatonic scale. A number of different modes are heard until a sudden descent of a semitone marks a key change to three flats ushering in the development section. Here the tempo changes to Allegro, punctuated by the brass and woodwind, which introduce a canon. Finally, the development section ends in the key of D minor where the strings play tremolo. In the recapitulation the C pedal is reintroduced then after a repeat of the horn call the movement ends on a tonally ambiguous note.
The second movement is a Scherzo centring on rhythmic changes, rather than tonality. It begins with three dotted minims followed by four minims giving the impression that the music is accelerating; the pulse not really settling. The melody that follows is divided into five bar phrases and a temporary sense of stability is established when the theme is repeated by the viola and double bass in stable two bar phrases. But rhythmic instability is resumed when the violins enter with a different phrasing. Finally, the confusion ends with the woodwind and the strings performing alternating downward runs in antiphon against each other.
The third movement is a Romanza and is a meditation on the Passion of Christ. In the original manuscript the movement was headed with words taken from John Bunyan:
Upon that place there stood a cross
And a little below a sepulchre
Then he said “He hath given me rest by his sorrow and Life by his death.”
The last two lines were later sung in the opera by the Pilgrim. The movement can be considered the heart of the symphony and is
extremely meditative in nature. Vaughan Williams often used the term Romanza as a signal that the music was one of special significance to him. The movement begins with a solo Cor Anglais theme that remains almost unchanged throughout the movement.
The last movement begins with a repetitive bass line characteristic of the passacaglia form. This is abandoned and a fanfare motif represents the arming of the Pilgrim for his fight against evil. Themes from the first movement of the symphony return, which are resolved by a quiet valediction played first by the woodwind and then by the upper strings.
The opera Pilgrims Progress was eventually premiered in 1951. He composed three more Symphonies, the most famous of which being Sinfonia Antarctica (1953). This was a by-product of the composer’s score for the film Scott of the Antarctic. Vaughan Williams died suddenly at his home, aged 85 on the 26th August 1958, his reputation as one of the finest British composers firmly established.
Christopher Finlay May 2024
Ana Romero del Hombrebueno Miralles
Born in Daimiel (La Mancha, Spain), Ana Romero is a freelance trumpet player based in Glasgow, where she teaches as a private tutor. She studied a Bachelor Degree in Music (Hons) at the Royal Conservatoire of Madrid RCSMM, and did her Masters in Trumpet Performance followed by a Postgraduate in Teaching and Learning in Arts also at the RCS, with MBE Nigel Boddice as one of her main tutors.
As an orchestral player, during her Masters Ana won the apprenticeship schemes auditions and played with the BBC SSO, the RSNO and the Scottish Opera, performed with the Red Note Ensemble and did a couple of Tours with the Pro Youth Philharmonia (London). She was Conductor of the King’s Park Brass Band in Glasgow for two years. She has also worked with the RTVe Orchestra (Madrid), the Manchester Camerata, and the Philharmonic Orchestra of Canary Islands. She was offered the Second Trumpet job with the Beijing Orchestra in China before the pandemic started.
As a soloist, she has performed in Scotland with the Royal Regiment of Scotland, the Glasgow Sinfonia, the Cantilena Festival and the Highland Orchestra; and abroad, at the International Brass Sauerland festival in Germany, at the Victoria international brass
festival in Malta with the RCS Brass Ensemble, at the International Festival Vientos de la Montana in Mexico, in Norway with the Nord-Odal Concert Band, and has done recitals in Marseille (France), Assisi (Italy) and the Maldives.
As a chamber musician, Ana is Vice chairman and a member of the British National Trumpet Ensemble (BNTE) and the Spanish Roses Duo. She looks forward to performing in Chile this summer, where she will also be coaching trumpet students of the Santiago University.
https://www.anaromerotrumpet.com/
GERARD DOHERTY
Gerard Doherty studied violin and conducting at the Royal Scottish Academy. He studied conducting at post graduate level with Martin Brabbins at the Royal Scottish Conservatoire and also won a scholarship to study for two seasons at the American Academy of Conducting, Aspen, with Murry Sidlin, David Zinman, Jorma Panula and James Levine.
Gerard’s natural gift as a conductor first came to prominence when he conducted the Royal Scottish National Orchestra (RSNO) in Debussy’s La Mer in the presence of Walter Weller. With Weller’s highest recommendation, Gerard made his debut as a conductor, which led him to conduct the RSNO on numerous occasions, including when he had to step in during a recording session, as the conductor was indisposed, to complete a recording of opera arias, which were highly acclaimed.
His conducting has taken him to the United States, Europe and the Middle East. Gerard is currently Principal Conductor of the Glasgow Sinfonia and the Edinburgh Symphony Orchestra and he also guest conducts a number of other Scottish ensembles.
He has conducted a wide range of choral and symphonic works and is much admired for his natural musicianship, clear understanding, integrity and breadth of repertoire, which spans baroque to contemporary. His reviews have described his music making as “thrilling”, “exhilarating”, “triumphant” and “vibrant”. He is also a well-established conductor of choral music having spent 20 years as conductor of the Ayr Choral, conducting many major symphonic and sacred choral works as well as ‘A Capella’ repertoire.
His wide experience and in-depth knowledge of orchestral technique and repertoire are also in demand with the next generation of musicians. He was for 10 years Principal Conductor of the Strathclyde University Symphony Orchestra. He has been course director and conductor of the NYOS repertoire course on three occasions and has also conducted the Symphony Orchestra of the Royal Scottish Academy of Music, the Orchestra of the University of Castel Branco, Edinburgh University Chamber Orchestra, Renfrewshire Schools Symphony Orchestra, West of Scotland Independent Schools Orchestra and Glasgow Schools Symphony Orchestra, the National Youth String Orchestra of Scotland. He is at present conductor of the East Renfrewshire Schools Symphony and Senior String Orchestras, winning numerous awards.
He played violin for all of the major orchestras in the country, including 23 years as first violin in the RSNO. He is also a renowned violin teacher.
The Edinburgh Symphony Orchestra was the brainchild of its first conductor, Donald James – then the Head of Music at Edinburgh Academy – and gave its first concert in aid of Oxfam at the Reid Concert Hall in June 1963. Since then, for over 60 years, it has given amateur players the opportunity to perform a symphonic repertoire to a high standard under the batons of Donald James (1963-67), Henry McGlone (1967-72), Neil Butterworth (1972-73), Leon Coates (1973-85), Alasdair Mitchell (1985-2004) and Gerard Doherty, the present conductor.
Many young soloists in the early stages of their professional careers have been given the opportunity to play with the ESO, and the work of local composers has been commissioned. The repertoire includes not only the best-known pieces, but also music which is not so regularly performed. The Orchestra has, on occasion, combined with choral societies and in May 2005 was invited to accompany a huge choir of volunteers from all of Scotland in a charity performance of Verdi’s Requiem in the Usher Hall. There are usually 3 or 4 performances each year: normally in Greyfriars Kirk. ESO is a subscription orchestra managed by an elected committee. The orchestra is always pleased to hear from amateur musicians who would like to play. Anyone interested in joining the orchestra should contact email@example.com
Date for your diary
Saturday 30th November 2024 – 7:30 Greyfriars Kirk
Wagner, Mozart and Bruckner
| Instrument | Performers |
|------------------|-------------------------------------------------|
| Violin 1 | Sheena Jardine, Helen Adamson, Sheila Beattie, Adam Hamer, Alison Lucas, Claire McLean, Caroline Mortimer, Jo Sadler, Verena Schwarze, Iain Scott, Claire Shortt, Aimee Truesdale, Graeme Wilson |
| Violin 2 | Nigel Hambly, Kaye Brewster, Thea Harte, Christina Homer, Jessie Jungels, Malcolm McKitterick, Song-Su Oh, David Scott, Emma Waite de Kalaf |
| Timpani | Russell Wilson |
| Percussion | Ian Munro, Theodore Fuller, Rachel Sunter |
| Harp | Sophie Askew |
| Celeste | Emma Veitch |
| Viola | Kay Smith, Rachel Ademokun, Brianna Banting, Gillian Cloke, Vanessa Fisher, John Halliday, Jennifer Meakin, Anne Parker |
| Cello | Gerard Delaney, Tim Andrews, Ingrid Bols, Mike Evans, Murdo Homewood, Alison McMillan, Alice Paine, John Tanner, Emma Veitch |
| Double Bass | John Wilkinson, Margaret Christie, Angela Dimmock, Ray Leonard, Patrick Sturt |
| Flute | Catriona Crosby, Stella Henzell, Jean Murray, Simon McCann |
| Piccolo | Catriona Crosby, Stella Henzell, Jean Murray |
| Oboe | Jo Watts, Sheila Hyde |
| Oboe D’Amore | Gillian Price |
| Cor anglais | Anne Wilson |
| Clarinet | Hilary Saunders, Joseph Dax, Nadine Thompson |
| Bass Clarinet | Andrew Sweeney |
| Bassoon | Rainer Thönnes, Andrew Hazard, Shari Cohn-Simmen |
| Contrabassoon | Kathy Humphry |
| French Horn | Marian Kirton, Stephen Bradley, Hamish McRitchie, Victoria North |
| Trumpet | Elliot Longworth, Pamela Brown, Rhona Carse, Cameron Sutherland |
| Trombone | Daniel Richards, Murray Campbell, Ruth Andrew |
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EUROPE
1450 to 1789
ENCYCLOPEDIA OF THE EARLY MODERN WORLD
EDITORIAL BOARD
EDITOR IN CHIEF
Jonathan Dewald
University at Buffalo, The State University of New York
ASSOCIATE EDITORS
George C. Bauer
Linda F. Bauer
University of California, Irvine
James J. Bono
University at Buffalo, The State University of New York
Paul F. Grendler
University of Toronto, Emeritus
Paul D. Griffiths
Iowa State University
Donald R. Kelley
Rutgers University
Nancy Shields Kollmann
Stanford University
H. C. Erik Midelfort
University of Virginia
Carla Rahn Phillips
University of Minnesota, Twin Cities
William Weber
California State University, Long Beach
Madeline C. Zilfi
University of Maryland, College Park
Europe 1450 to 1789
ENCYCLOPEDIA OF THE EARLY MODERN WORLD
Volume 3
Gabrieli to Lyon
Jonathan Dewald, Editor in Chief
Europe 1450 to 1789: Encyclopedia of the Early Modern World
Jonathan Dewald, Editor in Chief
© 2004 by Charles Scribner's Sons
Charles Scribner's Sons is an imprint of The Gale Group, Inc., a division of Thomson Learning, Inc.
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LIBRARY OF CONGRESS CATALOGING-IN-PUBLICATION DATA
Europe 1450 to 1789 : encyclopedia of the early modern world / Jonathan Dewald, editor in chief.
p. cm.
Includes bibliographical references and index.
ISBN 0-684-31200-X (set : hardcover) — ISBN 0-684-31201-8 (v. 1)
ISBN 0-684-31202-6 (v. 2) — ISBN 0-684-31203-4 (v. 3) — ISBN 0-684-31204-2 (v. 4)
ISBN 0-684-31205-0 (v. 5) — ISBN 0-684-31206-9 (v. 6)
1. Europe—History—15th century—Encyclopedias. 2. Europe—History—1492–1648—Encyclopedias. 3. Europe—History—1648–1789—Encyclopedias. 4. Europe—Intellectual life—Encyclopedias. 5. Europe—Civilization—Encyclopedias. I. Title: Encyclopedia of the early modern world. II. Dewald, Jonathan.
D209.E97 2004
940.2—dc22
2003015680
This title is also available as an e-book.
ISBN 0-684-31423-1 (set)
Contact your Gale sales representative for ordering information.
Printed in United States of America
10 9 8 7 6 5 4 3 2 1
## CONTENTS OF THIS VOLUME
### VOLUME 3
- **Using the Encyclopedia** . . . xxi
- **Maps of Europe, 1453 to 1795** . . . xxiii
- **List of Abbreviations** . . . xxxi
#### G
- Gabrieli, Andrea and Giovanni
- Gainsborough, Thomas
- Galileo Galilei
- Galleys
- Gallicanism
- Gama, Vasco da
- Gambling
- Games and Play
- Gardens and Parks
- Gassendi, Pierre
- Gattinara, Mercurino
- Gdańsk
- Gender
- Geneva
- Genoa
- Gentileschi, Artemisia
- Gentleman
- Geoffrin, Marie-Thérèse
- Geology
- George I (Great Britain)
- George II (Great Britain)
- George III (Great Britain)
- German Literature and Language
- Germany, Idea of
- Gessner, Conrad
- Ghetto
- Giambologna (Giovanni da Bologna)
- Gianonne, Pietro
- Gibbon, Edward
- Gilbert, William
- Giorgione
- Glisson, Francis
- Glorious Revolution (Britain)
- Gluck, Christoph Willibald von
- Goa
- Goethe, Johann Wolfgang von
- Goldoni, Carlo
- Góngora y Argote, Luis de
- Goya y Lucientes, Francisco de
- Granada
- Grand Tour
- Graunt, John
- Greece
- Greuze, Jean-Baptiste
- Grimm, Friedrich Melchior von
- Grimmelshausen, H. J. C. von
- Grotius, Hugo
- Guicciardini, Francesco
- Guilds
- Guise Family
- Gustavus II Adolphus (Sweden)
- Gutenberg, Johannes
#### H
- Habsburg Dynasty
- Austria
| A | B | C | D | E | F | G | H | I | J | K | L | M | N | O | P | Q | R | S | T | U | V | W | X | Y | Z |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Spain | Hungary | Hungarian Literature and Language |
| Habsburg Territories | Hungary | Hunting |
| Habsburg-Valois Wars | Hussites | Huygens Family |
| Hagiography | Hymns | |
| Haller, Albrecht von | | |
| Hals, Frans | | |
| Hamburg | | |
| Handel, George Frideric | | |
| Hanover | | |
| Hanoverian Dynasty (Great Britain) | | |
| Hansa | | |
| Harem | | |
| Harley, Robert | | |
| Harrington, James | | |
| Hartlib, Samuel | | |
| Harvey, William | | |
| Haskalah (Jewish Enlightenment) | | |
| Hastings, Warren | | |
| Haydn, Franz Joseph | | |
| Helmont, Jean Baptiste van | | |
| Helvétius, Claude-Adrien | | |
| Henry VII (England) | | |
| Henry VIII (England) | | |
| Henry II (France) | | |
| Henry III (France) | | |
| Henry IV (France) | | |
| Heraldry | | |
| Herder, Johann Gottfried von | | |
| Hermeticism | | |
| Hesse, Landgraviate of | | |
| Hetmanate (Ukraine) | | |
| Historiography | | |
| Hobbes, Thomas | | |
| Hogarth, William | | |
| Hohenzollern Dynasty | | |
| Holbach, Paul Thiry, baron d’ | | |
| Holbein, Hans, the Younger | | |
| Holy Leagues | | |
| Holy Roman Empire | | |
| Holy Roman Empire Institutions | | |
| Homosexuality | | |
| Honor | | |
| Hooke, Robert | | |
| Hooker, Richard | | |
| Hospitals | | |
| Housing | | |
| Huguenots | | |
| Humanists and Humanism | | |
| Hume, David | | |
| Humor | | |
| I | | |
| Idealism | | |
| Ignatius of Loyola | | |
| Imperial Expansion, Russia | | |
| Index of Prohibited Books | | |
| Industrial Revolution | | |
| Industry | | |
| Inflation | | |
| Inheritance and Wills | | |
| Inquisition | | |
| Inquisition, Roman | | |
| Inquisition, Spanish | | |
| Insurance | | |
| Intendants | | |
| Interest | | |
| Ireland | | |
| Isabel Clara Eugenia and Albert of Habsburg | | |
| Isabella of Castile | | |
| Islam in the Ottoman Empire | | |
| Islands | | |
| Italian Literature and Language | | |
| Italian Wars (1494–1559) | | |
| Italy | | |
| Ivan III (Muscovy) | | |
| Ivan IV, “the Terrible” (Russia) | | |
| J | | |
| Jacobitism | | |
| Jadwiga (Poland) | | |
| Jagiellon Dynasty (Poland-Lithuania) | | |
| James I and VI (England and Scotland) | | |
| James II (England) | | |
| Janissary | | |
| Jansenism | | |
| Jenkins’ Ear, War of (1739–1748) | | |
| Jesuits | | |
| Jewelry | | |
| Jews, Attitudes toward | | |
Jews, Expulsion of (Spain; Portugal)
Jews and Judaism
Joanna I, “the Mad” (Spain)
Johnson, Samuel
Jones, Inigo
Jonson, Ben
Joseph I (Holy Roman Empire)
Joseph II (Holy Roman Empire)
Josephinism
Journalism, Newspapers, and Newsheets
Journals, Literary
Juan de Austria, Don
Jülich-Cleves-Berg
Julius II (pope)
K
Kalmar, Union of
Kant, Immanuel
Kauffmann, Angelica
Kepler, Johannes
Khmelnytsky, Bohdan
Khmelnytsky Uprising
Kiev
Kircher, Athanasius
Klopstock, Friedrich Gottlieb
Knox, John
Kochanowski, Jan
Kołłątaj, Hugo
L
La Bruyère, Jean de
La Fayette, Marie-Madeleine de
La Fontaine, Jean de
La Mettrie, Julien Offroy de
La Rochefoucauld, François, duc de
La Rochelle
Laborers
Laclos, Pierre Ambroise Choderlos de
Lagrange, Joseph-Louis
Landholding
Las Casas, Bartolomé de
Lasso, Orlando di
Late Middle Ages
Latin
Laud, William
Lavoisier, Antoine
Law
Canon Law
Common Law
Courts
International Law
Lawyers
Roman Law
Russian Law
Law’s System
Le Brun, Charles
League of Augsburg, War of the (1688–1697)
Ledoux, Claude-Nicolas
Leeuwenhoek, Antoni van
Leibniz, Gottfried Wilhelm
Leipzig
Leo X (pope)
Leonardo da Vinci
Leopold I (Holy Roman Empire)
Lepanto, Battle of
Lerma, Francisco Gómez de Sandoval y Rojas,
1st duke of
Lessing, Gotthold Ephraim
Lettre de Cachet
Levant
Leyden, Jan van
L’Hôpital, Michel de
Liberalism, Economic
Liberty
Libraries
Lima
Linnaeus, Carl
Lipsius, Justus
Lisbon
Literacy and Reading
Lithuania, Grand Duchy of, to 1569
Lithuanian Literature and Language
Livonian War (1558–1583)
Locke, John
Logic
London
Lorraine, Duchy of
Lottery
Louis XII (France)
Louis XIII (France)
Louis XIV (France)
Louis XV (France)
Louis XVI (France)
Louvois, François Le Tellier, marquis de
Lübeck
Lublin, Union of (1569)
Lully, Jean-Baptiste
Luther, Martin
Lutheranism
Lviv
Lyon
## CONTENTS OF OTHER VOLUMES
### VOLUME 1
- **Using the Encyclopedia** . . . xxiii
- **Preface** . . . xxv
- **Introduction** . . . xxix
- **Maps of Europe, 1453 to 1795** . . . xxxix
- **List of Maps** . . . xlvii
- **List of Abbreviations** . . . xlix
- **Chronology** . . . li
#### A
- Absolutism
- Academies, Learned
- Academies of Art
- Accounting and Bookkeeping
- Acoustics
- Addison, Joseph
- Advice and Etiquette Books
- Africa
- North
- Sub-Saharan
- Agriculture
- Alba, Fernando Álvarez de Toledo, duke of
- Alchemy
- Aldrovandi, Ulisse
- Alembert, Jean Le Rond d’
- Alexis I (Russia)
- American Independence, War of (1775–1783)
- Amsterdam
- Anabaptism
- Anatomy and Physiology
- Ancien Régime
- Ancient World
- Ancients and Moderns
- Andrusovo, Truce of (1667)
- Anglo-Dutch Naval Wars
- Anguissola, Sofonisba
- Anna (Russia)
- Anne (England)
- Anne of Austria
- Anne of Brittany
- Anticlericalism
- Antwerp
- Apocalypticism
- Apothecaries
- Archaeology
- Architecture
- Arctic and Antarctic
- Aristocracy and Gentry
- Aristotelianism
- Armada, Spanish
- Arnauld Family
- Art
- Art Exhibitions
- The Art Market and Collecting
- Art Theory, Criticism, and Historiography
- Artistic Patronage
- The Conception and Status of the Artist
- Artisans
- Asam Family
- Asia
- Assassination
- Astrology
Astronomy
Atheism
Atlantic Ocean
Augsburg
Augsburg, Religious Peace of (1555)
Augustus II the Strong (Saxony and Poland)
Austria
Austrian Succession, War of the (1740–1748)
Austro-Ottoman Wars
Authority, Concept of
Autocracy
Avvakum Petrovich
B
Bach Family
Bacon, Francis
Balkans
Balloons
Baltic and North Seas
Baltic Nations
Banditry
Banking and Credit
Bankruptcy
Barcelona
Barometer
Baroque
Basque Country
Bassi, Laura
Bavaria
Baxter, Richard
Bayle, Pierre
Beaumont and Fletcher
Beccaria, Cesare Bonesana, marquis of
Behn, Aphra
Belarus
Bellarmine, Robert
Benedict XIV (pope)
Berkeley, George
Berlin
Bernini, Gian Lorenzo
Bérulle, Pierre de
Bèze, Théodore de
Bible
Interpretation
Translations and Editions
Biography and Autobiography
Biology
Black Sea Steppe
Bodin, Jean
Boehme, Jacob
Boerhaave, Herman
Bohemia
Boileau-Despréaux, Nicolas
Bordeaux
Boris Godunov (Russia)
Borromeo, Carlo
Borromini, Francesco
Bossuet, Jacques-Bénigne
Boston
Boswell, James
Botany
Boucher, François
Bourbon Dynasty (France)
Bourbon Dynasty (Spain)
Bourgeoisie
Boyle, Robert
Brahe, Tycho
Brandenburg
Brant, Sebastian
Britain, Architecture in
Britain, Art in
British Colonies
The Caribbean
India
North America
Brittany
Browne, Thomas
Bruegel Family
Bruno, Giordano
Budapest
Budé, Guillaume
Buenos Aires
Buffon, Georges Louis Leclerc
Bullinger, Heinrich
Bunyan, John
Burgundy
Burke, Edmund
Burney, Frances
Buxtehude, Dieterich
C
Cabala
Cádiz
Calderón de la Barca, Pedro
Calendar
Callot, Jacques
Calvin, John
Calvinism
Cambrai, League of (1508)
Cambridge Platonists
Camera Obscura
Camisard Revolt
Camões, Luís Vaz de
Canova, Antonio
Capitalism
Caravaggio and Caravaggism
Caricature and Cartoon
Carnival
Carracci Family
Carrieria, Rosalba
Cartesianism
Cartography and Geography
Casanova, Giacomo Girolamo
Castiglione, Baldassare
Catalonia
Catalonia, Revolt of (1640–1652)
Cateau-Cambrésis (1559)
Catherine II (Russia)
Catherine de Médicis
Catholic League (France)
Catholic Spirituality and Mysticism
Catholicism
Cavendish, Margaret
Caxton, William
Cecil Family
Cellini, Benvenuto
Censorship
Census
Central Europe, Art in
Ceramics, Pottery, and Porcelain
Cervantes, Miguel de
Chardin, Jean-Baptiste-Siméon
Charity and Poor Relief
Charles I (England)
Charles II (England)
Charles VIII (France)
Charles V (Holy Roman Empire)
Charles VI (Holy Roman Empire)
Charles II (Spain)
Charles III (Spain)
Charles X Gustav (Sweden)
Charles XII (Sweden)
Charles the Bold (Burgundy)
Charleston
Charleton, Walter
Chemistry
Childhood and Childrearing
Christina (Sweden)
Chronometer
Church and State Relations
Church of England
Churchill, John, duke of Marlborough
Cisneros, Cardinal Francisco Jiménez de
Cities and Urban Life
Citizenship
City Planning
City-State
Class, Status, and Order
Classicism
Claude Lorrain (Gellée)
Clergy
Protestant Clergy
Roman Catholic Clergy
Russian Orthodox Clergy
Clocks and Watches
Clothing
Clouet, François
Cobos, Francisco de los
Coins and Medals
Colbert, Jean-Baptiste
Coligny Family
VOLUME 2
C (CONTINUED)
Cologne
Colonialism
Columbus, Christopher
Comenius, Jan Amos
Commedia dell’Arte
Commerce and Markets
Communication, Scientific
Communication and Transportation
Comuneros Revolt (1520–1521)
Concubinage
Condé Family
Condorcet, Marie-Jean Caritat, marquis de
Confraternities
Constantinople
Constitutionalism
Consumption
Conversos
Copernicus, Nicolaus
Cornaro Piscopia, Elena Lucrezia
Corneille, Pierre
Correggio
Corsica
Cortés, Hernán
Cosmology
Cossacks
Coulomb, Charles-Augustin de
Court and Courtiers
Cracow
Cranach Family
Crime and Punishment
Crisis of the Seventeenth Century
Cromwell, Oliver
Cromwell, Thomas
Cullen, William
Czech Literature and Language
D
Daily Life
Dance
Dashkova, Princess Catherine
David, Jacques-Louis
Death and Dying
Decorative Arts
Dee, John
Defoe, Daniel
Deism
Democracy
Denmark
Descartes, René
Design
Determinism
Devolution, War of (1667–1668)
Diamond Necklace, Affair of the
Diaries
Dictionaries and Encyclopedias
Diderot, Denis
Dientzenhofer Family
Diplomacy
Dissemination of Knowledge
Dissenters, English
Divine Right Kingship
Divorce
Donne, John
Dort, Synod of
Drama
English
German
Italian
Spanish and Portuguese
Dresden
Dryden, John
Dublin
Duel
Duma
Dürer, Albrecht
Dutch Colonies
The Americas
The East Indies
Dutch Literature and Language
Dutch Republic
Dutch Revolt (1568–1648)
Dutch War (1672–1678)
E
Early Modern Period: Art Historical Interpretations
Earth, Theories of the
Éboli, Ruy Gómez de Silva, prince of
Economic Crises
Edinburgh
Education
Edward VI (England)
El Greco
Elizabeth I (England)
Elizabeth (Russia)
Empiricism
Enclosure
Encyclopédie
Engineering
Civil
Military
England
English Civil War and Interregnum
English Civil War Radicalism
English Literature and Language
Enlightened Despotism
Enlightenment
Ensenada, Cenón Somodevilla, marqués de la
Enthusiasm
Environment
Epistemology
Equality and Inequality
Erasmus, Desiderius
Espionage
Estates and Country Houses
Estates-General, French
Estates-General, 1614
Estates-General, 1789
Ethnography
Euler, Leonhard
Europe and the World
Exclusion Crisis
Exploration
F
False Dmitrii, First
Family
Farnese, Isabel (Spain)
Febronianism
Feminism
Fénelon, François
Ferdinand I (Holy Roman Empire)
Ferdinand II (Holy Roman Empire)
Ferdinand III (Holy Roman Empire)
Ferdinand VI (Spain)
Ferdinand of Aragón
Festivals
Feudalism
Fielding, Henry
Firearms
Fischer von Erlach, Johann Bernhard
Florence
Florence, Art in
Floridablanca, José Moñino, count of
Folk Tales and Fairy Tales
Fontainebleau, School of
Food and Drink
Food Riots
Forests and Woodlands
Forgeries, Copies, and Casts
Fragonard, Jean-Honoré
France
France, Architecture in
France, Art in
Francis I (France)
Francis II (Holy Roman Empire)
Franck, Sebastian
François de Sales
Frankfurt am Main
Frederick III (Holy Roman Empire)
Frederick I (Prussia)
Frederick II (Prussia)
Frederick William (Brandenburg)
Frederick William I (Prussia)
Frederick William II (Prussia)
Free and Imperial Cities
Free Will
Freemasonry
French Colonies
The Caribbean
India
North America
French Literature and Language
Fronde
Fugger Family
Fur Trade
North America
Russia
VOLUME 4
M
Macau
Machiavelli, Niccolò
Madness and Melancholy
Madrid
Magellan, Ferdinand
Magic
Malpighi, Marcello
Mandeville, Bernard
Manila
Mannerism
Mansart, François
Mantua
Mantuan Succession, War of the (1627–1631)
Marburg, Colloquy of
Marguerite de Navarre
Maria Theresa (Holy Roman Empire)
Mariana, Juan de
Marie Antoinette
Marie de l’Incarnation
Marie de Médicis
Marillac, Michel de
Marlowe, Christopher
Marriage
Marseille
Martyrs and Martyrology
Marvels and Wonders
Mary I (England)
Mathematics
Matter, Theories of
Matthias (Holy Roman Empire)
Maulbertsch, Franz Anton
Maximilian I (Holy Roman Empire)
Maximilian II (Holy Roman Empire)
Mazarin, Jules
Mazepa, Ivan
Mechanism
Medici Family
Medicine
Medina Sidonia, Alonso Pérez de Guzmán, 7th duke of
Mediterranean Basin
Mehmed II (Ottoman Empire)
Melanchthon, Philipp
Mendelssohn, Moses
Mengs, Anton Raphael
Mercantilism
Mercenaries
Merian, Maria Sibylla
Mersenne, Marin
Mesmer, Franz Anton
Messianism, Jewish
Methodism
Mexico City
Michael Romanov (Russia)
Michelangelo Buonarroti
Midwives
Milan
Military
Armies: Recruitment, Organization, and Social Composition
Battle Tactics and Campaign Strategy
Early Modern Military Theory Historiography
Milton, John
Miracles
Missions, Parish
Missions and Missionaries
Asia
Spanish America
Mobility, Geographic
Mobility, Social
Mohyla, Peter
Molière
Monarchy
Money and Coinage
Central and Eastern Europe
Western Europe
Monopoly
Montaigne, Michel de
Montesquieu, Charles-Louis de Secondat de
Monteverdi, Claudio
Moral Philosophy and Ethics
Moravian Brethren
More, Henry
More, Thomas
Moriscos
Moriscos, Expulsion of (Spain)
Morozova, Boiarynia
Moscow
Motherhood and Childbearing
Mozart, Wolfgang Amadeus
Munich
Münster
Muratori, Ludovico Antonio
Murillo, Bartolomé Esteban
Museums
Music
Music Criticism
N
Nantes, Edict of
Naples, Art in
Naples, Kingdom of
Naples, Revolt of (1647)
Nasi Family
National Identity
Natural History
Natural Law
Nature
Navigation Acts
Navy
Neoclassicism
Neoplatonism
Nepotism
Netherlands, Art in the
Art in the Netherlands, 1500–1585
Art in Flanders, 1585–1700
Art in the Northern Netherlands, 1585–1700
Netherlands, Southern
Neumann, Balthasar
New York
Newton, Isaac
Nikon, patriarch
Noble Savage
Northern Wars
Novalis
Novikov, Nikolai Ivanovich
Nuremberg
O
Obstetrics and Gynecology
Occult Philosophy
Odalisque
Officeholding
Old Age
Old Believers
Oldenbarneveldt, Johan van
Oldenburg, Henry
Olivares, Gaspar de Guzmán y Pimentel, count of
Opera
Oprichnina
Optics
Orphans and Foundlings
Orthodoxy, Greek
Orthodoxy, Russian
Ottoman Dynasty
Ottoman Empire
Oxenstierna, Axel
P
Pacific Ocean
Pacifism
Painting
Palatinate
Palestrina, Giovanni Pierluigi da
Palladio, Andrea, and Palladianism
Papacy and Papal States
Paracelsus
Paris
Parlements
Parliament
Parma
Parma, Alexander Farnese, duke of
Pascal, Blaise
Passarowitz, Peace of (1718)
Passions
Pastel
Patiño y Morales, José
Patriarchy and Paternalism
Patriot Revolution
Patronage
Paul I (Russia)
Paul III (pope)
Paul V (pope)
Pawning
Peasantry
Peasants’ War, German
Peiresc, Nicolas-Claude Fabri de
Pepys, Samuel
Perrault, Charles
Persecution
Peter I (Russia)
Petty, William
Philadelphia
Philip II (Spain)
Philip III (Spain)
Philip IV (Spain)
Philip V (Spain)
Philosophes
Philosophy
Physics
Physiocrats and Physiocracy
Picturesque
Pietism
Pilon, Germain
Piracy
Piranesi, Giovanni Battista
Pitt, William the Elder and William the Younger
Pius IV (pope)
Pius V (pope)
Pizarro Brothers
Plague
Poisons, Affair of the
Poissy, Colloquy of
Poland, Partitions of
Poland to 1569
Poland-Lithuania, Commonwealth of, 1569–1795
Police
Polish Literature and Language
Polish Succession, War of the (1733–1738)
Political Parties in England
Political Philosophy
Political Secularization
Pompadour, Jeanne-Antoinette Poisson
Pompeii and Herculaneum
Poniatowski, Stanisław II Augustus
Pope, Alexander
P (CONTINUED)
Popular Culture
Popular Protest and Rebellions
Pornography
Porte
Portrait Miniatures
Portugal
Portuguese Colonies
Africa
Brazil
The Indian Ocean and Asia
Madeira and the Azores
Portuguese Literature and Language
Postal Systems
Potosí
Poussin, Nicolas
Poverty
Prague
Prague, Defenestration of
Preaching and Sermons
Prévost d’Exiles, Antoine-François
Priestley, Joseph
Printing and Publishing
Prints and Popular Imagery
Early Popular Imagery
Later Prints and Printmaking
Progress
Prokopovich, Feofan
Property
Prophecy
Prostitution
Proto-Industry
Providence
Provincial Government
Prussia
Psychology
Public Health
Public Opinion
Pugachev Revolt (1773–1775)
Purcell, Henry
Puritanism
Pyrenees, Peace of the (1659)
R
Rabelais, François
Race, Theories of
Racine, Jean
Rákóczi Revolt
Rameau, Jean-Philippe
Ramus, Petrus
Raphael
Ray, John
Razin, Stepan
Reason
Reformation, Catholic
Reformation, Protestant
Reformations in Eastern Europe: Protestant,
Catholic, and Orthodox
Refugees, Exiles, and Émigrés
Regency
Religious Orders
Religious Piety
Rembrandt van Rijn
Renaissance
Rentiers
Representative Institutions
Republic of Letters
Republicanism
Resistance, Theory of
Restoration, Portuguese War of (1640–1668)
Revolutions, Age of
Reynolds, Joshua
Rhetoric
Richardson, Samuel
Richelieu, Armand-Jean Du Plessis, cardinal
Rights, Natural
Ritual, Civic and Royal
Ritual, Religious
Robertson, William
Rococo
Roma (Gypsies)
Romania
Romanov Dynasty (Russia)
Romanticism
Rome
Rome, Architecture in
Rome, Art in
Rome, Sack of
Q
Quakers
Rosicrucianism
Rousseau, Jean-Jacques
Rubens, Peter Paul
Rudolf II (Holy Roman Empire)
Russia
Russia, Architecture in
Russia, Art in
Russian Literature and Language
Russo-Ottoman Wars
Russo-Polish Wars
Ruysch, Rachel
Seven Years’ War (1756–1763)
Sévigné, Marie de
Seville
Sexual Difference, Theories of
Sexuality and Sexual Behavior
Shabbetai Tzevi
Shakespeare, William
Sheridan, Richard Brinsley
Shipbuilding and Navigation
Shipping
Shops and Shopkeeping
Sidney, Philip
Sigismund II Augustus (Poland, Lithuania)
Silesia
Sinan
Sixtus V (pope)
Skepticism: Academic and Pyrrhonian
Slavery and the Slave Trade
Sleidanus, Johannes
Smith, Adam
Smollett, Tobias
Smotrytskyi, Meletii
Smyrna (İzmir)
Sofia Alekseevna
Songs, Popular
Sovereignty, Theory of
Spain
Spain, Art in
Spanish Colonies
Africa and the Canary Islands
The Caribbean
Mexico
Other American Colonies
Peru
The Philippines
Spanish Literature and Language
Spanish Succession, War of the (1701–1714)
Spas and Resorts
Spenser, Edmund
Spinoza, Baruch
Sports
Sprat, Thomas
Star Chamber
State and Bureaucracy
Statistics
Steele, Richard
Steno, Nicolaus
Stephen Báthory
Sterne, Laurence
Stock Exchanges
Stockholm
Stoicism
Strasbourg
Strikes
Stuart Dynasty (England and Scotland)
Sublime, Idea of the
Sugar
Suicide
Suleiman I
Sultan
Sumptuary Laws
Surgeons
Surveying
Sweden
Swedenborgianism
Swedish Literature and Language
Swift, Jonathan
Switzerland
T
Tasso, Torquato
Taxation
Technology
Teresa of Ávila
Teutonic Knights
Textile Industry
Theology
Thirty Years’ War (1618–1648)
Thomasius, Christian
3 May Constitution
Tiepolo, Giovanni Battista
Tilly, Johann Tserclaes of
Time, Measurement of
Time of Troubles (Russia)
Tintoretto
Titian
Tobacco
Toledo
Toleration
Topkapi Palace
Torture
Tournament
Trading Companies
Travel and Travel Literature
Trent, Council of
Triangular Trade Pattern
Tudor Dynasty (England)
Tulip Era (Ottoman Empire)
Tulips
Turkish Literature and Language
Tyranny, Theory of
U
Ukraine
Ukrainian Literature and Language
Uniates
Union of Brest (1596)
Universities
Urban VIII (pope)
Utopia
Utrecht, Peace of (1713)
V
Vagrants and Beggars
Valois Dynasty (France)
Van Dyck, Anthony
Vasa Dynasty (Sweden)
Vasari, Giorgio
Vasili III (Muscovy)
Vaughan, Thomas
Veduta (View Painting)
Vega, Lope de
Velázquez, Diego
Venice
Venice, Architecture in
Venice, Art in
Vermeer, Jan
Veronese (Paolo Caliari)
Versailles
Vesalius, Andreas
Vico, Giovanni Battista
Victoria, Tomás Luis de
Vienna
Vienna, Sieges of
Viète, François
Vigée-Lebrun, Elisabeth
Villages
Vilnius
Vincent de Paul
Violence
Virtue
Vivaldi, Antonio
Vives, Juan Luis
Vizier
Voltaire
Vouet, Simon
W
Wages
Wallenstein, A. W. E. von
Walpole, Horace
Wars of Religion, French
Warsaw
Watteau, Antoine
Weather and Climate
Weights and Measures
Wesley Family
Westphalia, Peace of (1648)
Widows and Widowhood
Wieland, Christoph Martin
Wilkins, John
William and Mary
William of Orange
Winckelmann, Johann Joachim
Witchcraft
Witt, Johan and Cornelis de
Wittelsbach Dynasty (Bavaria)
Władysław II Jagiełło (Poland)
Wolff, Christian
Women
Women and Art
Wren, Christopher
Württemberg, duchy of
XYZ
Youth
Zinzendorf, Nikolaus Ludwig von
Zoology
Zurbarán, Francisco de
Zurich
Zwingli, Huldrych
Systematic Outline of Contents . . . 267
Directory of Contributors . . . 281
Index . . . 303
USING THE ENCYCLOPEDIA
Tables of contents. Each volume contains a table of contents for the entire *Encyclopedia*. Volume 1 has a single listing of all volumes’ contents. Volumes 2 through 6 contain “Contents of This Volume” followed by “Contents of Other Volumes.”
Maps of Europe. The front of each volume contains a set of maps showing Europe’s political divisions at six important stages from 1453 to 1795.
Alphabetical arrangement. Entries are arranged in alphabetical order. Biographical articles are generally listed by the subject’s last name (with some exceptions, e.g., Leonardo da Vinci).
Royalty and foreign names. In most cases, the names of rulers of French, German, and Spanish rulers have been anglicized. Thus, Francis, not François; Charles, not Carlos. Monarchs of the same name are listed first by their country, and then numerically. Thus, Henry VII and Henry VIII of England precede Henry II of France.
Measurements appear in the English system according to United States usage, though they are often followed by metric equivalents in parentheses. Following are approximate metric equivalents for the most common units:
\[
\begin{align*}
1 \text{ foot} &= 30 \text{ centimeters} \\
1 \text{ mile} &= 1.6 \text{ kilometers} \\
1 \text{ acre} &= 0.4 \text{ hectares} \\
1 \text{ square mile} &= 2.6 \text{ square kilometers} \\
1 \text{ pound} &= 0.45 \text{ kilograms} \\
1 \text{ gallon} &= 3.8 \text{ liters}
\end{align*}
\]
Cross-references. At the end of each article is a list of related articles for further study. Readers may also consult the table of contents and the index for titles and keywords of interest.
Bibliography. Each article contains a list of sources for further reading, usually divided into Primary Sources and Secondary Sources.
Systematic outline of contents. After the last article in volume 6 is an outline that provides a general overview of the conceptual scheme of the *Encyclopedia*, listing the title of each entry.
**Directory of contributors.** Following the systematic outline of contents is a listing, in alphabetical order, of all contributors to the *Encyclopedia*, with affiliation and the titles of his or her article(s).
**Index.** Volume 6 concludes with a comprehensive, alphabetically arranged index covering all articles, as well as prominent figures, geographical names, events, institutions, publications, works of art, and all major concepts that are discussed in volumes 1 through 6.
MAPS OF EUROPE, 1453 TO 1795
The maps on the pages that follow show political boundaries within Europe at six important stages in the roughly three hundred and fifty years covered by this *Encyclopedia*: 1453, 1520, 1648, 1715, 1763, and 1795.
1453. In the years around 1450, Europe settled into relative political stability, following the crises of the late Middle Ages. France and England concluded the Hundred Years’ War in 1453; the Ottoman Turks conquered Constantinople in the same year and established it as the capital of their empire; and in 1454 the Treaty of Lodi normalized relations among the principal Italian states, establishing a peaceful balance of power among Venice, Florence, the duchy of Milan, the Papal States, and the Kingdom of Naples.
1520. In 1520, the Habsburg prince Charles V was elected Holy Roman emperor, uniting in his person lordship over central Europe, Spain, the Low Countries, parts of Italy, and the newly conquered Spanish territories in the Americas. For the next century, this overwhelming accumulation of territories in the hands of a single dynasty would remain the most important fact in European international politics. But in 1520 Habsburg power already faced one of its most troublesome challenges: Martin Luther’s Reformation, first attracting widespread notice in 1517, would repeatedly disrupt Habsburg efforts to unify their territories.
1648. The 1648 Peace of Westphalia ended the Thirty Years’ War, one of the most destructive wars in European history. The peace treaty formally acknowledged the independence of the Dutch Republic and the Swiss Confederation, and it established the practical autonomy of the German principalities—including the right to establish their own religious policies. Conversely, the Holy Roman Empire lost much of its direct power; although its institutions continued to play some role in German affairs through the eighteenth century, the emperors’ power now rested overwhelmingly on the Habsburg domain lands in Austria, Bohemia, and eastern Europe.
1715. The Peace of Utrecht (1713) ended the War of the Spanish Succession, the last and most destructive of the wars of the French king Louis XIV. The treaty ended Spain’s control over present-day Belgium and over parts of Italy, and it marked the end of French hegemony within Europe. In the eighteenth century, France would be only one of five leading powers.
1763. The 1763 Treaty of Paris ended the Seven Years’ War, a war that involved all the major European powers and included significant campaigns in North America and southern Asia, as well as in Europe. The war made clear the arrival of Prussia as a great power, at least the equal of Austria in central and eastern Europe.
1795. By 1795, French armies had repelled an attempted invasion by Prussia, Austria, and England, and France had begun annexing territories in Belgium and western Germany. These military successes ensured the continuation of the French Revolution, but they also meant that European warfare would continue until 1815, when the modern borders of France were largely established. Warfare with France did not prevent the other European powers from conducting business as usual elsewhere: with agreements in 1793 and 1795, Prussia, Austria, and Russia completed their absorption of Poland.
| Abbreviation | Description |
|--------------|-------------|
| A.D. | *Anno Domini*, in the year of the Lord |
| A.H. | *Anno Hegirae*, in the year of the Hegira |
| b. | born |
| B.C. | before Christ |
| B.C.E. | before the common era (= B.C.) |
| c. | *circa*, about, approximately |
| C.E. | common era (= A.D.) |
| ch. | chapter |
| d. | died |
| ed. | editor (pl., eds.), edition |
| e.g. | *exempli gratia*, for example |
| et al. | *et alii*, and others |
| etc. | *et cetera*, and so forth |
| exh. cat. | exhibition catalogue |
| fl. | *floruit*, flourished |
| i.e. | *id est*, that is |
| MS. | manuscript (pl. MSS.) |
| n.d. | no date |
| no. | number (pl., nos.) |
| n.s. | new series |
| N.S. | new style, according to the Gregorian calendar |
| O.S. | old style, according to the Julian calendar |
| p. | page (pl., pp.) |
| rev. | revised |
| S. | *san, sanctus, santo*, male saint |
| SS. | saints |
| Sta. | *sancta, santa*, female saint |
| supp. | supplement |
| vol. | volume |
| ? | uncertain, possibly, perhaps |
EUROPE
1450 to 1789
ENCYCLOPEDIA OF THE EARLY MODERN WORLD
GABRIELI, ANDREA AND GIOVANNI (Andrea Gabrieli, c. 1532/33–1585; Giovanni Gabrieli, c. 1554/57–1612), Italian composers and organists noted for the grandeur of their sacred and ceremonial music. Andrea Gabrieli and his nephew Giovanni Gabrieli were leading figures in Venetian music and influenced the development of seventeenth-century German music as well. Most likely a native of Venice, Andrea may have been in Verona during the 1550s (as indicated by the publication there of his earliest known madrigal and his probable association with the Accademia Filharmonica of Verona), and in Munich in 1562 at the court of Albert V, duke of Bavaria, where he met Orlando di Lasso (c. 1532–1594), the most famous composer of the era. By 1566, Andrea was appointed as one of the two permanent organists at the Basilica of St. Mark’s in Venice, a position he held until his death, and was followed in this position by his nephew Giovanni. Andrea established a line of native Venetian musicians working at St. Mark’s after a period of dominance by northern masters.
As a composer, Andrea Gabrieli wrote in most of the musical genres of his day, including masses, psalms, motets, madrigals, and many instrumental works, most for solo keyboard. He composed both small- and large-scale works, including polychoral music employing the technique of *cori spezzati* (split choirs) that exploited the spatial separation of two or more choirs through chordal textures, syllabic text setting, and short imitative dialogues between performing groups.
Many of his compositions were published posthumously in the *Concerti* (1587), a collection of large-scale vocal works (sacred and secular) and instrumental works, edited by his nephew Giovanni Gabrieli. The collection includes madrigals as well as settings of liturgical texts for major feast days in Venice (Christmas, Easter, St. Mark’s, Corpus Christi, Marian feasts). It also contains ceremonial music for events of church and state in Venice, including occasional works to Italian texts in commemoration of state visits by Archduke Charles of Austria in 1565 or 1569 and by the French king Henry III in 1574, a motet for the new Franciscan Church of the Redentore (built 1577–1592) designed by architect Andrea Palladio (1508–1580) erected to celebrate the end of a plague epidemic in 1577, and a series of mass movements perhaps written to honor the state visit of five Japanese princes in 1585.
The compositions that Andrea Gabrieli wrote for instrumental ensemble and solo keyboard are important to the development of independent instrumental genres. His *intonazioni* (preludes) and many of his toccatas are free, improvisatory pieces, while his ricercars and canzonas feature fugal writing (that is, with musical phrases imitated in two or more voices). Andrea’s music remained in print until the mid-seventeenth century, published in Germany and the Low Countries as well as in Italy. He was a renowned teacher whose students included German composers Hans Leo Hassler (1564–
1612) and Gregor Aichinger (1564/65–1628), music theorist Lodovico Zacconi (1555–1627), and his own nephew Giovanni.
Giovanni Gabrieli was once thought to be of patrician origins; however, the recent discovery of the identity of his father as Piero di Fais, called Gabrieli, confirms that the family was not of Venetian nobility. Giovanni followed in the footsteps of his uncle Andrea, working first at the Munich court of Albert V under Orlando di Lasso, then returning to Venice to become organist at St. Mark’s beginning in 1584 (a position made permanent in 1585) until his death in 1612. In the year 1585, the two Gabriels served together for several months as organists at the basilica. Giovanni described himself as “little less than a son” of Andrea, whose music he edited for publication in 1587, along with some of his own compositions. Giovanni’s duties included composing ceremonial music for St. Mark’s, much of which was published in two monumental collections: *Sacrae Symphoniae* (1597) and *Symphoniae Sacrae* (1615). Giovanni also held the post of organist for the Scuola Grande di San Rocco from 1585 on, and some of this music served the confraternity on high feast days. Like Andrea, Giovanni was a pre-eminent teacher whose reputation reached far beyond the Veneto; the most famous of his northern students was German composer Heinrich Schütz (1585–1672).
The close connection between church and state in Venice, emphasized by the proximity of the ducal palace to St. Mark’s, led to sumptuous religious and civic celebrations accompanied by vocal and instrumental music and splendid pageantry. Gabrieli wrote several grand motets for the feast of St. Mark, the city’s patron, and for Ascension Day festivities, on which occasion the famous ceremony of the Wedding of Venice to the Sea took place, when the doge cast a ring into the lagoon to be retrieved by a young fisherman, symbolizing the domination of the Venetian Republic over the Adriatic after conquering Dalmatia in the year 1000. Francesco Sansovino, in volume 12 of his 1581 guidebook to Venice, *Venetia città nobilissima*, described one such commemoration performed with the “two famous organs of the church, and the other instruments [which] made the most excellent music, in which the best singers and players that can be found in this region took part.” The description refers to performances with some musicians positioned in choir lofts on either side of the nave, each with a pipe organ, in addition to the musicians on the floor. Gabrieli’s polychoral motet *O quam suavis* (1615), for two choirs and instruments, sets a text for vespers on the Feast of Corpus Christi, an occasion that called for a grandiose procession (*andata*) in St. Mark’s Square in which all the clergy, confraternities, and civic dignitaries took part. The participation of singers and instrumentalists on the Feast of St. Mark’s (April 25) was captured by Gentile Bellini (c. 1429–1507) in his well-known painting *Procession of the True Cross in the Piazza San Marco* (1496), commemorating this event and the miraculous healing powers of the True Cross of the Scuola di San Giovanni Evangelista.
Giovanni Gabrieli’s output of instrumental music was remarkable. His ensemble canzonas and sonatas exploited the rich musical resources of St. Mark’s and were meant for ceremonial performance on high feast days. Giovanni was among the first composers to specify instrumentation in his works: his *Sonate pian e forte* (1597) calls for two instrumental choirs (violin with three trombones, and cornetto with three trombones) and is one of the earliest compositions to include dynamic markings.
Although Giovanni shunned the lighter secular forms of villanella and canzonetta, his madrigals were included in a number of anthologies. Several of these works celebrate eminent acquaintances, including the powerful Augsburg banker Jacob Fugger (1542–1598), who was the dedicatee of the *Concerti* (1587).
Giovanni’s later works show early baroque characteristics of florid solo writing set against larger forces, and the use of organ basso continuo. After Claudio Monteverdi (1567–1643) was appointed choirmaster at St. Mark’s in 1613, the influence of Andrea and Giovanni Gabrieli began to wane in Italy, and the more dramatic, mannerist style of Monteverdi began to transform Italian music; however, their impact remained significant on musical styles in the north.
*See also Baroque; Monteverdi, Claudio; Music; Schütz, Heinrich; Venice.*
GAINSBOROUGH, THOMAS (1727–1788), English painter. Rivaling Sir Joshua Reynolds in the field of portraiture, Thomas Gainsborough’s career highlights the opportunities available to a painter in eighteenth-century England. After establishing his practice in provincial cities, Gainsborough maintained close connections to the London scene through personal contacts and by regularly displaying his work at exhibition venues. His continued allegiance to the unprofitable genre of landscape painting served as a model for future generations of landscapists, such as John Constable and Joseph Mallord William Turner.
Born in Sudbury, Suffolk, Gainsborough received his early training from Francis Wynantz, probably a Dutch artist. East Anglia traditionally had close ties to the Low Countries, and Gainsborough’s early landscape style reflects this influence.
Gainsborough’s father was a failed clothier, who after declaring bankruptcy in 1733 became the local postmaster. Gainsborough, however, was an artistic prodigy, and around 1740 he went to London, where he studied with the French artist Hubert François Gravelot and then with Francis Hayman. Absorbing the French rococo style of Gravelot, Gainsborough also adopted his master’s practice of drawing from small-scale dolls. Gravelot returned to Paris in 1745, and it is this year to which Gainsborough’s independent practice is usually dated. His independence was further bolstered by his marriage in 1746 to Margaret Burr, who had an annual income of £200, which she received from the duke of Beaufort, assumed to be her natural father.
At the death of his father in 1748 and in pursuit of patronage, Gainsborough established a practice in his native Sudbury. Before leaving London, he completed the roundel *The Charterhouse* (1748; Thomas Coram Foundation for Children, London) for the Foundling Hospital. In addition, he began his early landscape masterpiece *Cornard Wood or Gainsborough’s Forest* (c. 1746–1747; National Gallery, London). When Alderman Boydell purchased this work in 1788 for 75 guineas, Gainsborough wrote with satisfaction that “it is in some respects a little in the schoolboy stile—but I do not reflect on this without a secret gratification; for as an early instance how strong my inclination stood for Landskip.”
Of necessity, however, Gainsborough had to concentrate his practice on portraiture, and in 1752 he moved to Ipswich in order to find a wider clientele. By 1759 he was increasingly traveling farther afield in search of new commissions, and by the end of that year had moved to the spa city of Bath, where he remained until 1773.
Soon after his arrival in Bath, Gainsborough raised his prices to 20 guineas for a head portrait, 40 guineas for a half-length portrait, and 80 guineas for a full-length portrait, suggesting that there was sufficient patronage in the fashionable city for the newcomer as well as the already established William Hoare. The first large work Gainsborough painted in Bath was the full-length portrait of Ann Ford (1760; Cincinnati Art Museum), the future wife of his friend Philip Thicknesse.
Gainsborough’s move to Bath coincided with the establishment of annual exhibitions at the Society of Artists in London, and from 1761 onward he sent examples of his full-length portraits, such as *Robert Craggs, Earl Nugent* (1760; private collection), as well as some of his landscapes, such as *The Harvest Wagon* (1767; Barber Institute of Fine Arts, University of Birmingham). The strength of his reputation in the London art world was confirmed by his invitation in December 1768 to become a founder-member of the Royal Academy.
Gainsborough articulated his dual love of music and landscape in a letter dated 1769 to his friend
William Jackson, the composer and organist of Exeter Cathedral, “I’m sick of Portraits and wish very much to take my Viol da Gamba and walk off to some sweet Village where I can paint Landskips and enjoy the fag End of Life in quietness and ease.” Nevertheless, he continued to paint portraits, and after his 1774 move to London, Gainsborough gained important commissions from the royal family, whose patronage Reynolds was never to attain. Even so, on the death of Allan Ramsay in 1784, Reynolds was named principal painter on the basis of his presidency of the Royal Academy.
Although Gainsborough was appointed to its council the year of his move to London, his relationship with the Royal Academy was uneasy. In 1773 he had objected to the way his paintings were hung at the academy’s annual exhibition, and he did not again contribute to the exhibition until 1777. In 1784 he once more complained about the hanging of his portraits; they were returned to him, and he never exhibited at the Royal Academy again. Gainsborough also advised his patrons on the best placement of his portraits, showing his attention to the effect of light on his work. Gainsborough’s concern with light and its effects can be seen in his painting technique: Often he would paint by candlelight, as well as with long brushes to achieve distance from the canvas.
On Gainsborough’s death in 1788, Reynolds devoted his annual lecture to the students and members of the Royal Academy to his rival, acknowledging that “all those odd scratches and marks . . . by a kind of magick, at a certain distance assumes form, and all the parts seem to drop into their proper places.”
See also Academies of Art; Britain; Art in; Reynolds, Joshua; Rococo.
BIBLIOGRAPHY
Primary Sources
Reynolds, Sir Joshua. *Discourses on Art*. Edited by Robert R. Wark. New Haven and London, 1975.
Woodall, Mary, ed. *The Letters of Thomas Gainsborough*. London and Greenwich, Conn., 1963.
GALILEO GALILEI (1564–1642), Italian scientist. Born in Pisa, Galileo was the eldest of the six or seven children of Vincenzio Galilei, a merchant and music theorist, and Giulia Ammannati. He spent his childhood in Pisa and Florence; in the fall of 1581, upon his father’s advice, he enrolled at the University of Pisa as a student of medicine. Not enthusiastic about this discipline, within two years he had begun to study Euclidean and Archimedean works privately and left the university in 1585 without a degree. He offered both public and private lessons in mathematics for the next three years and sought, unsuccessfully, to obtain a professorial chair at Bologna in 1588. His various meditations on and experiments with mechanics, metrology, and musical consonance, and his participation in a Florentine academy in this period, helped him secure the chair in mathematics at the University of Pisa in the fall of 1589.
By late 1592 Galileo had won a more prestigious post in mathematics at the University of Padua, and it was here that he undertook significant work in optics and catoptrics, magnetism, tidal theory, mechanics, and instrumentation. This last area was crucial to his financial well-being: in order to meet the demands incumbent upon him as the eldest son, and to supplement his professorial salary, Galileo offered private lessons to students in Padua, many of whom were eager to learn the various uses of a calculating instrument of his design. Galileo’s extant writings in mechanics in these same years likewise reflect a strong interest in combining classical problems with actual devices for lifting, lowering, and guiding solid bodies and fluids.
Galileo may have become an adherent of the heliocentric world system posited by Nicolaus Copernicus (1473–1543) in the mid-1590s; so he asserted in 1597 in a letter to the German astronomer Johannes Kepler (1571–1630), discoverer of the laws of planetary motion. Certain conjectures regarding tidal theory reflect a cautious interest in the hypothesis of a mobile Earth, for tides were explained as a product of the globe’s annual and diurnal motions, with variations in periodicity deriving from the particular shape of any large body of water. One might also infer Galileo’s discreet support of the Copernican system through the attention he devoted in this period to speculative arguments derived from mechanics. The arena in which cosmogony and mechanics intersected was in a quantified approach to a myth mentioned in Plato’s *Timaeus* involving the “creation point,” or the place or places from which the Divine Architect originally dropped the various planets. These bodies, after falling toward the sun, would each reach and remain in the orbits to which they had been assigned. Scholars have suggested that around 1602–1604 Galileo did attempt to combine his
still evolving understanding of the law of falling bodies and of the way such bodies behave when diverted into uniform orbital motion, with Kepler’s estimated periods of revolution for Saturn, Mars, and Jupiter.
By the fall of November 1604 Galileo’s attention was on the heavens, for the appearance of a new star seemed to offer strong evidence against Aristotelian conventions regarding an immutable world beyond the Moon. But his most explicitly Copernican conjectures concern the Moon; between 1605 and 1607 he and several of his closest associates had observed the ashen light reflected onto that body by Earth at the beginning and end of each lunar cycle. The rough and opaque body of Earth was, in other words, like other planets, tolerably bright; the corollary was, for some, that Earth likewise participated in “the dance of the stars.” In this period Galileo was also engaged in more studies of motion and hydrostatics, and involved with additional work in magnetism.
By spring or summer 1609, Galileo was making celestial observations with the aid of a telescope at least three times more powerful than a prototype from The Hague. By November of that year, he had developed a telescope that magnified twenty times, and it was with this instrument that he undertook his observations of the lunar body. His *Starry Messenger* of 1610 shows that the telescope confirmed his earlier naked-eye impressions of both a rough lunar surface and of the ashen light, and that it allowed him to present certain of the Moon’s features, most notably its peaks, valleys, and craters, in terms of their terrestrial counterparts. He used the shadows cast by a particular mountain on the Moon to calculate the average height of such formations. On the basis of these observations of the Moon’s similarity to Earth, Galileo proposed a thoroughgoing revision of the Ptolemaic conception of the cosmos, and he promised to deliver such arguments in his *System of the World*, the forerunner to the eventual *Dialogue concerning the Two Chief World Systems* of 1632.
The greatest discoveries in the *Starry Messenger* lay in its final section, a description of the positions of the satellites of Jupiter from 7 January until 2 March 1610, when the treatise went to press. In these brief observations and in the spare diagrams that accompanied them, Galileo presented the orbital movements of four satellites, or Medici stars, whose very existence was new to virtually all of his audience. The fact that Jupiter had moons strongly suggested to him that Earth was neither unique nor central nor motionless: satellites revolving about a celestial body clearly did not prevent its movement.
By the end of 1610, Galileo, newly appointed as mathematician and philosopher at the court of the grand duke of Tuscany, had interpreted the phases of Venus as a confirmation of Copernican claims, and perhaps more importantly, evidence against the models of both Ptolemy and and the Danish astronomer Tycho Brahe (1546–1601), who posited that the five planets revolved around the Sun, which in turn revolved around Earth; Kepler obligingly published his letters on the matter in his *Dioptrice* of 1611. Galileo had some notion of sunspots by spring 1611, but his systematic study of the phenomena appears to date only to early 1612, when he had learned of the observations of several friends, and of the treatise of an eventual enemy, the Swabian Jesuit Christoph Scheiner (1573–1650). Galileo took immediate issue with Scheiner’s initial conjecture that the spots were actually small stars orbiting and partially eclipsing the solar body, and he did not hesitate to expose both the Jesuit astronomer’s ignorance of Galileo’s recent findings concerning Venus, and the weakness of Scheiner’s geometrical proofs. Because he saw no reason to subscribe to the Aristotelian fiction of the changeless heavens, Galileo’s three letters on the subject offered the more consistent (though inaccurate) explanation of the sunspots as enormous masses of dark clouds constantly produced on the solar surface and moving uniformly over it before vanishing forever.
Galileo’s next writing, the *Letter to the Grand Duchess Christina*, was of little scientific importance, for it neither offered new observations nor announced novel astronomical hypotheses, and was published only in 1636 in a Latin translation. In terms of the sort of interpretation it offered—a brilliant analysis of the Old Testament verse Joshua 10:12 as compatible with a heliocentric universe and incompatible with a geocentric one—the *Letter* was among the boldest and most ill-advised moves of Galileo’s career. His confidence in his reading, for all of its economy, appears to have been misplaced,
and by early 1615 a complaint had been lodged with the Inquisition. In a meeting whose general tenor and purpose are still the subject of debate, Galileo met with Robert Cardinal Bellarmine in February 1616, but was not asked to abjure his Copernican beliefs. The Edict of 1616 formally prohibited books attempting to reconcile Scripture and the hypothesis of a mobile Earth, and stipulated that Copernicus’s *On the Revolutions of the Heavenly Spheres* was suspended until such passages could be struck through. While Galileo appears not to have seen the edict as of particular concern to him, rivals immediately recognized its impact on the astronomer’s career.
The controversy between Galileo and the Jesuit astronomer Orazio Grassi ranged from the fall of 1618, when three comets emerged, to 1626, when Grassi published his third and final work on the phenomena. Galileo’s principal discussion of the comets, the *Assayer*, appeared in 1623. Although Galileo could no longer openly defend Copernicanism, and did not have an accurate explanation of the comets, he recognized flaws in many of Grassi’s arguments, particularly in the implicit support that Grassi gave to the Tychonic world system. The *Assayer* contains important discussions of the usefulness of parallax and of the causes of telescopic magnification of distant bodies, several of Galileo’s clearest formulations of his own methodology, and some of the most caustic and amusing moments of any scientific controversy.
The synthesis of Galileo’s decades of astronomical observations, speculation, and revision, the *Dialogue concerning the Two Chief World Systems, Ptolemaic and Copernican*, was published in Florence in 1632. Divided into four days of exchanges between the learned Salviati, the cultured Sagredo, and the tireless Aristotelian Simplicio, the *Dialogue* examines and discards traditional arguments distinguishing the motions, substance, and final purpose of celestial and terrestrial bodies, discusses the experimental and logical evidence for Earth’s diurnal and annual movements, presents the particulars of the orbits and telescopic appearance of the other planets, draws on the emergent science of magnetism as well as upon observations of the new stars of 1572 and 1604, the fixed stars, Moon spots, and sunspots, and concludes with an ample discussion of Galileo’s theory of tides. The tempo and variety of the *Dialogue* are surely part of its enormous appeal: the speakers move easily from minute calculations to the most abstruse philosophical speculations without losing sight of their goal of assessing the two chief world systems. But to suggest, as Galileo did, that the work involves equally qualified opponents, or recognizes the merits of aspects of both views, or presents Copernicanism as merely hypothetical, is to err: Simplicio is overmatched from the outset, a rather inept spokesman for the Ptolemaic position throughout, and effectively silenced by his companions in the last pages of the *Dialogue*.
Summoned to Rome to account for his publication, Galileo recanted on 22 June 1633. Although depressed and humiliated by this turn of events, he soon focused on the *Two New Sciences Pertaining to Mechanics and Local Motions*. Published in Leiden in 1638, his last great work is in dialogue form, and again involves Salviati, Sagredo, and Simplicio. The product of a warring age, it is set in Venice’s arsenal, the site of the republic’s shipbuilding and munitions production. It has as one focus the “supernatural violence” with which projectiles are fired, presents the legendary burning mirrors of antiquity as plausible weapons, discusses at length notions of impact and resistance, is dedicated to a member of the *noblesse d’épée*, and refers to the battlefield death of one of Galileo’s former students and fellow experimenters. That said, the *Two New Sciences* also attend to nonmilitary matters such as the void, the speed of light, the principle of the balance, musical intervals, the role of scale in very large structures or animals, uniformly accelerated or natural motion, and the Platonic “creation point.” The true fight, as Galileo’s dedication and several asides suggest, is for the reestablishment of his scientific and ethical reputation, and despite the burden of illness and old age, the stricture of house arrest, and his renunciation of cosmological issues, the victory was his.
*See also* Astronomy; Brahe, Tycho; Copernicus, Nicolaus; Kepler, Johannes; Optics; Scientific Instruments.
**Bibliography**
*Primary Sources*
Galilei, Galileo. *Dialogue concerning the Two Chief World Systems*. Translated by Stillman Drake. 2nd rev. ed. Berkeley, 1967.
———. *Discourse on the Comets*. In *The Controversy on the Comets of 1618*. Translated by Stillman Drake and C. D. O’Malley. Philadelphia, 1960.
GALLEYS. Galleys, oared seagoing vessels, had been warships since ancient times but became important in Mediterranean warfare between the fifteenth and eighteenth centuries. Around 1500 galleys were fitted with centerline hull-smashing cannons firing balls of thirty to fifty pounds, giving them firepower viable against contemporary sailing vessels like carracks. Although the last large-scale military use of galleys was at the 1571 Battle of Lepanto, they continued to be important in eastern Mediterranean littoral warfare through the eighteenth century. They were eventually outmoded by ships of the line with large artillery.
STRUCTURE, CAPABILITIES, AND MANPOWER
By the fifteenth century galleys were typically at least 120 to 150 feet in length with around 25 banks of oars and crews of 200 to 300 men. Galleys had cannon that could fire at close range. Boarding parties attacked enemy ships from bow spurs that had grappling hooks and boarding bridges. Although galleys grew in size during the seventeenth century, their numbers declined.
IMPORTANT MILITARY ENGAGEMENTS
The galley was ideal for coastal waters with variable winds and few great harbors capable of receiving large ships. It gave rise to a style of Mediterranean warfare characterized by the close integration of naval operations, amphibious warfare, and siege with few full-scale battles. The sixteenth century witnessed only a few major galley battles, notably at Prevesa in 1538, at Jerba (Djerba) in 1560, and at Lepanto in 1571. Although those were massive confrontations (Lepanto included at least 150,000 people on ships), their decisiveness has been a matter of controversy. Galley fleets could be rebuilt in a few months, but the logistical limitations of galleys prevented successful exploitation of the victories they achieved. After Piyale Pasha won at Jerba, for instance, he was not able to press his attack against the Venetian fleet. Two years after the cream of Ottoman galley forces were destroyed or captured at Lepanto, the reconstituted Ottoman fleet led by Uluç Ali conducted serious fleet operations along the Apulian coast. Control of the sea with galley fleets was always temporary and localized, making them tactical, more than strategic, assets.
THE END OF THE GALLEY ERA
Some of the last consequential galley confrontations took place between Venice and the Ottoman Empire in the War of 1714–1718, in which, after naval defeats by Ottoman galley forces at Corfu, Lemnos, and Cape Matapan, Venice had to leave the Morea (in modern Greece) according to the 1718 Treaty of Passarowitz. From a technical point of view, the galley was gradually supplanted by the ship of the line with its massive artillery and high freeboard. One French ship of the line, *Le Bon*, fought off thirty Spanish galleys. Advances in naval tactics and strategy that made ships of the line their centerpieces started to develop in the North Sea and the Atlantic during the early seventeenth century as a result of technological advances during the Anglo-Dutch wars that soon spread to the Mediterranean. Even the Ottoman navy, a traditional bastion of galleys, began acquiring ships of the line to replace galleys as their main warships by the mid-eighteenth century.
*See also* Armada, Spanish; Lepanto, Battle of; Navy; Passarowitz, Peace of (1718); Shipbuilding and Navigation.
BIBLIOGRAPHY
Guilmartin, John F., Jr. *Galleons and Galleys*. London, 2002.
———. *Gunpowder and Galleys*. London and New York, 1974.
ERNEST TUCKER
GALLICANISM. The term “Gallicanism,” coined in the early nineteenth century, defines a conception of church-state relations that developed in early modern France and subsequently influenced other European countries. This conception, medieval in origin, was based on two principles: separation of powers, which protected the state from any intervention from the papacy, and constitutionalism, which submitted the pope to the authority of church canons. The word also applies to an interpretation of Catholicism that places the pope under the authority of the church represented by the general council and rejects his personal infallibility.
THE CONCORDAT OF BOLOGNA AND POLITICAL GALLICANISM
Negotiated in 1516, the Concordat of Bologna between Francis I and Pope Leo X formed the legal base of church-state relations in early modern France: the papacy gave the monarchy control of most benefices, bishoprics, and abbeys, whose titulars were appointed by the king and approved by Rome. The Parlement of Paris resisted the agreement on the ground of fidelity to ancient laws, or “Gallican liberties.” After its forced registration (1518), legists defended these liberties in their writings, constituting a body of references that established political Gallicanism.
Reviving a medieval tradition of resistance to the papacy and state control of the church, these authors collected traditions and precedents that asserted the independence of the French church and of the kings. *Les libertés de l’église Gallicane* (1594; The liberties of the Gallican church), by Pierre Pithou, a lawyer in the Paris Parlement, was reprinted and commented on by Pierre and Jacques Dupuy in *Traité des droits et libertés de l’Église gallicane* (Treatise on the rights and liberties of the Gallican church) and *Preuves des droits et libertés de l’église Gallicane* (Proofs of the rights and liberties of the Gallican church), published in 1639; its arguments were extended by Pierre Toussaint Durand de Maillane in 1771. Though an attempt to impose as a fundamental article (law of the kingdom) the absolute independence of the king in secular matters was defeated by the clergy at a meeting of the Estates-General in 1615, this principle was accepted by all French canonists and theologians, though with a lesser extension than applied by legists and civil servants.
ECCLESIASTICAL GALLICANISM
Most French clerics shared the legists’ respect for the ancient church, and they also sought state backing for the religious unification of the kingdom. However, they resented any form of lay control and needed papal authority to support the Catholic renewal that followed the Council of Trent. To counter this perceived shift from Gallican principles, Edmond Richer, the *syndic* (moderator) of the Sorbonne, the theological faculty of Paris, reissued works written during the conciliarist period by Pierre d’Ailly (1350–c. 1420), Jean Charlier (Jean de Gerson, 1363–1429), and Jacques Almain (c. 1480–1515). Richer’s extreme views, as expressed in the 1612 pamphlet *Libellus de ecclesiastica et politica potestate* (Booklet on ecclesiastical and political power), were rejected at that time, but theological Gallicanism subsisted in the faculty, expressed in a succession of pronouncements, the most important of which are the six Articles of 1663, an exposition of official doctrine on papal authority, and the censure of the book of Jacques Vernant, also known as the Carmelite Bonavendute d’Hérédie (1612–1667), that defended papal infallibility.
By that time, another form of Gallicanism had developed, which was also the revival of an ancient model: episcopal Gallicanism. This concept derived from the question of Jansenism. The French bishops who had asked Rome to arbitrate on the issue of the Dutch theologian Cornelius Otto Jansen (Cornelius Jansenius, 1585–1638) and the “Five Propositions” attempted to balance their recourse to papal authority by the assertion of their own. Following the precedent of the early African church, they claimed to “receive,” that is, to approve, the papal condemnation. As papal infallibility was also claimed to support these pronouncements, more Gallican resistance followed, rejecting this personal privilege.
These separate developments converged in the *Déclaration du Clergé de France sur la puissance ecclésiastique* (Declaration of the French clergy on ecclesiastical power; March 1682), formulated at Louis XIV’s request, by a special assembly of the French clergy. The intention was to pressure Pope
Innocent XI on the dispute concerning the king’s right (regalia) to administer a diocese during the vacancy of the see. Despite Louis’s later recantation, the four articles of this declaration were to represent the official doctrine of the French church during the Old Regime.
The first article of the declaration concerned the separation of spiritual and secular powers, as noted above. The second admitted papal spiritual power but subjected it to the authority of general councils. The third article insisted that the exercise of papal power was regulated by the ancient canons and Gallican customs. The fourth acknowledged papal authority in matters of faith but rejected infallibility and demanded that in order to be irreformable his pronouncements receive the consent of the universal church.
**LATER DEVELOPMENTS**
In order to eradicate Jansenism, which had been revived by the works of Pasquier Quesnel (1634–1719), Louis XIV allied himself with pope Clement XI and secured the acceptance of the bull *Unigenitus* (1713). As some of the condemned propositions excerpted from the book dealt with Gallican principles, the issue of *Unigenitus* divided the Gallicans. On one side were the supporters of a condemnation requested by the king and accepted by the majority of bishops, on the other, those who rejected the censures and appealed to a future general council. From this perspective, a mutation happened that was to have serious consequence: Gallicanism divided into two branches. One, authoritarian Gallicanism, followed the hierarchical model and only transferred to the king or bishops the authority over the church claimed by the pope, being therefore a form of regalism or episcopalism. The other, participatory Gallicanism, reinterpreted the medieval concept, itself founded on Aristotle’s *Politics*, which developed a democratic model structured on the notions of representation and reception. Representation is a process of formulation of truth that, starting from the community, moves through hierarchical authority in order to be expressed at the highest level; reception is the process of confirming and authenticating the decision. This reconstruction of classical university and parliament Gallicanism, applied first to the ecclesiastical structure, was soon transposed to the political level.
Though both reflected the 1682 articles, the two perspectives conflicted during the eighteenth century, ostensibly on the issue of Jansenism but in fact on that of absolutism, preparing the way for the French Revolution. The Civil Constitution of the Clergy, passed by the National Assembly in 1790, was an application of participatory Gallicanism developed by Bishop Henri Grégoire and other “constitutional” bishops. The concordat negotiated by Napoléon Bonaparte and the Holy See in 1801 marked a return to political Gallicanism, without the balancing weight of episcopal Gallicanism.
*See also* Church and State Relations; Jansenism.
**BIBLIOGRAPHY**
Blet, Pierre. *Le clergé du grand siècle en ses assemblées, 1615–1715*. Paris, 1995.
Bouwsma, William. “Gallicanism and the Nature of Christendom.” In his *A Usable Past: Essays in European Cultural History*. Berkeley, 1990. Pp. 308–324.
Gres-Gayer, Jacques M. *Le Gallicanisme de Sorbonne*. Paris, 2002.
Hayden, J. Michael. *France and the Estates General of 1614*. Cambridge, U.K., 1974.
Knecht, R. J. “The Concordat of 1516: A Reassessment.” In *Government in Reformation Europe, 1520–1560*. Edited by Henry J. Cohn. London, 1971. Pp. 91–112.
Lecler, J. “Qu’est-ce que les libertés de l’église Gallicane?” *Revue des sciences religieuses* 22 (1932): 385–410, 542–568; 24 (1934): 47–87.
Martimort, Aimé Georges. *Le Gallicanisme*, Paris, 1973.
———. *Le Gallicanisme de Bossuet*. Paris, 1953.
Martin, Victor. *Le Gallicanisme et la réforme catholique*. Paris, 1919.
———. *Le Gallicanisme politique et le clergé de France*. Paris, 1929.
———. *Les origines du Gallicanisme*. Paris, 1939.
Nelson, Eric W. “Defining the Fundamental Laws of France: The Proposed First Article of the Third Estate at the French Estates General of 1614.” *English Historical Review* 115 (2000): 1216–1230.
Powis, Jonathan. “Gallican Liberties and the Politics of Later Sixteenth-Century France.” *Historical Journal* 26 (1983): 515–530.
Préclin, Emile. “Edmond Richer (1539–1631), sa vie, son oeuvre, le richérisme.” *Revue d’histoire moderne* 55 (1930): 241–269, 321–336.
Puyol, Edmond. *Edmond Richer: Étude historique et critique sur la rénovation du Gallicanisme au commencement du XVIIe siècle*. 2 vols. Paris, 1876.
GAMA, VASCO DA (c. 1469–1524), Portuguese explorer, first count of Vidigueira, and “discoverer” of the sea route to India. Vasco da Gama was born in the Alentejo coastal town of Sines about 1469. His family had longstanding service ties to the crown in its struggles against Castile and Islam, and Vasco’s father, Estevão, had won grants, including the post of *alcaide-mor* (governor-major) of Sines, for these services. He also became a commandery holder, or possessor of a revenue-generating land grant, in the powerful Order of Santiago, thus elevating the family’s social and economic status, a process that would culminate with the career of his son. King João II (ruled 1481–1495) may have asked Estevão to undertake the search for an all-water trade route between Europe and India, but he died before he could make the voyage.
Not much is known about the early years of Vasco da Gama’s life. He received a solid education in nautical matters and had also demonstrated martial skills in campaigns against Castile. In 1492, King João II had selected da Gama to confiscate French shipping in the ports of the Algarve, in retaliation for the French seizure of a Portuguese ship returning from Africa loaded with gold, and he accomplished this task with “great brevity.”
In 1497, King Manuel (ruled 1495–1521) selected da Gama to command the epic expedition to India that successfully ended the search for a sea route to Asian spices begun during the days of the Portuguese Prince Henry the Navigator (1394–1460). Some say that Vasco’s brother, Paulo, was first offered the opportunity but turned it down. The four-ship fleet (*São Gabriel*, *São Rafael*, *Berrio*, and a stores ship) departed Lisbon on 8 July 1497 with 170 men aboard. After stopping at São Tiago (27 July–3 August) in the Cape Verde Islands, da Gama and his fleet headed out into the Atlantic to exploit the prevailing winds. On 8 November, the fleet reached Santa Helena Bay, and on the 22 November rounded the Cape of Good Hope. In the Indian Ocean, da Gama confronted the entrenched economic power of the Arabs. This religious and economic hostility complicated his task along the East African coast during a stay at Mozambique island (March 1498), and especially at Mombasa (April 1498), where the local sultan sought to storm the fleet in a midnight raid. Da Gama received a more favorable reception at Malindi, obtaining a skilled pilot who guided the Portuguese fleet across the Arabian Sea to the pepper-rich Malabar coast of India by May 1498. His mission of arranging both a treaty and the purchase of pepper in the key port city of Calicut was complicated by the intrigues of Arab merchants with the local Hindu ruler, the Zamorin (Samudri), and da Gama’s rather paltry gifts. Nevertheless, his resolve overcame these problems, and he departed in August with a respectable cargo of spices. Although the return trip to Portugal was complicated by fickle winds, the *Berrio* and *São Gabriel* reached Lisbon in July and August 1499, respectively. Da Gama, after burying his brother Paulo on Terceira in the Azores, reached home in September. He received the right to use the prestigious title “Dom,” a hefty annual pension, and
other rewards, including the title admiral of the Indian Seas.
To avenge the massacre of Portuguese factors left at Calicut by the fleet of Pedro Álvares Cabral (1500–1501), in 1502 King Manuel dispatched twenty well-armed ships under da Gama. He used this formidable force to intimidate the sultan of Kilwa on the east African coast into fealty (July 1502), to intercept Muslim shipping arriving on the Indian coast, and to inflict a decisive defeat on an Arab fleet in the service of the Zamorin (February 1503). His ruthless nature was revealed on this voyage when he burned several hundred Muslim pilgrims alive aboard a captured ship in September 1502. He returned to Lisbon in October 1503 and received additional rewards. During the following two decades, da Gama labored in Portugal to consolidate his social and economic position. His marriage to Dona Catarina de Ataíde produced seven children, and, despite problems with the mercurial King Manuel, da Gama at last entered the ranks of the senhorial elite in 1519 when he was created the first count of Vidigueira.
By 1524, although the Portuguese empire in Asia stretched from Mozambique to Indonesia, corruption had begun to infiltrate this impressive imperial edifice. The young king, John III, appointed Vasco viceroy in that year to address these problems. Sailing with fourteen ships in April 1524, da Gama reached India in September and undertook an impressive reform campaign that was tragically cut short by his death at Calicut on Christmas Eve 1524.
Da Gama’s life and career mirrored the rise of Portugal: nautical expertise, military prowess, ruthlessness, and religious conviction entrenched his personal and familial fortune while Portugal, at the same time, achieved its Golden Age.
See also Camões, Luís Vaz de; Exploration; Portugal; Portuguese Colonies: The Indian Ocean and Asia.
BIBLIOGRAPHY
Ames, Glenn J. *Portuguese Pilgrim: The Life and Career of Vasco da Gama*. New York, 2003.
Subrahmanyam, Sanjay. *The Career and Legend of Vasco da Gama*. Cambridge, U.K., 1997.
Teixeira de Aragão, A. C. *Vasco da Gama e a Vidigueira*. Lisbon, 1871.
Velho, Alvaro. *A Journal of the First Voyage of Vasco da Gama, 1497–1499*. Translated and edited by E. G. Ravenstein. London, 1898.
GLENN J. AMES
GAMBLING. From the early medieval period, various forms of gambling were popular at every level of society, although the types of games played, as well as the freedom to indulge in them, was dependent on an individual’s position in the social hierarchy, and subject to sustained criticism from both church and state. Blood sports such as bearbaiting and cockfighting were popular among the peasantry, and regular contests, accompanied by heavy betting, drinking, and general revelry, were a traditional part of community life.
At the other end of the social spectrum, horse racing was a pastime confined to the upper classes. The ownership and racing of horses operated within a system of royal patronage, with successive monarchs—most notably, Charles II of England (ruled 1660–1685), “the father of the British turf”—organizing races and entering horses to compete in their name. Betting was a strictly private affair conducted among the aristocracy, who regarded participation in the sport as their exclusive right.
Lotteries began during the fifteenth century, and, although popular, were governed by politically expedient legislation that made participation irregular and often arbitrarily illegal. The most widespread form of gambling, however, was dice playing, which endured as the standard game of the entire medieval period. The most ancient and simple form of gambling, it was pursued assiduously by all sections of society—including the clergy—despite being subject to innumerable bans and prohibitions. The Saxons, Danes, and Romans all introduced their own varieties of games and their own styles of playing, although most games tended to fall into one of two types: either based on moving counters around boards (such as the Spanish *alquerque*, a game similar to checkers), or guessing games based on dice throws (such as hazard). Playing cards were introduced into Europe from the East toward the end of the thirteenth century, where they grew, over the next three hundred years, from an elite pastime into a leisure activity popular with every social class.
Their route of entry is uncertain: some have suggested that Marco Polo brought them back from his travels in Cathay, while others believe they were introduced by Gypsies or returning Crusaders. Whatever the case, the first mentions of cards in Europe come from Italy in 1299, from Spain in 1371, from the Low Countries (modern Belgium, Luxembourg, and Netherlands) in 1379, and from Germany in 1380. By 1465, they were sufficiently well established in Britain to be subject to an import ban.
These early cards were crafted by hand on copper and ivory as well as card and wood, usually by professional painters who found patronage in aristocratic households. The first woodcuts on paper were, in fact, playing cards. (The term *Kartenmaler* or *Kartenmacher*, ‘painter’ or ‘maker of cards’, appears in German in 1402.) At first, their expense put cards out of reach of all but the wealthiest in society, with the result that widespread playing was initially restricted to the upper classes. Gambling was fashionable among this group, with high-stakes “betting orgies” frequently lasting for days and serving as a marker of status and prestige as much as a straightforward leisure pursuit. Cards and games were symbolic systems that represented the cultural climate and social order that surrounded them. Medieval card games such as *brelan*, *pair*, *gleek*, and *primero* were based on the principals of “melds” and “murnivals”—pairing and joining cards in ranks—reflecting the hierarchical social organization, represented as the “great chain of being” in the Middle Ages.
The development of the printing press in the fifteenth century was crucial to the history of cards, transforming them from the playthings of the aristocracy into mass-produced commodities enjoyed by all ranks of society. The presses also gave cards
the name they still have today. The medieval Latin *charta*, ‘sheet of paper’, was taken as shorthand for the playing cards, which were, for a time, the presses’ main industry. The word survives as the standard term for cards throughout Europe, variously as *cart*, *carte*, *Karte*, *kartka*, and *kartya*.
Despite its widespread popularity, attempts were continually made by both church and state to limit or outlaw gambling. Although ostensibly designed to curb the excesses of the general population, most legislation targeted the poor and was uneven in its application. Initially, prohibitions imposed by the Catholic Church were pragmatic and aimed at steering the population away from sedentary activities that were seen to encourage idleness and toward more organized exertions, such as sports. Ultimately, the aim was to create a fit workforce that could be easily rallied into an indigenous army, a definite advantage in the violent climate of the Middle Ages. As such, various edicts attempted to regulate gambling according to social position. From the time of the Crusades, dicing by any soldier below the rank of knight was forbidden.
Cardplaying on workdays had been banned since 1397, and was further outlawed when a statute of Henry VIII (ruled 1509–1547) confined all gambling among the working population to Christmas, the assumption being that, as they would be celebrating anyway, its disruptive effects would be minimal. After the Reformation, attempts to outlaw gambling were dramatically increased by the Protestant bourgeoisie, who objected to it on the ideological grounds that it undermined the work ethic and squandered time and money.
Criticism continued throughout the Enlightenment, when the emphasis shifted to the disorderly effects of gambling within rational society—again, aimed primarily at the poor. Across the continent, legislation during the seventeenth and eighteenth centuries attempted to remove gambling from the mass of the population, primarily by fiscal means: imposing taxes on cards and dice, charging hefty entrance fees for horse races, and increasing the price of lottery tickets.
At the same time, many European countries introduced laws limiting public gambling to licensed premises, while restricting the granting of licenses to members of the nobility and upper classes. The result of such legislation was the stratification of public betting and the effective outlawing of gambling for the majority of the population, with the poor restricted to playing in illegal, unlicensed taverns, and the upper classes free to indulge in a wide variety of games with impunity.
See also Class, Status, and Order; Games and Play; Lottery; Printing and Publishing; Roma (Gypsies); Sports.
BIBLIOGRAPHY
Ashton, John. *The History of Gambling in England*. Montclair, N.J., 1969. Originally published in 1898.
Cotton, Charles. *The Compleat Gamester*. London, 1674.
Kavanagh, Thomas. *Enlightenment and the Shadows of Chance: The Novel and the Culture of Gambling in Eighteenth-Century France*. Baltimore and London, 1993.
Reith, Gerda. *The Age of Chance: Gambling in Western Culture*. London and New York, 1999.
GERDA REITH
GAMES AND PLAY. The types of games and amusements played in early modern times ran the gamut from physical games of an athletic nature to sedentary games, like cards, which were enormously popular. Some amusements were pursued outdoors, in parks and gardens, while others were more properly confined to interior spaces. The standard edition of François Rabelais’s *Gargantua* (1542) lists some 217 sports and parlor and table games, many of which were played at times of celebration and feasting. This popular aspect of play continued throughout the period, although the rise of domesticity and new concepts of the family constrained the universalizing tendencies of communal amusement, bringing games principally into the private sphere. While members of every social class played at times, play was of central importance to the noble lifestyle.
PLAY AND THE NOBILITY
The noble class of early modern Europe defined itself through warfare and leisure. Since the Middle Ages, male members of the nobility had used physical games to train for battle in times of peace. Cards and chess, often played between the sexes, additionally taught skills of strategy thought to be useful
both on the battlefield and in affairs of the heart. Games and behavior at play reinforced the principles of courtly love.
From the sixteenth century onward, as the nobleman’s role on the battlefield began to wane and more time was spent distinguishing oneself through codes of behavior, play became of central importance in the daily life of the elite. It was how members of the nobility spent a large portion of their day. Indeed, some scholars consider the persona of the courtier to have been invented within a framework of play.
Early modern games served an important pedagogical function, at least in terms of sociability. Conversational games—often called games of society—were a staple of noble culture, teaching many of the verbal and behavioral skills needed to survive at court. Baldassare Castiglione’s *Book of the Courtier* (written between 1513 and 1524)—a book that was regarded as a handbook of behavior and a model for all future treatises on the topic throughout Europe—uses this type of game to structure a definition of the ideal attributes of a courtier. It is not only the qualities described that teach the reader, but also the example of the players who demonstrate how the games of court are played.
**GAMBLING AND CARD GAMES**
Dating back to medieval times, cards had long been a favorite evening occupation in court circles. This proclivity grew into a mania during the late seventeenth and eighteenth centuries, particularly in France, but also in other parts of Europe. English gentlemen on the grand tour were warned not to play in Paris, because so many young men had been fleeced by both upper-class and lower-class players. Moreover, the social problem of the gaming house expanded dramatically at this time in spite of numerous regulations and penalties designed to eliminate its existence.
The vice of gambling increasingly became a point of concern, and was believed by many to be the chief cause of moral and physical degeneration among the nobility. Much was made of the damaging effects of the dark, cavernous spaces that gamblers occupied while playing, and the sedentary requirements of play were blamed for all sorts of ailments. As an alternative to this vice, philosophers, moralists, and physicians encouraged people to play outdoors at amusements designed to exercise the body and liberate the soul. Moderately active forms of play, like swinging, were recommended as appropriate for the delicate, noble disposition.
In their card games, the nobility greatly preferred games of chance to those involving skill. Many scholars attribute this preference to the courtly idea of disinterest—to practice and employ strategies at cards would suggest that the player was overly concerned with the consequences of play, which often involved the loss of considerable sums. During the eighteenth century, as more members of the bourgeoisie began to play alongside the nobility, the aim of being an expert player became more pronounced. Treatises on play became a virtual cottage industry throughout Europe. Games of luck increasingly gave way to games of skill, as books written by the Englishman Edmund Hoyle (1672–1769) taught players strategies by which the whims of chance could be overcome.
**PLAY AND CHILDHOOD**
There were few distinctions between the games of childhood and adulthood. Noble children were taught games of chance at an early age, particularly as they would be expected to take a seat at gaming tables later in life. Amusements that are now considered childish—swinging, for instance—were enjoyed by people of all ages. The game of blindman’s buff, which had been played by the kings of Europe in the sixteenth and seventeenth centuries, was made popular once again by Marie-Antoinette, queen of France in the final years of the Old Regime.
During the seventeenth and eighteenth centuries, however, new concepts of childhood caused moralists and philosophers to turn their attention to the safeguarding of children. Treatises on the subject of children’s upbringing discussed the need to prohibit “evil” games (namely those related to gaming) and to encourage “good” games (often referring to simple, outdoor amusements or games that could be modified to teach useful lessons). Enlightenment notions of the child and work, in particular, changed the way that play was understood at the end of the period.
Children’s play began to be conceptualized as something distinct and separate from that of adults. It also became an important part of the child’s education, different from the behavioral pedagogy that play had traditionally taught. The English philosopher John Locke theorized in *Some Thoughts concerning Education* (1693) that children would be more inclined to learn their lessons when play was built into the curriculum. If the child preferred to play with tops, he proposed, then properties of physics could be taught through that amusement.
Such ideas revolutionized pedagogical thought across Europe. Games that had once been designed to convey the principles of courtly love, such as the French board game known as the *jeu de l'oie* (game of the goose), were transformed to teach lessons in history. Similarly, cards that had been used in games of chance, played as a social obligation and expectation of class, became tools for teaching mathematics and improving memory.
At the same time, the notion of free play—that is, play that stimulated the body without specific pedagogical purpose—developed in tandem with the “new” child created by the Enlightenment. The French philosopher Jean-Jacques Rousseau’s educational tract *Émile* (1762) discusses numerous games and amusements appropriate for the child at different ages, and it also puts its emphasis on the physical benefits of play. Émile (the child created by Rousseau in his book) whips a top, but he learns nothing from the process. Instead Rousseau focuses on the exercise—the strengthened arm and eye—that results.
**PLAY AND ART**
Leisure pursuits are a recurring subject in the visual arts, yet the specific theme of play reached a height of popularity during the early modern era. Some scholars have explained this rise in terms of audience. As a middle class came into existence, a new interest in familiar subject matter—scenes of daily life, as opposed to grand and often obscure mythological or historical stories—developed. Other scholars situate this change of preference firmly within the outlook of the aristocracy. A new emphasis on sociability in court culture altered the taste of noble viewers, who desired images reflecting their class-defining behavior.
Favorite play subjects of the Renaissance and baroque were scenes of bawdy behavior caused by gaming disputes, like the tavern brawls of the Flemish painter David Teniers the younger (1610–1690), or card sharps, such as the gypsy cheats depicted by Caravaggio (1573–1610) and Georges de La Tour (1593–1652). In general, the characters in these scenes were members of the lower classes, rather than the middle-class or noble beholders who bought these works of art. Art historians attribute this difference to a focus on ignoble behavior, which served to distance the intended viewers from their base counterparts.
Rococo images of play, in contrast, tend to picture images of polite play by noble participants. Few images depict the real-life mania of gaming. Instead, images of swinging, blindman’s buff, seesaws, and other outdoor amusements were preferred—Jean-Honoré Fragonard’s *Happy Hazards of the Swing* (1767; Wallace Collection, London) is the paradigmatic example. The emblemsatics of these scenes are largely related to the pleasures and hazards of love, and art history has tended to judge such images as a reflection of aristocratic frivolity. Recent research, however, finds the style of the rococo to be inherently playful—employing serpentine forms and harmonies of color that keep the eye in continual motion. This emphasis on visual play coincides with the discernment of a “play impulse” in aesthetic philosophy, whereby writers such as Immanuel Kant (1724–1804) and Friedrich Schiller (1759–1805) conceptualized the ideal aesthetic experience as a free play of the mind, without motive or purpose.
*See also Aristocracy and Gentry; Childhood and Child-rearing; Court and Courtiers; Festivals; Gambling; Locke, John; Rousseau, Jean-Jacques.*
**BIBLIOGRAPHY**
Aries, Philippe. *Centuries of Childhood: A Social History of Family Life*. Translated by Robert Baldick. New York, 1962.
Bakhtin, Mikhail. *Rabelais and His World*. Translated by Hélène Iswolsky. Bloomington, Ind., 1984.
Barolsky, Paul. *Infinite Jest: Wit and Humor in Italian Renaissance Art*. Columbia, Mo., 1978.
Black, Jeremy. *The British Abroad: The Grand Tour in the Eighteenth Century*. New York, 1992.
Isherwood, Robert M. *Farce and Fantas: Popular Entertainment in Eighteenth-Century Paris*. New York and Oxford, 1986.
Lanham, Richard A. “The Self as Middle Style: Cortegiano.” In *The Motives of Eloquence: Literary Rhetoric in the Renaissance*. New Haven and London, 1976.
Motley, Mark. *Becoming a French Aristocrat: The Education of the Court Nobility, 1580–1715*. Princeton, 1990.
Schalk, Ellery. *From Valor to Pedigree: Ideas of Nobility in France in the Sixteenth and Seventeenth Centuries*. Princeton, 1986.
Stafford, Barbara Maria. *Artful Science: Enlightenment Entertainment and the Eclipse of Visual Education*. London and Cambridge, Mass., 1994.
Jennifer D. Milam
**GARDENS AND PARKS.** Long appreciated for their formal and botanical contents, the gardens and parks of early modern Europe were also products of complex historical forces and conditions. Between the mid-fifteenth and late eighteenth centuries, major trends included increasing integration of architecture and garden design; an increasing dominance of axial composition and bilateral symmetry; new emphasis on visual integration between gardens and the surrounding landscape; and, in the eighteenth century, the emergence and development of irregular design.
In Renaissance Italy, developments in garden design were greatly influenced by the rise of humanist culture and the emergence of urban-based elites. Literary works such as the *Ten Books on Architecture* (1452; published 1485), by Leon-Battista Alberti (1404–1472), and the *Hypnerotomachia Poliphili* (1499), attributed to the monk Francesco Colonna (1433–1527), promoted rural life and antiquarianism while describing alternatives to the medieval *hortus conclusus*, ‘enclosed garden’. In garden design, humanist interests were discernible in new emphases on geometry, harmony, and spatial integration, in keeping with the principles of Vitruvius Pollio’s *Ten Books on Architecture* (first century B.C.E.), the sole treatise on architecture to survive from Roman antiquity); in forms drawn from literary descriptions of ancient gardens, such as those found in the letters of Pliny the Younger (first century C.E.), and from archaeological sites, such as the Temple of Fortuna Primigenia (80 B.C.E.) at
Gardens and Parks. La Salle des Festins in the gardens of the Château de Versailles c. 1688; painting by Etienne Allegrain.
THE ART ARCHIVE/MUSÉE DU CHÂTEAU DE VERSAILLES/DAGLI ORTI
Praeneste (modern Palestrina), east of Rome; and in arrangements that reflected scientific interests in the collection, classification, and management of natural specimens. *Villeggiatura*, ‘retreat to country life’, practiced by urban elites such as the Medici of Florence and the papal court in Rome, led to the development of important villa complexes in the vicinities of Italy’s major urban centers. Notable examples include the Medici villas at Fiesole (c. 1455), Pratolino (1560), and other settings near Florence, many of which were depicted in lunette panels by the Flemish painter Giusto Utens (d. 1609); the Villa d’Este, Tivoli (begun in 1550), by the architect and antiquarian Pirro Ligorio (c. 1500–1583); the Villa Lante, Bagnaia (begun in 1564), attributed to the architect Giacomo da Vignola (born Giacomo Barozzi, 1507–1573); the mannerist Villa Orsini, Bomarzo, Lazio (1552–1580); and the Villa Aldobrandini, Frascati (1598–1603).
The ideas and practices cultivated in Italy spread north to France beginning in the late fifteenth century, in part through the diffusion of texts and images and in part through the migration of patrons, artists, and technicians. During the reign of Francis I (ruled 1494–1547), the royal château at Fontainebleau became a major center of artistic innovation, dominated first by Italian artists and later by native Frenchmen. Typical features of Renaissance garden design in France included large compartmentalized planting beds arranged in geometric patterns; elaborate arbors and trelliswork galleries; and prominent, classically themed fountains and sculptures. The integration of architecture and garden design pursued in Italy was initially resisted in France. For example, at Blois (begun c. 1500) and Gaillon (begun in 1506)—among many important sites represented in Jacques Androuet du Cerceau’s *Les plus excellents bastiments de France* (1576–1579)—the main gardens were surrounded by walls and completely detached from the residential buildings. Greater integration and openness were found at Saint-Germain-en-Laye (new château and terrace
Gardens and Parks. A pavilion designed by Jules Hardouin-Mansart in 1673 is a feature of the gardens of the Château de Dampierre in western France. THE ART ARCHIVE/DAGLI ORTI
gardens begun c. 1550) and the Tuileries (1564–1572), the latter having been created at the edge of Paris for Henry II’s wife, Catherine de Médicis (1519–1589). Important examples of Renaissance design elsewhere in the north included the gardens created for Henry VIII at Hampton Court Palace (1531–1534), west of London; designs published by the Netherlands painter and engineer Hans Vredeman de Vries (1527–c. 1606) in his Hortorum viridariorumque (1587); and the Hortus Palatinus, Heidelberg (c. 1615), by the architect and engineer Salomon de Caus (1576–1626).
Beginning around the turn of the seventeenth century, the scale and visual organization of elite gardens and parks began to increase throughout Europe, reflecting the growing power of centralized forms of governments and the rising importance of scientific culture with its emphasis on visual perception. In and around Rome, those developments were reflected in the formation of substantial estate properties by papal families, most notably the Villa Borghese (1606–1633) and the Villa Pamphili (1630–1670). In France, the scale and visual power of axial design were expanded to unforeseen extremes in the work of André Lenôtre (1613–1700), first for Louis XIV’s minister of finance Nicolas Fouquet (1615–1680) at Vaux-le-Vicomte (1656–1661) and subsequently for the king himself at Versailles (begun in 1663). The construction of such gardens required vast natural, technical, and human labor resources. Their realization drew upon expertise developed in military and civil engineering, and their forms referred implicitly to the power of their patrons to manipulate resources on regional and
territorial scales. Versailles became a model for princely gardens throughout Europe, impossible to duplicate but nevertheless often emulated, with guidance from Dézallier d’Argenville’s *La théorie et la pratique du jardinage* (first published in 1709). Noteworthy examples included the renovations at Hampton Court (begun in 1689) and Chatsworth (1690–1703) in England; Het Loo (begun in 1686; enlarged 1692) in the Netherlands; Drottningholm (begun during the 1680s), near Stockholm; the Peterhof (1713–1725), St. Petersburg; La Granja (1719–1740), San Ildefonso, Spain; and Caserta (1752–1754), near Naples.
The dominance of regular design was first challenged in England through influential writings about nature and irregular form by Anthony Ashley Cooper, 3rd earl of Shaftesbury (1671–1713), the essayist and statesman Joseph Addison (1672–1719), the theorist and designer Stephen Switzer (1682–1745), and the poet Alexander Pope (1688–1744). During the first half of the eighteenth century, a new approach emerged in which axial composition was replaced by forms that were ostensibly more natural although, in truth, equally artificial. The English version of irregular design—demonstrated at properties such as Castle Howard (begun in 1701), Stourhead (1735–1783), and Painshill (1738–1771)—privileged broad views and drew inspiration, in part, from landscape paintings by Claude Lorrain (born Claude Gellée, 1600–1682), Gaspard Poussin (born Gaspard Dughet, 1615–1675), and Salvator Rosa (1615–1673). Designers such as Charles Bridgeman (d. 1738), William Kent (c. 1686–1748), and Lancelot “Capability” Brown (1715–1783) made frequent use of the ha-ha, a sunken fence that facilitated visual integration between the estate garden and the larger landscape. Important examples include Stowe (c. 1715–c. 1776), Kent’s designs for Chiswick (c. 1730) and Rousham (1738), and the renovated grounds of Blenheim Palace (begun in 1764). Investigations of irregular design began to take place on the Continent during the last third of the eighteenth century, most notably in and around Paris, where the approach flourished in gardens such as Ermenonville (begun in 1766), the Jardin de Monceau (c. 1771–1789), the Désert de Retz (1774–1794), and the Petit Trianon at Versailles (1774). Most French examples bore little resemblance to English precedents, being of smaller scale and considerably more eclectic. They nevertheless proved equally influential in the diffusion of irregular design throughout the Continent. Eventually, many of the gardens around Paris also contributed to the rise of public parks through their confiscation and use as festival spaces during the French Revolution.
*See also* Architecture; Britain, Architecture in; City Planning; Estates and Country Houses; France, Architecture in; Rome, Architecture in.
**BIBLIOGRAPHY**
Benes, Miroslava, and Dianne Harris, ed. *Villas and Gardens in Early Modern Italy and France*. New York, 2001.
Hunt, John Dixon, and Peter Willis, ed. *The Genius of the Place: The English Landscape Garden, 1620–1820*. London, 1975.
Laird, Mark. *The Formal Garden: Traditions of Art and Nature*. New York, 1992.
Mosser, Monique, and Georges Teyssot, eds. *The Architecture of Western Gardens: A Design History from the Renaissance to the Present Day*. Cambridge, Mass., 1991.
Thacker, Christopher. *The History of Gardens*. Berkeley, 1979.
DAVID L. HAYS
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**GASSENDI, PIERRE** (1592–1655), French Catholic priest and philosopher. Born in Provence on 22 January 1592, Gassendi was admitted to the clerical state in 1604 and received his doctor of theology degree at the University of Avignon in 1614. He studied philosophy and theology at the college of Aix-en-Provence, where he later taught from 1616 to 1622. He published his first book, *Exercitationes Paradoxicae adversus Aristoteleos*, in 1624, a work in which he criticized Aristotelianism by using the skeptical arguments of the ancient philosopher Sextus Empiricus (fl. c. 200 C.E.). Having rejected Aristotelianism, Gassendi undertook the task of creating a new, complete philosophy, one that included the three traditional areas: logic, physics, and ethics. Writing in the style of the Renaissance humanists, Gassendi chose the ancient atomist and hedonist Epicurus (341–271 B.C.E.) as his model. Before European intellectuals could accept the philosophy of Epicurus, it had to be purged
of various heterodox notions, such as materialism and the denial of creation and providence.
Gassendi worked on his Epicurean project from the 1620s until his death. The massive, posthumous *Syntagma Philosophicum* (1658) is the culmination of this project. It consists of three parts: “The Logic,” “The Physics,” and “The Ethics.” In “The Logic,” Gassendi presented his theory of knowledge, which he had first articulated in the *Exercitationes*. His empiricist theory of knowledge was an outgrowth of his response to skepticism. Accepting the skeptical critique of sensory knowledge, he denied that we can have certain knowledge of the real essences of things. Rather than falling into skeptical despair, however, he argued that we can acquire knowledge of the way things appear to us. This “science of appearances” is based on sensory experience and can only attain probability. It can, nonetheless, provide knowledge useful for living in the world. Gassendi denied the existence of essences in either the Platonic or Aristotelian sense and identified himself as a nominalist.
In “The Physics,” Gassendi presented a Christianized version of Epicurean atomism. Like Epicurus, he claimed that the physical world consists of indivisible atoms moving in void space. Unlike the ancient atomist, Gassendi argued that there exists only a finite, though very large, number of atoms, that God created these atoms, and that the resulting world is ruled by divine providence rather than blind chance. Deeply involved in the natural philosophy of his time, Gassendi tried to provide atomistic explanations of all the phenomena in the world, including the qualities of things, inanimate bodies, plants, and animals. In contrast to Epicurus’s materialism, Gassendi enriched his atomism by arguing for the existence of an immaterial, immortal soul. He also believed in the existence of angels and demons. His theology was voluntarist, emphasizing God’s freedom to impose his will on the creation.
Adopting the hedonistic ethics of Epicurus, which sought to maximize pleasure and minimize pain, Gassendi reinterpreted the concept of pleasure in a distinctly Christian way. He believed that God endowed humans with free will and an innate desire for pleasure. Thus, by utilizing the calculus of pleasure and pain and by exercising their ability to make free choices, they participate in God’s providential plans for the creation. The greatest pleasure humans can attain is the beatific vision of God after death. Based on his hedonistic ethics, Gassendi’s political philosophy was a theory of the social contract, a view that influenced the writings of Hobbes and Locke. His emphasis on free will—both human and divine—led him to reject astrology, which he considered absurd, and other forms of divination that entailed any kind of hard determinism in the world.
Gassendi was an active participant in the philosophical and natural philosophical communities of his day. He corresponded with Galileo during his troubles with the church, and interacted with both Hobbes and Descartes. He conducted experiments on various topics in natural philosophy, wrote extensively about astronomy, corresponded with important natural philosophers, and wrote a treatise defending Galileo’s new science of motion. Gassendi’s version of the mechanical philosophy rivaled that of Descartes, with whom he engaged in an extensive controversy following the publication of the latter’s *Meditations* in 1641.
Gassendi’s philosophy was promulgated in England in several books published in the 1650s by Walter Charleton (1620–1707) and in France by François Bernier’s *Abrégé de la philosophie de Gassendi* (1674). A younger generation of natural philosophers, including Robert Boyle (1627–1690) and Isaac Newton (1642–1727), who accepted the mechanical philosophy, faced a choice between Gassendi’s atomism and Descartes’s plenism. John Locke (1632–1704) absorbed many of Gassendi’s ideas about epistemology and ethics, which thus had considerable influence on the subsequent development of empiricist epistemology and liberal political philosophy.
*See also* Aristotelianism; Astronomy; Boyle, Robert; Cartesianism; Charleton, Walter; Descartes, René; Determinism; Empiricism; Epistemology; Free Will; Galileo Galilei; Hobbes, Thomas; Humanists and Humanism; Locke, John; Logic; Mechanism; Natural Philosophy; Neoplatonism; Newton, Isaac; Philosophy; Physics; Political Philosophy; Reason; Scientific Method; Scientific Revolution; Skepticism: Academic and Pyrrhonian.
**Bibliography**
*Primary Sources*
Gassendi, Pierre. *Opera Omnia*. Lyon, 1658; reprinted Stuttgart-Bad Canstatt, 1964.
GATTINARA, MERCURINO (1465–1530), grand chancellor of the Holy Roman Empire. Mercurino Arborio de Gattinara was born to a noble family in the town of Vercelli, in the territory of Savoy (northern Italy). He received an excellent humanist education, followed by rigorous training in Roman law; the works of Justinian I (ruled 527–565) and Dante (1265–1321) had a particular impact on him. In 1502 he entered the service of Margaret of Austria (1480–1530), archduchess of Savoy and daughter of Holy Roman Emperor Maximilian I (ruled 1493–1519). From this point on Gattinara tied his fortunes to those of the house of Habsburg. In 1507 he accompanied Margaret to the Netherlands, where she ruled as regent. From 1508 to 1518 Gattinara acted as Margaret’s chief legal adviser and president of Burgundy, an important administrative position. During this period Gattinara was exposed to Burgundian courtly and chivalric traditions, which would be an important influence on his intellectual development. In the Netherlands he also met Margaret’s nephew Charles (1500–1558)—the future Spanish king (as Charles I, ruled 1516–1556) and Holy Roman emperor (as Charles V, ruled 1519–1556)—to whom Gattinara devoted the rest of his life.
In 1518 Charles appointed Gattinara his grand chancellor, a position of great responsibility in both foreign and domestic affairs. For the next twelve years Gattinara was one of Charles’s closest advisers. He often traveled with Charles’s itinerant court, following his master as he visited the various lands of his multinational empire. In Spain, Gattinara reformed the government’s administrative structure and helped create the conciliar system that served the Spanish monarchy for the next several centuries. But Gattinara’s greatest legacy was his contribution to the development of a Habsburg ideology of empire.
Gattinara was greatly responsible for the theory and practice of Charles V’s empire. He wove together Roman imperial concepts, Burgundian chivalric traditions, and Christian ideology borrowed from his Dutch contemporary Desiderius Erasmus (1466?–1536) to create a new understanding of empire, focused on the unique character of Charles V’s reign. Through dynastic inheritance, Charles acquired an unprecedented empire that stretched from the Low Countries to Vienna, and thanks to Christopher Columbus and the conquistadores, he also ruled an entire “New World.” Many of Charles’s subjects, particularly Gattinara, perceived divine intervention in these circumstances. Gattinara saw Charles as a man destined to unite Christendom, defeat the Muslim infidels, and create the earthly paradise. Gattinara wrote a number of propagandistic tracts that cited Scripture as well as classical and legal texts, claiming that Charlemagne (Charles the Great) was about to be outdone by his namesake Charles the Greater and that God was on his side.
It is not clear to what extent Charles himself subscribed to these notions. But it is evident that the emperor heeded Gattinara’s advice about the importance of Italy as the strategic and symbolic foundation of his empire. Gattinara revived Ghibellinism, the medieval Italian belief that the Holy Roman emperor represented the highest authority in Europe, particularly in Italy, even including the papacy. He emphasized to Charles that control of Italy was vital to the security and the legitimacy of his empire and that anyone who challenged that hegemony must be crushed. Charles’s foreign policies clearly reflected this conviction; in his famous “Political Instructions” to his son Philip II (ruled 1556–1598), he too stressed the importance of Italy for the Spanish Empire.
Gattinara and Charles did not always agree on everything. In the period 1522–1525 Gattinara attempted to broaden the executive powers of his office and exert greater influence over the young emperor, causing a strain in the relationship. In 1526 Gattinara became so angry about a proposed peace treaty with King Francis I of France (ruled 1515–
1547), arguing that Charles should put his trust in Italian princes rather than the slippery Francis, that he refused to affix the chancellery seals to the document. The following year he left the court altogether. Nevertheless Gattinara continued to have an impact on Charles’s policies. He had encouraged Charles to think of Pope Clement VII (reigned 1523–1534) as a political antagonist rather than a spiritual leader, an attitude that became useful after imperial troops sacked Rome (1527). Gattinara was responsible for much of the imperial propaganda that followed this event, which argued that the papacy deserved what it got by opposing Charles. Gattinara, however, was also instrumental in arranging the Treaty of Barcelona (1529), which healed the rift between Charles and Clement. The pope was so pleased with Gattinara’s assistance that he made him a cardinal.
The peace between Charles and Clement paved the way for Charles’s imperial coronation by Clement VII at Bologna (1530). This symbolic triumph marked the culmination of Gattinara’s dreams for his master, but sadly he died that same year. Charles did not replace him; he was the last imperial grand chancellor.
See also Charles V (Holy Roman Empire); Habsburg Dynasty; Holy Roman Empire; Spain.
Bibliography
Brandi, Karl. *The Emperor Charles V*. Translated by C. V. Wedgwood. London, 1939.
Brunelli, G. “Gattinara, Mercurino Arborio marchese di.” In *Dizionario biografico degli Italiani*, edited by Alberto M. Ghisalberti, vol. 52, pp. 633–643. Rome, 1960–.
Headley, John M. *The Emperor and His Chancellor: A Study of the Imperial Chancellery under Gattinara*. Cambridge, U.K., 1983.
———. “The Habsburg World Empire and the Revival of Ghibellinism.” In *Theories of Empire, 1450–1800*, edited by David Armitage, pp. 45–79. Aldershot, U.K., 1998.
———. “Rhetoric and Reality: Messianic, Humanist, and Civilian Themes in the Imperial Ethos of Gattinara.” In *Prophetic Rome in the High Renaissance Period*, edited by Marjorie Reeves, pp. 241–269. Oxford, 1992.
Michael J. Levin
GDAŃSK (German, Danzig). A Slavic village founded in the second half of the tenth century at the mouth of the Vistula on the Baltic, Gdańsk became a largely German-speaking Hansa city, serving as the major port for trade between the Commonwealth of Poland-Lithuania and western Europe, especially Holland. The Teutonic Knights, welcomed in 1226 by the rulers of the Polish principality of Mazovia, occupied Gdańsk in 1308. German immigrants began to reside in the suburbs by the second half of the thirteenth century. After the defeat of the Teutonic Knights by Polish-Lithuanian forces at the Battle of Grunwald (Tannenberg, 1410), Gdańsk swore allegiance to the Polish crown. In response to the Knights’ continued threats, gentry, clergy, and nineteen towns formed the Prussian Union in 1440. The order’s rule ended definitively in Gdańsk in 1454, and the Prussian estates again swore allegiance to the Polish crown.
The *privilegia casimiriana* (for King Kazimierz IV Jagiellończyk, ruled 1444–1492) laid the foundation for the city’s rights and freedoms until 1793. Gdańsk was now linked via the Vistula with the Polish-Lithuanian hinterland, where it had the right of free trade; the king promised to respect the city’s autonomies. Gdańsk flourished, together with the commonwealth, until the wars of the mid-seventeenth century. Population rose from about 20,000 in 1450 to a peak of c. 70,000 in 1650, making it the leading city of Poland-Lithuania. The port became the link between two major trading partners, Poland and Holland, with Gdańsk merchants reaping profits from the grain trade. Imports included salt, salt herrings, spices, and wine.
The Reformation came to Gdańsk against the background of challenges to the patriciate’s monopoly of power in the years 1522–1526. King Zygmunt I restored order in 1526, again banning Lutheran teachings. Residents may have remained crypto-Lutherans, and the ideas soon resurfaced. Sigismund II Augustus in 1557 allowed Communion in both kinds, and in 1577 Stephen Báthory granted a privilege for the practice of Lutheranism. By the seventeenth century the city was divided into a Calvinist patriciate and a Lutheran commonality. Some Catholics, some of them Slavs, lived in the city and suburbs. Jews, Mennonites, and Quakers competed with the city’s artisans and merchants, although they were restricted to residence in the suburbs, where other sorts of non-guild commercial activities thrived.
Printing began in Gdańsk in 1499, and by the seventeenth century local houses were producing books in German, Dutch, Polish, French, Latin, Greek, and Hebrew. An Academic Grammar School stood at the peak of the city’s education system and drew students from abroad (including Poles, Lithuanians, and Hungarians); it offered a course in Polish from 1589. Members of the merchant patriciate emulated the lives of Polish nobles, and residents sent their children to the hinterland to acquire the language. The Collegium Medicum founded in 1614 was the first such institution in the commonwealth.
The city defended its independence from foreign powers (Prussia, Sweden, Russia) just as tenaciously as it guarded its ties with, and privileges and rights vis-à-vis, the Polish crown. It shared in the upheavals and decline that met the commonwealth and the grain trade from the middle of the seventeenth century (including the Swedish “Deluge” of 1655–1660; the Northern War of 1700–1721; and the 1734 Saxon and Russian siege of the city). The population had declined to 36,000 by 1793. Although spared occupation in the first partition of Poland (1772), Gdańsk was subjected to a Prussian economic embargo for the next twenty years. Prussian troops entered the city on 4 April 1793, and the second partition of Poland put an end to Gdańsk’s status as port to a now moribund Polish-Lithuanian Commonwealth.
See also Hansa; Northern Wars; Poland to 1569; Poland-Lithuania, Commonwealth of, 1569–1765; Prussia.
BIBLIOGRAPHY
Bogucka, Maria. *Das alte Danzig: Alltagsleben vom 15. bis 17. Jahrhundert*. Munich, 1987.
Cieślak, Edmund, ed. *Historia Gdańska*. Vol. 2, 1454–1655. Vol. 3, pt. 1, 1655–1793. Gdańsk, 1982, 1993.
Cieślak, Edmund, and Czesław Biernat. *History of Gdańsk*. Gdańsk, 1995.
Simson, Paul. *Geschichte der Stadt Danzig bis 1626*. 3 vols. Gdańsk, 1913–1924. (Reprint: Aalen, 1967.)
DAVID FRICK
GELLÉE, CLAUDE. See Claude Lorrain (Gellée).
GENDER. Until the 1980s, “gender” was a word used primarily in the realm of linguistics. The women’s movement changed that, as it changed so much else. Advocates of women’s rights in the present looked at what they had been taught about the past and realized that it described only the male experience, though often portraying this as universal. This realization, combined with increasing numbers of women going into the field of history, led to investigation of the lives of women in the past. Women were first fitted into existing conceptual categories—nations, historical periods, social classes, religious allegiances—but focusing on women often disrupted these classifications, forcing a rethinking of the way history was organized and structured.
This disruption of well-known categories and paradigms ultimately included the topic that had long been considered the proper focus of all history—man. Viewing the male experience as universal had not only hidden women’s history, it had also prevented the analysis of men’s experiences as those of men. Historians familiar with studying women increasingly began to discuss the ways in which systems of sexual differentiation affected both women and men, and by the early 1980s they began to use the word “gender” to describe these systems. They differentiated primarily between “sex,” by which they meant physical, morphological, and anatomical differences (what are often called “biological differences”) and “gender,” by which they meant a culturally constructed, historically changing, and often unstable system of differences. Historians interested in this new perspective asserted that gender was an appropriate category of analysis when looking at all historical developments, not simply those involving women or the family. Every political, intellectual, religious, economic, social, and even military change had an impact on the actions and roles of men and women, and, conversely, a culture’s gender structures influenced every other structure or development.
Historians of the early modern period figured prominently in the development of both women’s and gender history and continue to be important voices in their subsequent growth and that of related areas of study such as the history of sexuality. Though summarizing their conclusions in a brief article goes against the central premise of the field—that gender issues should be a part of every historical analysis—three main areas can serve as examples of the way in which thinking about gender challenges understandings of the early modern era: gender and periodization, gender and political power, gender and the social order.
GENDER AND PERIODIZATION
One of the most important insights in women’s and then gender history began with a simple question—Did women have a Renaissance?—first posed by the historian Joan Kelly in 1977. Her answer, “No, at least not during the Renaissance,” led to intensive historical and literary research as people attempted to confirm, refute, modify, or nuance her answer. This question also contributed to the broader questioning of the whole notion of historical periodization. If a particular development had little, or indeed a negative, effect on women, could it still be called a “golden age,” a “Renaissance,” or an “Enlightenment”? Can the seventeenth century, during which hundreds or perhaps thousands of women were burned as witches on the European continent, still be described as a period of “the spread of rational thought”?
Kelly’s questioning of the term “Renaissance” has been joined more recently by a questioning of the term “early modern.” Both historians and literary scholars note that there are problems with this term, as it assumes that there is something that can unambiguously be called “modernity,” which is usually set against “traditional” and linked with contemporary Western society. The break between “medieval” and “early modern” is generally set at 1500, roughly the time of the voyages of Columbus and of the Protestant Reformation, but recently many historians argue that there are more continuities across this line than changes. Some have moved the decisive break earlier—to the Black Death in 1347 or even to the twelfth century—or have rejected the notion of periodization altogether. Gender historians, most prominently Judith Bennett, have been among those questioning the validity of the medieval/modern divide, challenging, in Bennett’s words, “the assumption of a dramatic change in women’s lives between 1300 and 1700” and asserting that historians must pay more attention to continuities along with changes.
GENDER AND POLITICAL POWER
During the fifteenth through the seventeenth centuries male and female writers in many countries of Europe wrote both learned and popular works debating the nature of women. Beginning in the sixteenth century, this debate also became one about female rulers, sparked primarily by dynastic accidents in many countries that led to women serving as advisers to child kings or ruling in their own right. The questions vigorously and at times viciously disputed directly concerned the social construction of gender: could a woman’s being born into a royal family and educated to rule allow her to overcome the limitations of her sex? Should it? Or stated another way: which was (or should be) the stronger determinant of character and social role, gender or rank?
The most extreme opponents of female rule were Protestants who went into exile on the Continent during the reign of Mary Tudor (ruled 1553–1558), most prominently John Knox, who argued that female rule was unnatural, unlawful, and contrary to Scripture. Being female was a condition that could never be overcome, and subjects of female rulers needed no other justification for rebelling than their monarch’s sex. Their writings were answered by defenses of female rule which argued that a woman’s sex did not automatically exclude her from rule, just as a boy king’s age or a handicapped king’s infirmity did not exclude him. Some theorists asserted that even a married queen could rule legitimately, for she could be subject to her husband in her private life, yet monarch to him and all other men in her public life. As Constance Jordan has pointed out, defenders of female rule were thus clearly separating sex from gender and even approaching an idea of androgyny as a desirable state for the public persona of female monarchs.
Jean Bodin (1530–1596), the French jurist and political theorist, stressed what would become in the seventeenth century the most frequently cited reason to oppose female rule: that the state was like a household, and just as in a household the husband/father has authority and power over all others, so in the state a male monarch should always rule. Male monarchs used husbandly and paternal imagery to justify their assertion of power over their subjects, though criticism of monarchs was also couched in paternal language; pamphlets directed against the crown during the revolt known as the Fronde in seventeenth-century France, for example, justified their opposition by asserting that the king was not properly fulfilling his fatherly duties.
This link between royal and paternal authority could also work in the opposite direction to enhance the power of male heads of household. Just as subjects were deemed to have no or only a very limited right of rebellion against their ruler, so women and children were not to dispute the authority of the husband/father, because both kings and fathers were held to have received their authority from God; the household was not viewed as private, but as the smallest political unit and so part of the public realm.
Many analysts see the Protestant Reformation and, in England, Puritanism as further strengthening this paternal authority by granting male heads of household a much larger religious and supervisory role than they had under Catholicism. The fact that Protestant clergy were themselves generally married heads of household also meant that ideas about clerical authority reinforced notions of paternal and husbandly authority; priests were now husbands, and husbands priests. After the Reformation, the male citizens of many cities and villages increasingly added an oath to uphold the city’s religion to the oaths they took to defend it and support it economically. For men, faith became a ritualized civic matter, while for women it was not. Thus both the public political community and the public religious community—which were often regarded as the same in early modern Europe—were for men only, a situation reinforced in the highly gendered language of the reformers, who extolled “brotherly love” and the religious virtues of the “common man.”
Religious divisions were not the only development that enhanced the authority of many men. Rulers intent on increasing and centralizing their own authority supported legal and institutional changes that enhanced the power of men over the women and children in their own families. In France, for example, a series of laws were enacted between 1556 and 1789 that increased both paternal and state control of marriage. Young people who defied their parents were sometimes imprisoned by what were termed lettres de cachet, documents that families obtained from royal officials authorizing the imprisonment without trial of a family member who was seen as a source of dishonor. Men occasionally used *lettres de cachet* as a means of solving marital disputes, convincing authorities that family honor demanded the imprisonment of their wives, while in Italy and Spain a “disobedient” wife could be sent to a convent or house of refuge for repentant prostitutes. Courts generally held that a husband had the right to beat his wife in order to correct her behavior as long as this was not extreme, with a common standard being that he not draw blood, or that the diameter of the stick he used not exceed that of his thumb.
Access to political power for men as well as women was shaped by ideas about gender in early modern Europe. The dominant notion of the “true” man was that of the married head of household, so that men whose class and age would have normally conferred political power but who remained unmarried did not participate to the same level as their married brothers; in Protestant areas, this link between marriage and authority even included the clergy.
Notions of masculinity were important symbols in early modern political discussions. Both male and female rulers emphasized qualities regarded as masculine—physical bravery, stamina, wisdom, duty—whenever they chose to appear or speak in public. A concern with masculinity pervades the political writings of Machiavelli, who used “effeminate” to describe the worst kind of ruler. (Effeminate in the early modern period carried slightly different connotations than it does today, however, for strong heterosexual passion was not a sign of manliness, but could make one “effeminate,” that is, dominated by as well as similar to a woman.) The English Civil War (1642–1649) presented two conflicting notions of masculinity: Royalist cavaliers in their long hair and fancy silk knee-breeches, and Puritan parliamentarians with their short hair and somber clothing. Parliamentary criticism of the court was often expressed in gendered and sexualized terminology, with frequent veiled or open references to aristocratic weakness and inability to control the passions.
**GENDER AND THE SOCIAL ORDER**
The maintenance of proper power relationships between men and women served as a basis for and a symbol of the functioning of society as a whole. Women or men who stepped outside their prescribed roles in other than extraordinary circumstances, and particularly those who made a point of emphasizing that they were doing this, were seen as threatening not only relations between the sexes, but the operation of the entire social order. They were “disorderly,” a word that had much stronger negative connotations in the early modern period than it does today, as well as two somewhat distinct meanings—outside of the social structure and unruly or unreasonable.
Women were outside the social order because they were not as clearly demarcated into social groups as men. Unless they were members of a religious order or guild, women had no corporate identity at a time when society was conceived of as a hierarchy of groups rather than a collection of individuals. One can see women’s separation from such groups in the way that parades and processions were arranged in early modern Europe; if women were included, they came at the end as an undifferentiated group, following men who marched together on the basis of political position or occupation. Women were also more “disorderly” than men because they were unreasonable, ruled by their physical bodies rather than their rational capacities, their lower parts rather than their upper parts. This was one of the reasons they were more often suspected of witchcraft; it was also why they were thought to have nondiabolical magical powers in the realms of love and sexual attraction.
Disorder in the proper gender hierarchy was linked with other types of social upheaval and viewed as the most threatening way in which the world could be turned upside down. Carnival plays, woodcuts, and stories frequently portrayed domineering wives in pants and henpecked husbands washing diapers alongside professors in dunce caps and peasants riding princes. Men and women involved in relationships in which the women were thought to have power—an older woman who married a younger man, or a woman who scolded her husband—were often subjected to public ridicule, with bands of neighbors shouting insults and banging sticks and pans in their disapproval. Adult male
journeymen refused to work for widows although this decreased their opportunities for employment. Fathers disinherited disobedient daughters more often than sons. The derivative nature of an adult woman’s authority—the fact that it came from her status as wife or widow of the male household head—was emphasized by referring to her as “wife” rather than “mother” even in legal documents describing her relations with her children. Of all the ways in which society was hierarchically arranged—class, age, rank, race, occupation—gender was regarded as the most “natural” and therefore the most important to defend.
See also Family; Marriage; Patriarchy and Patriarchalism; Sexual Difference, Theories of; Sexuality and Sexual Behavior; Women.
BIBLIOGRAPHY
Amussen, Susan Dwyer. *An Ordered Society: Gender and Class in Early Modern England*. London, 1988.
Bennett, Judith. “Medieval Women, Modern Women: Across the Great Divide.” In *Culture and History 1350–1600: Essays on English Communities, Identities and Writing*, edited by David Aers, pp. 147–175. London, 1992.
Breitenberg, Mark. *Anxious Masculinity in Early Modern England*. Cambridge, U.K., 1996.
Hanley, Sarah. “The Monarchic State in Early Modern France: Marital Regime, Government and Male Right.” In *Politics, Ideology, and the Law in Early Modern Europe: Essays in Honor of J. H. M. Salmon*, edited by Adrianna Bakos, pp. 27–52. Rochester, 1994.
Hardwick, Julie. *The Practice of Patriarchy: Gender and the Politics of Household Authority in Early Modern France*. University Park, Pa., 1998.
Jordan, Constance. *Renaissance Feminism: Literary Texts and Political Models*. Ithaca, N.Y., 1990.
Kelly, Joan. “Did Women Have a Renaissance?” In *Becoming Visible: Women in European History*, edited by Renate Bridenthal and Claudia Koonz, pp. 138–164. Boston, 1977.
Pateman, Carole. *The Sexual Contract*. Stanford, 1988.
Perry, Mary Elizabeth. *Gender and Disorder in Early Modern Seville*. Princeton, 1990.
Pitkin, Hannah Fenichel. *Fortune is a Woman: Gender and Politics in the Thought of Niccolò Machiavelli*. Berkeley, 1984.
Wiesner-Hanks, Merry E. *Gender in History*. London, 2001.
MERRY WIESNER-HANKS
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**GENERATION.** See Sexual Difference, Theories of.
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**GENEVA.** The only European city to become an independent republic in the sixteenth century and remain so for over 250 years (1536–1798), Geneva became best known as the seat of John Calvin’s (1509–1564) Reformation. These two distinctions are closely connected. Calvinist austerity gave a durable imprint to Geneva’s character, and many of the republic’s leading families descended from French religious refugees who were drawn by Calvin’s fame. Thanks partly to its university, founded in 1559 to train pastors for the Reformed Church in France, Geneva maintained a disproportionate intellectual role in early modern Europe from the Reformation through the Enlightenment. However, the city that attracted Voltaire (1694–1778) and repelled its illustrious native son Jean-Jacques Rousseau (1712–1778) seems significantly different from the place where Calvin settled two centuries earlier. Worldly prosperity had undermined the relatively impoverished austerity of its heroic Reformation period. After the fall of Napoléon I, Geneva became a Swiss canton in 1814 and continued its international vocation in the nineteenth century through the Red Cross (founded by a Genevan) and in the twentieth century as host to the League of Nations.
Geneva’s political history as a successful independent urban republic was unique in early modern Europe. Its independence, exemplified by its proud new motto *Post Tenebras Lux* (After Darkness, Light) and a coat of arms displaying half of the imperial eagle and half of the papal keys (the modern flag of the Swiss canton of Geneva), survived many serious threats. After 1559 two great Catholic neighbors, the duchy of Savoy and the kingdom of France, surrounded its minuscule territories on land. Geneva sustained its independence only through permanent political alliances with two Swiss cantons, Bern and Zurich; the city remained physically connected to its Bernese political allies only via Lake Geneva. The most serious threat came from an attempted escalade by the Savoyards on the longest night of the year in 1602, whose successful repulse is still celebrated annually in Geneva on 12
December, the pre-Gregorian and thus “Protestant” date of the winter equinox in 1602. Geneva narrowly avoided annexation by Louis XIV (ruled 1643–1715) after the revocation of the Edict of Nantes in 1685, but the republic survived for over another century until it was annexed by revolutionary France. As Peter Gay pointed out in 1959, one of the last champions of Genevan civic republicanism was none other than Voltaire, who was often assumed to prefer enlightened absolutism but who on this point largely agreed with his philosophical rival Rousseau.
Of course Calvin dominates Geneva’s religious history, just as his statue dominates the Wall of the Reformation near the University of Geneva. In early modern Europe, Geneva quickly developed a reputation for austere righteousness that was unparalleled in a place of this size. Rival myths about Geneva’s peculiarities developed by the mid-sixteenth century. Enthusiastic Protestants described it as a kind of earthly Jerusalem, while Catholics saw it as a sink of iniquity where renegade priests engaged in orgies. As John Knox (1513–1572), himself a byword for austerity and once the minister of an English refugee church in Geneva, put it, “manners and religion so sincerely reformed I have not yet seen in any other place.” A related tribute came from a different source a generation after Calvin’s death, when a visiting Jesuit
Geneva. City view, with Latin place names and German equivalents, sixteenth century, from *Cosmographia* by Sebastian Münster. The Art Archive/University Library, Geneva/Dagli Orti
remarked enviously that no one dared to blaspheme anyplace in Geneva.
The most important religious institution affecting the daily lives of Genevans after the Reformation was the Consistory, which Calvin introduced in 1541 to enforce ecclesiastical discipline. Within a year it systematically required troublemakers to "give an account of their faith," that is, it tested them for what came to be called confessional orthodoxy. Traces of Catholic practices disappeared within a generation. The Consistory's moral severity remained largely unchallenged until Voltaire's day.
Geneva has never been a major European city. At the peak of the Calvinist refuge around 1560, the city-republic held about twenty-five thousand people. By the 1580s the population had fallen by nearly half, and it remained below fifteen thousand until the early eighteenth century, gradually regaining its earlier peak by the time the city finally lost its independence. Geneva's economic history is almost as distinctive as its religious or political history. A highly successful printing industry, developed by French religious refugees like Jean Crespin and Laurent de Normandie, made religious propaganda the city's leading export in Calvin's time. Conventional wisdom correctly links vernacular printing to the spread of the French Reformation in the mid-sixteenth century. Although Geneva—Europe's only Protestant Francophone publishing center—remained intellectually significant far into the following century, most Genevan books were printed in Latin after 1585.
However, by 1590 Geneva entered a prolonged depression. The city emerged gradually in the late seventeenth century thanks to the growth of two new leading export-oriented trades, watchmaking and banking, both of which long outlived the republic (Rousseau was the son of a Geneva watchmaker). One invention of Geneva's eighteenth-century financiers involved investment in one-life annuities issued by the French crown. Using local genealogical data, they made actuarial tables that showed that girls past the age of five from wealthy families had the longest life expectancies. These bankers then created collective shares based on the lives of thirty selected Genevan girls—a scheme that worked well until the French Revolution destroyed the state that paid these annuities.
See also Béze, Théodore de; Calvin, John; Calvinism; Knox, John; Reformation, Protestant; Switzerland; Zurich.
BIBLIOGRAPHY
Among the recent achievements of Genevan scholarship, one must mention three ongoing critical editions, all published locally by Librairie Droz: the European-wide correspondence of Calvin's successor, Théodore de Béze (22 volumes to date, through 1582); the minutes of Geneva's Company of Pastors (thirteen volumes so far, covering 1546–1618), and the early records of Geneva's Consistory (two volumes to date).
Gay, Peter. Voltaire's Politics. Princeton, 1959.
Guichonnet, Paul, ed. Histoire de Genève. 3rd ed. Toulouse and Lausanne, 1986.
Monter, E. William. Calvin's Geneva. New York, 1967.
Naphy, William G. Calvin and the Consolidation of the Genevan Réformation. Manchester, U.K., 1994.
WILLIAM MONTER
GENOA. Genoa, the major port city of northwestern Italy, is situated at the center of the Ligurian coast and protected by a rugged mountain range and an easily defensible harbor. In the early modern period, Genoa's territory stretched from La Spezia in the east to Ventimiglia in the west, and included portions of the Lombard plain north of the coastal range. The Genoese also controlled the island of Corsica, which they administered as a colony.
The early modern Genoese state emerged in 1528, following an aristocratic revolt that put an end to the medieval regime that had endured since the early tenth century. The revolt, backed by the Spanish and led by the Genoese admiral Andrea Doria (1466–1560), established a republican constitution in which eligibility for political office was predicated on membership in one of twenty-eight alberghi—extended aristocratic kinship networks based on clientage rather than strict consanguinity. The 1528 constitution expanded the opportunity to hold office to newer aristocratic families whose wealth was based on commerce instead of banking. Strife between the new families and the older established aristocrats became one of the defining features of the Genoese republic, and led to a pair of constitutional reforms. The first, in 1547, was designed to ensure that the older families maintained control of the higher councils of government by filling key positions through appointment rather than election. The second, occasioned by the threat of civil war in 1576, resulted in the abolition of the *alberghi* as formally recognized groups, and the declaration that all aristocrats were equal in status and privilege before the law.
Despite the waning of the republic’s naval power in the sixteenth century, the city remained an important economic center. To maintain their hold on goods carried by northern European ships, the Genoese declared themselves a free port in 1669. No longer actively involved in maritime trade, the city’s oligarchs turned their attention to other commercial opportunities. The Genoese were among the European leaders in banking, at one point in the late sixteenth century holding most of the Spanish crown’s public debt. The sparse population and difficult terrain of the Ligurian coast did not permit the agricultural speculation that other Italian cities engaged in, but the rural population was put to work as wage laborers for traditionally urban industries, especially textile manufacturing. Moving urban industries to the countryside created a large class of indigent poor in the city. In 1656, to combat what
was increasingly seen as a threat to public order, the city created the Albergo dei Poveri, a combination prison and workhouse. The Albergo was the first of its kind in Europe, and the institution was widely imitated in the coming centuries.
Despite the fact that the Genoese oligarchs found new avenues for investment, the republic’s military and political power steadily declined. Both the Spanish and French crowns had designs on Genoa’s port, forcing the Genoese to play the two rivals against each other in an effort to retain their own liberty. In the end, however, the lack of a standing army or large fleet meant that the Genoese were unable to resist a gradual loss of their territory. In 1746 the city was briefly occupied by an Austrian army, but a popular revolt reestablished the republic. In 1768 financial problems forced the Genoese to sell Corsica to the French. It was a sign of things to come, as in 1797 the French army under the command of a Corsican general, Napoléon Bonaparte, put an end to Genoa’s tenuous independence.
See also Italy.
BIBLIOGRAPHY
Costantini, Claudio. *La repubblica di Genova nell’età moderna*. Vol. 9 of *Storia D’Italia*, edited by Giuseppe Galasso. Turin, 1978.
Epstein, Steven A. *Genoa and the Genoese, 958–1528*. Chapel Hill, N.C., 1996.
Grendi, Edoardo. *La repubblica aristocratica dei genovesi: Politica, carità e commercio fra Cinque e Seicento*. Bologna, 1987.
KARL APPUHN
GENTILESCHI, ARTEMISIA (1593–c. 1654), Italian painter. Artemisia Gentileschi is known for her early dramatic biblical narratives presenting forceful female protagonists. Her less-known later paintings feature pensive heroines and classically composed groupings.
She was the daughter of Orazio Gentileschi, a Tuscan painter who trained her to paint in his style combining the artificial contrivance of mannerism with a naturalism inspired by the revolutionary vision of Caravaggio (born Michelangelo Merisi, 1573–1610). Although some scholars have dated her earliest work to 1609, based on Orazio’s 1612 boast that she had achieved remarkable successes in only three years, she probably began painting in 1605, apprenticing at age twelve as did many male painters. In 1611 she was raped by Orazio’s colleague Agostino Tassi. Testimony from the ensuing trial provides valuable information on Artemisia’s early life, including her own account of the assault. She worked in Rome until late 1612 or early 1613, when she married a Florentine and moved to Florence. On returning to Rome in 1620, she entered one of her most successful periods. In 1627 she visited Venice, although the duration of her stay is unknown. She settled in Naples by August 1630, her home for the rest of her life except for a sojourn in London around 1639. Her patrons included major contemporary collectors such as Michaelangelo Buonarroti, nephew to the great Renaissance artist; the grand duke of Tuscany; the kings of England and Spain; the Roman scholar Cassiano dal Pozzo; and Don Antonio Ruffo of Sicily.
Famous in her own day, she was generally ignored until the twentieth century when the reevaluation of Caravaggio and seventeenth-century naturalism extended to his followers, including Artemisia, his sole female disciple. Roberto Longhi, the great Caravaggio scholar, wrote the first serious account of both Gentileschis in 1916. Focus on Artemisia as caravaggista was later supplanted by attention to her role as feminist heroine, beginning with Anna Banti’s 1946 novel *Artemisia*, a personal homage to Artemisia’s life and art that highlighted the rape and subsequent trial. Later twentieth-century studies have championed Artemisia as a strong female artist who, having overcome violence, created paintings that asserted women’s power over their own lives and expressed revenge against male domination.
Her first signed and dated painting, the 1610 *Susanna and the Elders*, has been interpreted as a statement of women’s strength and courage in the face of male oppression. Among the most compelling images of the story ever painted, it reveals Artemisia as one of the most gifted practitioners of baroque exuberance and an astute interpreter of dramatic narrative. Although it has been disputed whether Artemisia painted the entire canvas or whether her father helped (some claim Orazio alone created it), most scholars accept it as primarily Artemisia’s work. Several other early paintings from her
Artemisia Gentileschi. Judith Beheading Holofernes. ©ALINARI/ART RESOURCE, N.Y.
Roman period have been attributed to Orazio. There is at present no clear scholarly consensus.
Evaluating Artemisia among Caravaggio’s followers has highlighted pictures that emphasize bold lighting, surface texture, and aggressive naturalism (*Judith Beheading Holofernes* [Uffizi]; *Lucretia* [Milan]; *Judith and Her Maidservant* [Detroit]) and led to her being credited with bringing Caravaggio’s style to Naples. However, this Caravaggio-dominated paradigm no longer holds. From the trial records, we understand her early life to have been severely restricted, with little opportunity to explore Rome’s treasures, resulting in limited knowledge of Caravaggio other than through his influence on her father. It is also now clear that Caravaggio’s realist style had reached Naples earlier than Artemisia’s arrival. In fact, recent discoveries have revealed Artemisia’s work as far more varied and less stylistically coherent than the caravagesque model implies. Although her earliest pictures (1609–1613) demonstrate a debt to Caravaggio, her Florentine paintings move beyond this influence in their freer use of paint and color. Furthermore, her later works, often subdued and poetic, exhibit widely disparate expressive forms. In spite of recent suggestions that Artemisia adopted the style in vogue in the city in which she worked, her surviving paintings reveal a broader and more varied visual response. Having been trained to paint in the style of her father, she continued to demonstrate a remarkable ability to draw from others as she fashioned pictures that ranged from the rich color and compositional power of early Guercino (born Giovanni Francesco Barbieri, 1591–1666) to the restrained idealism of Guido Reni (1575–1642). Her assimilation of disparate styles may have been related to gender. Surviving letters, some thirty in number, reveal her awareness of her difficult position in a male-dominated profession. She may also have understood the impact of her gender on patrons who commissioned female nudes, her presumed specialty.
*See also* Caravaggio and Caravaggism; Naples, Art in; Women and Art.
**BIBLIOGRAPHY**
**Primary Sources**
Baldinucci, Filippo. *Notizie de’ professori del disegno da Cimabue in qua*. 6 vols. Florence, 1681–1728. 5 vols., edited by F. Ranalli, Florence, 1845–1847. Edition by P. Barocchi, with annotations and 2 vols. of appendices, Florence, 1974–1975.
Bellori, Giovan Pietro. *Le vite de’ pittori, scultori e architetti moderni*. Rome, 1672. Artemisia is discussed in the life of Orazio.
Menzio, Eva, ed. *Artemisia Gentileschi/Agostino Tassi: Atti di un processo per stupro*. Milan, 1981. Partial transcription of testimonies in Tassi’s 1612 rape trial.
**Secondary Sources**
Bissell, R. Ward. *Artemisia Gentileschi and the Authority of Art: Critical Reading and catalogue raisonné*. University Park, Pa., 1999.
Christiansen, Keith, and Judith W. Mann. *Orazio and Artemisia Gentileschi*. New York, 2001.
Florence, Casa Buonarroti. *Artemisia*. Exh. cat., edited by Roberto Contini and Gianni Papi. Rome, 1991.
Garrard, Mary D. *Artemisia Gentileschi: The Image of the Female Hero in Italian Baroque Art*. Princeton, 1988. Includes most of Gentileschi’s letters and an English translation of some of the trial testimony.
Lapierre, Alexandra. *Artemisia: Un duel pour l’immortalité*. Paris, 1998. Although a novel, the footnotes contain the results of important archival research.
Longhi, Roberto. “Gentileschi padre e figlia.” *L’arte* XIX (1916): 245–314.
Spear, Richard E. “Artemisia Gentileschi: Ten Years of Fact and Fiction.” *Art Bulletin* 82 (2000): 568–579.
JUDITH W. MANN
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**GENTLEMAN.** The word “gentle” is derived from the Latin word *gentilis*, an adjective meaning ‘of or belonging to the same clan, stock, or race’. Throughout the early modern era noble birth would largely define the gentleman, but the ideal of gentlemanly behavior changed dramatically from the sixteenth through the eighteenth centuries.
From the Middle Ages to the sixteenth century, a gentleman was expected to be a warrior. Military service was the main source of ennoblement. The gentleman was to receive training in arms, and to engage in activities reflecting a martial quality. In the absence of combat, the gentleman engaged in hunting or tournaments. Private violence was acceptable within the community of nobles, who used it often to defend their honor. Recognition by peers was in many ways the foundation of noble identity.
tributes for a gentleman who increasingly resided at court rather than in his own domains.
A major factor in the transformation of the ideal of the gentleman was the rise of the state. This in turn was precipitated by changes in the technology of warfare. The “gunpowder revolution” ensured the obsolescence of the knight on horseback and the increased importance of the mass infantry. Whereas in the Middle Ages nobles could often afford to field armies against the king, by the sixteenth century, no noble could compete with the king’s army, which was equipped and trained by means of taxation. In the newly created state, the king did not need as many nobles to fight for him; rather he needed bureaucrats and administrators to ensure the efficient mobilization of resources. That, more than noble valor, increasingly determined the outcome of war. Nobles filled lucrative offices in the state administration, spending less time in their feudal domains and more time at court. Here they retained their social prominence, but they declined in their political power in relation to the king. The king increasingly distanced himself from his fellow nobles through propaganda aimed at his glorification. By the late seventeenth century, most kings no longer led their troops into battle. The king hired non-nobles to government offices, sometimes rewarding them with titles of nobility. In order to distance themselves from these newly ennobled officials, the old nobility focused on their genealogies. Pedigree became more important than valor in the definition of a gentleman. However, the conflict between the new nobility and the old, as well as the conflict between the nobility and the king, has been downplayed by recent historians who stress that nobles had much to gain from the state. Life at court offered intellectual stimulation, the society of women, and a certain kind of political power that operated through networks of patronage.
Attendance at court required “civility,” and the code of gentlemanly conduct placed a new emphasis on self-discipline. A proliferation of etiquette manuals occurred in the sixteenth and seventeenth centuries, regulating behavior in a courtly environment. Claiming a monopoly on violence, the state no longer tolerated private violence between nobles. The gentleman distinguished himself through culture and refinement rather than through military prowess or political domination.
The nature of the gentleman changed again in the eighteenth century in response to a new economic reality: the capitalist economy. Whereas in the past the gentleman derived his income from land or government offices, by the eighteenth century the gentleman was permitted to engage in certain forms of trade. Thus nobles adapted to the new capitalist economy, while simultaneously maintaining their position at the top of the social and economic hierarchy.
In terms of culture, the seventeenth-century concern with “civility” gave way to the eighteenth-century emphasis on “sociability.” Whereas civility dictated relations among people of unequal status in the hierarchical world of the court, sociability was a bond of friendship between equals. Sociability governed relationships outside the court, especially in the setting of the salon, a social environment often dominated by women. Increasingly, the ideal gentleman inhabited private spaces untouched by the state. There was a new emphasis on intimacy that appeared in the architecture of country houses. These reflected the individuality of their owners. Private rooms testified to an increased desire for private space. The courtier’s proper appearance and conduct, so important in the seventeenth century, became less important than introspection and consciousness of self. This interiority is reflected in the rise of the novel, a genre made possible by the new emphasis on individuality.
A debate going back to the Italian Renaissance posed the question whether birth or virtue defined the true gentleman. The debate continued throughout the early modern era, despite major changes in the meaning of the word “virtue.” Whether he exhibited superior valor, refinement, or sensitivity, the gentleman retained his position at the top of the cultural hierarchy throughout the early modern era.
See also Aristocracy and Gentry; Class, Status, and Order; Court and Courtiers; Duel; Estates and Country Houses; Hunting.
BIBLIOGRAPHY
Ariès, Philippe, and Georges Duby, eds. *A History of Private Life*. Vol. 3, *Passions of the Renaissance*. Edited by Roger Chartier. Translated by Arthur Goldhammer. Cambridge, Mass., 1989.
Clark, Samuel. *State and Status: The Rise of the State and Aristocratic Power in Western Europe*. Montreal, 1995.
Dewald, Jonathan. *The European Nobility 1400–1800*. Cambridge, U.K., 1996.
Duindam, Jeroen. *Myths of Power: Norbert Elias and the Early Modern European Court*. Translated by Lorri Granger and Gerard T. Moran. Amsterdam, 1994.
Elias, Norbert. *The Court Society*. Translated by Edmund Jephcott. New York, 1983.
Schalk, Ellery. *From Valor to Pedigree: Ideas of Nobility in France in the Sixteenth and Seventeenth Centuries*. Princeton, 1986.
REBECCA BOONE
GENTRY. See Aristocracy and Gentry.
GEOFFRIN, MARIE-THÉRÈSE (Marie-Thérèse Rodet Geoffrin; 1699–1777), French Enlightenment *salonnier* (‘host of literary salons’). Mme Geoffrin hosted intellectual conversations for important philosophes (writers and thinkers of the French Enlightenment), artists, musicians, and writers on Mondays and Wednesdays at her home on the fashionable rue Saint-Honoré in Paris. Born in Paris, the daughter of a valet to the dauphine and orphaned in her youth, Marie-Thérèse was raised by her grandmother, Mme Chemineau, who valued self-education. She prepared Marie-Thérèse religiously, morally, and socially for society. Although pedagogy did not concern Chemineau, she cultivated independent thought and reason in her granddaughter, characteristics later integral to the foundation of her renowned salon.
On 19 July 1713, the aging, and thus concerned, Chemineau, married fourteen-year-old Marie-Thérèse to the fifty-year-old Peter Francis Geoffrin, a wealthy manufacturer, and the prestigious director and a shareholder in the royal glassworks, Compagnie de Saint-Gobain. Geoffrin gave birth to two children, her namesake and a son who died at the age of ten. Her daughter, Mme de la Ferté-Imbault, wrote later of her parents’ marital strife, her filial competition with Geoffrin, and the ultimate blessing of growing up among “great minds.”
Geoffrin attended the salons of her neighbor, Mme Tencin, a celebrated *salonnier* who attracted many of the leading intellectuals of the day, including Helvétius and Montesquieu. Tencin was an undisputed mentor to Geoffrin, yet Geoffrin’s letters emphasize her gratitude to Chemineau for encouraging her erudition. Geoffrin’s instincts, her grandmother’s guidance, and her exposure to the intellectual discourse at Mme Tencin’s salons combined to fashion her probing mind. Geoffrin’s husband did not share Geoffrin’s intellectual drive, yet his financial support contributed to her initial success in 1748. Following the deaths of Tencin and her husband in 1749 and 1750, respectively, Geoffrin joined the board and management of the Saint-Gobain glassworks and welcomed the habitués of her mentor to her own salons. Geoffrin distinguished herself from her colleagues by the unparalleled and elevated exchange in her salons.
The diversity of intellects drawn to Mme Geoffrin’s salons and her correspondence testify to the esteem in which prominent artistic, literary, and political circles held her. She established a serious purpose for the gatherings over which she presided, and her guests noted her skill in drawing worldly and erudite minds to her salons, a challenge to her brilliant rival, Mme du Deffand. Her contemporaries describe her integrity, distaste for conflict, and incomparable brilliance in navigating thorny subjects. On Mondays one found artists and sculptors including Carle Van Loo, François Boucher, and Étienne Maurice Falconet. On Wednesdays men of letters, including Denis Diderot, the art critic and editor of the *Encyclopédie*, and the editor Friedrich Melchior von Grimm were frequently in attendance.
Though Geoffrin shunned discord, she respected the process of civilized conversation and she harnessed runaway egos, maintaining a strict focus. Her motto, *donner et pardonner*, “to give and to pardon,” describes the role she seemed born to play within the Republic of Letters (the intellectual and rational discourse of the Enlightenment facilitated
by the polite conversation and letter-writing of salon culture). Geoffrin counted Catherine the Great, tsarina of Russia (ruled 1762–1796), and Stanislaw Poniatowski, the last king of Poland (ruled 1764–1795), among her friends, and her letters to both rulers demonstrate the personal and political rapport they shared. In 1766 Geoffrin visited Poniatowski in Poland, a rare trip outside her beloved Paris.
Recent scholarship has reassessed Geoffrin’s role, eschewing eighteenth-century views of women seeking recognition in the shadows of famous men. Geoffrin may have demonstrated what her friend André Morellet called “a little vainglory,” yet she did not desire the celebrity she achieved through her salons. Her passion was education, and her goal was to propagate Enlightenment thought, evidenced particularly by assisting in the Encyclopédie’s rescue from its censors in 1759, paying 200,000 livres to facilitate production. Artistic images of her gatherings, for example, A. C. G. Lemonnier’s An Evening at the Home of Mme Geoffrin in 1755, reveal a sophisticated Parisian woman who inspired intellectual risks and helped to govern the civilizing discourse of the French Enlightenment.
By 1777, her daughter, Mme Ferté-Imbault, had zealously insulated Geoffrin, who was suffering from crysipelas, a skin disorder, from her indebted following. Ferté-Imbault viewed this intellectual coterie as nothing more than a group of depraved infidels. Patronage of the Enlightenment did not mitigate Geoffrin’s unyielding devotion as a Christian. She was humored by her daughter’s fierce protection and determination to give her a proper Christian burial. Shortly before her death, Geoffrin and Ferté-Imbault repaired the ancient enmity that had divided them. Saint-Beuve recalled Geoffrin’s peerless influence, and the artist Mme Vigée-Lebrun described her unique legacy as remarkable for a woman of the eighteenth century. Geoffrin died in Paris on 6 October 1777.
See also Catherine II (Russia); Diderot, Denis; Encyclopédie; Enlightenment; Helvétius, Claude-Adrien; Montesquieu, Charles-Louis de Secondat de; Philosophes; Poniatowski, Stanisław II Augustus; Republic of Letters; Salons.
BIBLIOGRAPHY
Primary Source
[Poniatowski, Stanislaw, king of Poland, and Marie-Thérèse Geoffrin]. Correspondance inédite du roi Stanislas-Auguste Poniatowski et de Madame Geoffrin (1764–1777). Paris, 1875.
Secondary Sources
Goodman, Dena. The Republic of Letters: A Cultural History of the French Enlightenment. Ithaca, N.Y., 1994.
Gutwirth, Madelyn. The Twilight of the Goddesses: Women and Representation in the French Revolutionary Era. New Brunswick, N.J., 1992.
Rosamond Hooper-Hamersley
GEOGRAPHY. See Cartography and Geography.
GEOLOGY. Geology was only in the process of becoming a recognized science near the close of the eighteenth century. Tracing geology’s root sources, during the several centuries prior to its emergence as a distinct science, requires attention to varied forms of activity and knowledge, including (1) practical activities such as quarrying, mining, surveying, and the metallurgical arts; (2) descriptive and classificatory inquiries in fields of natural history such as mineralogy and physical geography; (3) philosophical explorations of the causes of the formation of minerals, stones, and crystals; (4) history proper, which is to say chronological and antiquarian research; and (5) efforts to construct a theory of the earth, a genre that began to flourish especially after the middle of the seventeenth century.
VARIED MODES OF PURSUIT OF EARTH SCIENCE
Growing confidence in the practical value of systematic knowledge lay behind efforts to survey mineral resources and promote their exploitation. The writings of the German mining physician Georgius Agricola (1494–1555) are representative of increasingly acute descriptions and rationalizations of technical procedures for extracting and treating those resources. By the seventeenth century, under state ownership or patronage of mining authorities in several Continental countries, formalized institutes were being founded as centers for instruction and
analysis in the extraction industries. The leading eighteenth-century example was the Saxon *Bergakademie* (Mining Academy) at Freiberg, where Abraham Gottlob Werner (1749–1817) achieved fame as both teacher and theoretician. Similar practical and economic motives lay behind royal support for a French mineralogical survey launched in the 1760s.
Until well into the eighteenth century, the term *fossil* referred comprehensively to things found in or dug out of the ground. Renaissance naturalists such as the Swiss physician Conrad Gessner (1516–1565) undertook to codify knowledge of fossils, through both observation of specimens and study of texts from Greco-Roman antiquity. Such efforts at literary compilation were echoed by the enthusiasm of collectors (such as the Dane Ole Worm [1588–1654] and the Jesuit polymath Athanasius Kircher [1601?–1680]) for assembling displays of stones, gems, and other “natural antiquities.” How stones form, and the possible causative roles played by water or generative seeds in that process, was a central question of early modern natural philosophy. It was perhaps most prominently posed in chemical cosmogonies from Jean Baptiste van Helmont (1579–1644) to Georg Ernst Stahl (1660–1734), and physicians regularly addressed it when explaining the formation of bladder stones. Of obvious relevance was assaying of mineral waters, one of the most frequently treated topics of geological investigation during the sixteenth and seventeenth centuries.
Related to these problems was the prolonged debate concerning the origins of “figured stones,” or fossil bodies of regular form. One group of theories attributed these bodies to generative powers or seeds indigenous to the earth—the mineral domain being considered capable of engendering “intrinsic fossils” through its own specific powers, analogous to those of plants or animals. Such theories were effectively modified toward the end of the seventeenth century, particularly by the Danish anatomist Niels Stensen (Nicolaus Steno, 1638–1686) and some contemporaries. While employed at the Tuscan court, Steno recognized that the fossils known as *glossopetrae* resembled sharks’ teeth. In his examination of “solid bodies contained naturally within solids,” Steno developed a lucid analysis of the processes of sedimentation and petrifaction whereby an actual tooth or other durable organic part might become preserved within solid rock, thus making it an “extrinsic” fossil object. Extrinsic fossils were treated by many naturalists as relics of the biblical Flood, but such “diluvial” interpretations came under broad attack during the eighteenth century as difficulties multiplied for those viewing fossils as remnants of a single event within the time constraints of orthodox biblical chronology.
Advances in antiquarian scholarship during the seventeenth century, meanwhile, provided new standards for authenticating, dating, and interpreting historical relics and records, whether sacred, civil, or natural (terms such as *monument* or *inscription* were commonly applied to both human and natural productions). Thus, increasingly rigorous and critical analytical procedures used to study the human past—often with the aim of confirming historical knowledge found in the Bible—were applied simultaneously to comprehension of the earth’s history, extending backward in time from the reconstructed physical geography of the classical era. Finally, as European scholars took Chinese historical records and New World inhabitants into consideration, comparisons of biblical chronology with archaeological and historical discoveries about non-Western peoples yielded doubts about the sufficiency of classical texts, including the Bible, as sources of historical information applicable to all of humanity. Such developments promoted lines of investigation that eventually led to a separation of natural history from civil history, and conviction grew that nature has had a long prehuman history.
Notwithstanding various challenges posed by geological activities and thinking to traditional religious doctrines, pursuit of geological questions up through 1800 proceeded with wide acceptance—often with hearty endorsement—of the presumed consistency of natural knowledge with revealed knowledge. It remained unusual for geological writers to dispute the compatibility of their scientific endeavor with religiously sanctioned belief in the divine superintendence of nature; few geological authors distanced themselves very far from a vision of nature laden with moral meaning.
**EIGHTEENTH-CENTURY DEVELOPMENTS**
While much early modern study of minerals and fossils consisted of examining specimens in the cabinet or museum, an ethos grew emphasizing travel
and field observation, especially during the eighteenth century. Notable among the results were sustained efforts to discern the configurations of mountains and the patterns of distribution in their constituent rock masses. Around 1750 a consensus began to develop, distinguishing relatively unstructured and nonfossiliferous “primary” rocks, often found in the core districts of mountain ranges, from the stratified and frequently fossiliferous “secondary” rocks. Whether systematic distinctions between these types of rocks might promise access to a satisfactorily inclusive account of the earth’s history since its inception was contested; some thought the evidence indicated a series of changes (“revolutions”) of perhaps indeterminate number and scope. In general, a broadly shared sense of satisfaction with real progress in precise description of geological phenomena was not matched with agreement about which phenomena mattered most, or about their proper causal explanation. A strong preference existed for explaining the origins and transformations of most geological features through the agency of water (“Neptunism”), although field investigations were gradually yielding information warranting expanded roles for “fire” or heat. Aqueous agency tended to be seen as ordered and constructive (the organized strata of the earth’s crust were, after all, mainly sedimentary), whereas fire was commonly viewed as a cause of disorder and disfigurement. The eighteenth century also witnessed a widening adoption of interpretive attitudes that have in retrospect been called “actualistic”: this entailed the presumption that causal explanations should rely only on natural agents of types empirically known to operate. (“Actualism” thus differed from nineteenth-century uniformitarianism, which in addition to presuming continuity of kinds or types of cause also assumed continuity in the rate or intensity of their operation.)
Notwithstanding nineteenth-century attacks on the intellectual consequences of theories of the earth—Charles Lyell argued in *Principles of Geology* (vol. 1, 1830) that they promoted intellectual indolence—in their post-Cartesian heyday such syntheses or systems tended to serve geological investigation as both motivators for and receptacles of new information and drew attention to geological problems. Whether comprehensive theories constituted good science became increasingly controversial in the second half of the eighteenth century, especially in debates over the merits of theories published by Georges Louis Leclerc Buffon (1707–1788). Late Enlightenment skepticism about geological “systems” helps explain the generally inhospitable reception given the *Theory of the Earth* (1788, 1795) offered by the deistic Scottish philosopher James Hutton (1726–1797). His was a synthetic perspective on the maintenance of geological conditions propitious for support of life on the earth’s surface, through a dynamic equilibrium between internal processes of heat-driven rock consolidation and elevation on one hand and external processes of erosion and deposition on the other (the original expression of what has since come to be known as the geostrophic cycle).
In the last quarter of the eighteenth century the science of geognosy (German *Geognosie*) made a bid for recognition as the leading means of analyzing mineral phenomena on a local and by extension even a global scale. Geognosy was a method or doctrine taught by Werner, at Freiberg, to an international cadre of students, most of whom were preparing for careers in their respective mining establishments. It elaborated on the litho-stratigraphic insights traceable back to Steno (since adapted and extended by other naturalists), and on skills in mineral identification, to develop recognition of how distinct rock masses relate to one another in subterranean space. Wernerian geognosy produced a key new geological concept, the “formation,” defined essentially as a rock mass distinguishable in its lithological character and evident mode of origin, and thus as presumably formed at a given point in time. The formation, as a time-specific rock entity, became the focus of research on the relative positions of differentiated geological elements in the earth’s crust (stratigraphy), and thus on their relative ages.
Geology’s emergence as a distinct science around 1800 marked a momentous transformation in the history of Western science: an unprecedentedly definitive investment in nature with a sense of historical development. The classic aim of natural philosophy, prior to this shift of conception, had been confined mainly to the delineation of a presumably fixed order of nature, acting through processes usually believed not to have generated substantially altered configurations in the natural framework or
in the objects furnishing it. With the advent of historical geology, the sciences added to their agenda the objective of tracing nature’s successive changes. A portentous outcome of this new kind of research was the dawning cognizance, at the end of the eighteenth century, of the reality of biological extinction.
**HISTORIOGRAPHY**
The complications of disciplinary history apply with special force to geology in the early modern period; during most of this time no geological discipline existed. At least until recently, histories of geology have most often been written as retrospective accounts of the science’s ancestry. Leading historical interpretations, founded by nineteenth- and twentieth-century geologists wishing to understand how their science came to take its modern form (or to use history as a tool to advance their particular conception of the science), tended to yield Whiggish historical accounts assigning credit or blame in accord with the degree to which various figures or scientific approaches contributed to, or obstructed, geology’s progress. This kind of history thus tended also to obscure the motivations and intentions of many of the relevant actors, since few of them (at least until the late eighteenth century) conceived of the establishment of geology as their purpose. Genuinely historical recovery of geology’s antecedents requires consultation of research literatures addressing the diverse fields in which, looking back, geological topics are seen to have been treated. Some of the better modern historical research—carried out largely within the “retrospective” tradition, but in calculated avoidance of Whig history—has called into question a long-standing Anglophone tendency to honor British over Continental strands in early geology’s development, and to redress heavy emphasis on the physical and historical features of certain theories of the earth as preludes to geology, in favor of greater roles for descriptive and chemical-mineralogical enterprises (cf. Laudan). Modern scholarship has also tended to draw back from an earlier inclination to identify a single founder or “father” of geology—Hutton was long a British favorite, Werner a Continental one—and to see in geology, instead, a creature of multiple parentage.
*See also* Buffon, Georges Louis Leclerc; Earth, Theories of the; Gessner, Conrad; Scientific Method; Steno, Nicolaus.
**BIBLIOGRAPHY**
Ellenberger, François. *Histoire de la géologie*. 2 vols. Paris, 1988–1994.
Gohau, Gabriel. *Les sciences de la terre aux XVIIe et XVIIIe siècles: Naissance de la géologie*. Paris, 1990.
Jardine, N., J. A. Secord, and E. C. Spary, eds. *Cultures of Natural History*. Cambridge, U.K., and New York, 1996.
Laudan, Rachel. *From Mineralogy to Geology: The Foundations of a Science, 1650–1830*. Chicago, 1987.
Oldroyd, David R. *Thinking about the Earth: A History of Ideas in Geology*. Cambridge, Mass., 1996.
Porter, Roy. *The Making of Geology: Earth Science in Britain, 1660–1815*. Cambridge, U.K., and New York, 1977.
Rappaport, Rhoda. “The Earth Sciences.” In *The Cambridge History of Science*. Vol. 4: *Eighteenth-Century Science*, edited by Roy Porter, pp. 417–435. Cambridge, U.K., and New York, 2003.
———. *When Geologists Were Historians, 1665–1750*. Ithaca, N.Y., 1997.
Rossi, Paolo. *The Dark Abyss of Time: The History of the Earth and the History of Nations from Hooke to Vico*. Chicago, 1984. Translation of *I segni del tempo* (1979) by Lydia G. Cochrane.
Rudwick, Martin J. S. *The Meaning of Fossils: Episodes in the History of Palaeontology*. 2nd ed. Chicago, 1985.
Schneer, Cecil J., ed. *Toward a History of Geology*. Cambridge, Mass., 1969.
Kenneth L. Taylor, Kerry V. Magruder
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**GEORGE I (GREAT BRITAIN)** (1660–1727; ruled 1714–1727), king of Great Britain and Ireland. George I, who was also elector of Hanover (1698–1727), was the first of the Hanoverian dynasty to rule in Britain. Unlike William III (ruled 1689–1702), who seized power in 1688–1689 and who was familiar with English politics and politicians from earlier visits, marriage into the English royal family, and extensive intervention in English domestic politics, George knew relatively little of England. His failure to learn English and his obvious preference for Hanover further contributed to this sense of alien rule. It was exacerbated by a sense that the preference for Hanover entailed an abandonment of British national interests, as resources
were expended for the aggrandizement of Hanover and as the entire direction of British foreign policy was set accordingly. Within five years of his accession, George was at war with Spain, was close to war with Russia, and, having divided the Whigs and proscribed the Tories, was seeking to implement a controversial legislative program. Allied with France from 1716, George pursued a foreign policy that struck little resonance with the political experiences and xenophobic traditions of his British subjects.
On the other hand, George’s reign was not so much the wholesale Hanoverian takeover that some feared. Despite periodic rows about Hanoverian interests, George did not swamp Britain with German ministers or systems. Instead, he adapted to British institutions, conforming to the Church of England despite his strong Lutheranism. Even his dispute with his son, later George II (ruled 1727–1760), in 1717–1720 fitted into a parliamentary framework with court and Leicester house parties at Westminster. And the failure of the Jacobite rising of the Old Pretender, James Edward Stuart (1688–1766), in 1715 indicated early in his reign that the establishment on which George depended was determined in turn to maintain his rule.
George’s place in politics was not of his choosing but was instead a consequence of the limitations in royal authority and power that stemmed from the Glorious Revolution of 1688–1689 and subsequent changes. George was sensible enough to adapt and survive. Unlike James II (ruled 1685–1688), he was a pragmatist who did not have an agenda for Britain other than helping Hanover. In part this was a sensible response to circumstances and in part a complacency that arose from diffidence, honesty, and dullness. George lacked the decisiveness, charisma, and wiliness of Louis XIV (ruled 1643–1715) of France and Peter the Great (ruled 1682–1725) of Russia.
As an individual George was a figure of suspicion because of the incarceration of his adulterous wife, Sophia Dorothea, and the disappearance in 1694 of her lover, Philipp Christoph von Königsmarck, and because of rumors about his own personal life. His choleric quarrel with the future George II also attracted attention. George I enjoyed drilling his troops and hunting. When he could, he had fought, including in 1675–1678 in the Dutch war against Louis XIV and in 1683–1685 against the Turks in Hungary. He had led forces into Holstein in 1700, led an invasion of Wolfenbüttel in 1702, and commanded on the Rhine against Louis XIV’s forces in the War of the Spanish Succession (1701–1714).
George’s reliance on the Whigs and antipathy toward the Tories was more important, as it limited his room for political maneuver. In 1720 George had to accommodate himself to Robert Walpole (1676–1745), the leading opposition Whig, but it is also clear that Walpole had to adapt to George. In 1720 George was also reconciled with his son, but only to the extent of a mutual coldness. George refused to have his son as regent in England during his trips to Hanover in 1723, 1725, and 1727, on the last of which he died en route. He also turned down his son’s request for a military post in any European conflict that might involve Britain.
George showed both political skills and a sense of responsibility during his reign. An incompetent and unyielding monarch might well have led to the
end of Hanoverian rule in Britain, but at George’s death in 1727 there was no question that the succession would pass anywhere other than to his son.
See also George II (Great Britain); Hanoverian Dynasty (Great Britain); Jacobitism.
BIBLIOGRAPHY
Beattie, John M. The English Court in the Reign of George I. London, 1967.
Hatton, Ragnhild. George I: Elector and King. Cambridge, Mass., 1978.
Marlow, Joyce. George I: His Life and Times. London, 1973.
Plumb, J. H. The First Four Georges. Rev. ed. London, 1974.
Jeremy Black
GEORGE II (GREAT BRITAIN) (1683–1760; ruled 1727–1760), king of Great Britain and Ireland. George II, who was also elector of Hanover (1727–1760), was the second of the Hanoverian dynasty to rule Britain. He was the son of George I (ruled 1714–1727). It is not easy to evaluate George II, as he left relatively little correspondence. In his youth he took an active role in the War of the Spanish Succession (1701–1714) with France, and he never lost his love of military matters. In 1705 he married the vivacious Princess Caroline of Ansbach (1683–1737), who exercised considerable influence on him until her death in 1737. The contrast between the queen’s bright, sparkling, witty nature and George’s more dour, boorish demeanor led contemporaries to underrate the influence of the latter. George accompanied his father to London in 1714 and became Prince of Wales. Relations between the two were difficult, and in 1717 this led to a rift that was closely linked to a serious division within the Whig Party. Relations were mended in 1720, although they remained difficult.
Succeeding to the throne in 1727, George II kept his father’s leading minister, Sir Robert Walpole (1676–1745), in office and supported him until his fall in 1742. George’s attitudes were important in politics, but he was not always able to prevail. Thus in 1744 and 1746 George failed to sustain John, Lord Carteret (1690–1763) in office, while in 1746 and 1755–1757 George could not prevent the entry into office of William Pitt the Elder (1708–1778), later first earl of Chatham. Pitt had angered George by his criticism of the degree to which British policies favored George’s native electorate of Hanover, and that indeed was central to George’s concerns. He spent as much time as possible in the electorate and actively pressed its territorial expansion. This was not to be, however. Instead, George’s hated nephew, Frederick II (Frederick the Great, ruled 1740–1786) of Prussia, became the leading ruler in North Germany, and George had to face the humiliation of a French conquest of the electorate in 1757.
George’s reign also saw the defeat in 1746 of a Jacobite attempt, under Charles Edward Stuart (1720–1788), “Bonnie Prince Charlie,” to overthrow Hanoverian rule. George did not panic in December 1745 when the Jacobites advanced as far as Derby. After George’s second son, William Augustus (1721–1765), duke of Cumberland, was victorious over the Jacobites at Culloden, not only was the Protestant establishment affirmed, but the Hanoverian dynasty was also finally and explicitly accepted as representing the aspirations and security of the realm.
George II was not noted as a patron of the arts, although he was interested in music. He was despised as a boor by his wife’s influential favorite, John Lord Hervey (1696–1743). In fact George, as king, was happiest in 1743, when at Dettingen he became the last British monarch to lead his troops into battle. George displayed great courage under fire, and the battle was a victory. It was celebrated by George Frideric Handel (1685–1759) in Dettingen Te Deum. As a young man George had also participated in 1708 in the battle of Oudenarde, where he had charged the French at the head of the Hanoverian dragoons and had his horse shot from under him. He was keen on the army, enjoyed the company of military men, and was determined to control military patronage. George had the guards’ regimental reports and returns sent to him personally every week, and when he reviewed his troops, he did so with great attention to detail. George’s personal interest in the army (but not the navy) could be a major nuisance for his British ministers, since as a result they had less room for concession and parliamentary maneuvering over such issues as the size of the armed forces and the policy of subsidies paid to secure the use of Hessian forces.
The impact of George’s martial temperament upon his conduct of foreign policy also concerned the government. In Britain, however, George had no particular political agenda, and this was important to the development of political stability. His pragmatism was both a sensible response to circumstances and the consequence of a complacency that arose from diffidence, honesty, and dullness, albeit also a certain amount of choleric anger.
With Caroline, George had eight children, three boys and five girls. His relations with his eldest son, Frederick Louis (1707–1751), Prince of Wales, were particularly difficult, mirroring those of George II with his father. The prince’s opposition was crucial to the fall of Walpole. After Caroline died, George settled into a domestic relationship with his already established mistress, Amalia Sophie Marianne von Walmoden. George made her countess of Yarmouth, and she became an influential political force because of her access to him.
By the close of George’s reign, Britain had smashed the French navy and taken much of the French Empire to become the dominant European power in South Asia and North America. The direct contribution of the by then elderly king to this process was limited, but the ability of William Pitt the Elder to direct resources to transoceanic goals was a consequence of the way he, his ministerial colleague the duke of Newcastle, and George II operated parliamentary monarchy in the late 1750s.
See also Hanoverian Dynasty (Great Britain); Jacobitism; Pitt, William the Elder and William the Younger.
BIBLIOGRAPHY
De-la-Noy, Michael. *The King Who Never Was: The Story of Frederick, Prince of Wales*. London and Chester Springs, Pa., 1996.
van der Kiste, John. *King George II and Queen Caroline*. New York, 1997.
Whitworth, Rex. *William Augustus Duke of Cumberland: A Life*. London, 1992.
Jeremy Black
GEORGE III (GREAT BRITAIN) (1738–1820; ruled 1760–1820), king of Great Britain and Ireland. George III was also elector of Hanover (1760–1815), king of Hanover (1814–1820), and the last monarch to rule the thirteen colonies that became the United States of America. George III’s father, Frederick Louis (1707–1751), the son of George II (ruled 1727–1760), died in 1751, leaving his eldest son to succeed him first as Prince of Wales and then as king. As prince George III developed a sense of antagonism toward the prevailing political system, which he thought oligarchical and factional. The young prince and his confidant, John Stuart (1713–1792), third earl of Bute, favored the idea of politics without party and a king above faction.
Succeeding his grandfather, George II, in 1760, George III was a figure of controversy from the outset because of his determination to reign without party. Unlike George I (ruled 1714–1727) and George II, George III was not a pragmatist, and he
did have an agenda for Britain. He thought that much about the political system was corrupt and ascribed this in part to the size of the national debt. As a consequence George’s moral reformism, which drew on his piety, was specifically aimed against faction and luxury. Like other rulers, George found it difficult to create acceptable relationships with senior politicians at his accession, and this contributed powerfully to the ministerial and political instability of the 1760s. Nevertheless, there was no fundamental political crisis, and after George found an effective political manager in Frederick North (1732–1792) in 1770, the political situation within Britain became far more quiescent. However, George’s determination to maintain royal authority played a major role in the crisis of relations with the American colonies that led to revolution there in 1775. In turn failure there brought down the North ministry in 1782, beginning a period of instability that lasted until 1784.
George matured in office, becoming a practiced politician and a man more capable of defining deliverable goals. His conscientious nature shines through his copious correspondence. George felt the monarch could reach out, beyond antipathy and factional self-interest on the part of politicians, to a wider, responsible, and responsive public opinion.
George remained politically influential during the long ministry of William Pitt the Younger (1759–1806), but his ill health in 1788 led to a serious political crisis. George’s attack of porphyria, which led to symptoms of insanity, caused the regency crisis. George’s recovery in 1789 ended the crisis, and he again became a factor to reckon with. His obduracy created problems for his ministers when in the 1790s he opposed the extension of rights to Catholics in Ireland or Britain. Arguing that such moves would breach his coronation oath, George stated that he would not give royal assent to such legislation. This helped precipitate Pitt’s resignation in 1801 and the fall of the ministry of William Wyndham Grenville (1759–1834) in 1807.
George’s attitude also made religious issues even more central in the politics of the early nineteenth century than they might otherwise have been. His firmness, not to say rigidity, contrasted with the more flexible attitude of his non-Anglican predecessors, George II, George I, William III (ruled 1689–1702), and arguably Charles II (ruled 1660–1685). It also helped focus the defense of order, hierarchy, and continuity much more on religion than would otherwise have been the case in a period of revolutionary threats. George was motivated not only by his religious convictions but also by the argument that the position of the Church of England rested on fundamental parliamentary legislation. Any repeal would also thus challenge the constitutional safeguards that were similarly founded and secured. It is not surprising therefore that Edmund Burke’s emphasis, in his *Reflections on the Revolution in France* (1790), on continuity and the value of the Glorious Revolution found favor with George III.
The monarchy became a more potent symbol of national identity and continuity in response to the French Revolution. In 1809, when George celebrated his jubilee, the public event not only symbolized the stability he had provided in an age of volatile politics but also expressed the genuine affection and admiration his subjects now had for the monarch. The social elite and the bulk of public opinion had rallied around the themes of country, crown, and church.
George’s health broke down permanently in 1811. The following year his eldest son, George, Prince of Wales, became regent; in 1820 he succeeded his father as George IV (ruled 1820–1830).
George III was a keen family man. His wife, Charlotte of Mecklenburg-Strelitz, whom he married in 1761, struck up a genuinely close relationship with him, but as their numerous children grew to adulthood (Charlotte bore a total of nine sons and six daughters), there arose a conflict between George’s own sense of propriety and the dissolute lifestyle adopted by most of his boys. The members of the younger generation were especially loath to accept the king and queen’s choices of marriage partners and entered into liaisons that, while often stable and personally fulfilling, hardly redounded to the increasingly prudish image George wished to promote. The alienation between the generations was represented most strikingly in the endless disputes between the king and the Prince of Wales.
George was a major art collector and a supporter of the astronomer Sir William Herschel (1738–1822). His cultural preferences, particularly his interest in the work of George Frideric Handel (1685–1759), were related to his moral concerns. George was interested in farming and was known as “Farmer George.” Although this led to satire at his expense, his domestication of the monarchy and his lack of ostentatious grandeur was important to a revival in popularity for the monarchy that served it well in the political crisis of the 1790s caused by the French Revolution. He was the originator of the emphasis on domesticity in the British royal family. The contrast between the fates of the British and French monarchies was due to many factors, but the differences between the personalities and attitudes of George III and Louis XVI (ruled 1774–1792) were important. Similarly George was subsequently favorably contrasted by British commentators with the apparently tyrannical and bellicose Napoléon I.
See also American Independence, War of (1775–1783); George II (Great Britain); Handel, George Frideric; Hanoverian Dynasty (Great Britain); Pitt, William the Elder and William the Younger; Revolutions, Age of.
BIBLIOGRAPHY
Black, Jeremy. *Eighteenth-Century Britain, 1688–1783*. Basingstoke, U.K., 2001.
Ditchfield, G. M. *George III: An Essay on Monarchy*. Basingstoke, U.K., 2002.
Newman, Gerald. *Britain in the Hanoverian Age, 1714–1837: An Encyclopedia*. New York and London, 1997.
Pares, Richard. *George III and the Politicians*. Oxford, 1953.
Thomas, P. D. G. *George III: King and Politicians, 1760–1770*. Manchester, U.K., 2002.
Jeremy Black
GERMAN LITERATURE AND LANGUAGE. German literature of the early modern period is as heterogeneous as the patchwork of principalities constituting the Holy Roman Empire at this time. The variety of literary forms, particularly during the Renaissance, reflects a panoply of political, social, and confessional interests among contemporary patrons and audiences.
LITERATURE FROM 1450 TO 1700
When compared with German literature around 1200 or 1800, few works of this “middle” period have entered the canon of world literature. To explain this deficit, many scholars point to the Protestant Reformation and its seventeenth-century progeny, the Thirty Years’ War (1618–1648), both of which diverted substantial creative energy toward theological debate, political diatribe, and at times sheer survival. However, the lack of a cohesive polity played an equal role, depriving authors of a central focal point for literary activities, such as a royal court or an emerging capital as found in England or France. Nonetheless, German literary works of the Late Middle Ages, Renaissance, and Baroque reward their readers with intimate views of a society shaped by the opposing forces of city and court, Protestantism and Catholicism, and high and low culture.
The late medieval inheritance. Medieval literature proved especially long-lived in Germany. Some
traditions or genres lasted well into the sixteenth century, although they frequently underwent substantial transformations as they adapted to changing tastes and audiences. For example, the meistersingers of Nuremberg and other cities considered the minnesinger Wolfram von Eschenbach one of their forebears and adhered strictly to the tripartite bar-form stanzas practiced around 1200, even if Wolfram sang of secular love for the nobility, as opposed to the primarily religious songs composed by the meistersingers for their bourgeois audience. The prestige of aristocratic models remained strong, prompting urban authors to adapt them to their own uses.
This is most evident in the continuing popularity of knightly tales of combat, romance, and exotic encounters. Medieval verse epics, such as Gottfried von Straßburg’s *Tristan und Isolt*, Wirnt von Grafenberg’s *Wigalois*, or the anonymous *Nibelungenlied*, retained broad appeal and appeared as some of the earliest chapbooks, both in prose (*Tristrant und Isalde*, 1484; *Wigalois*, 1472, by Ulrich Füetrer) and in newly versified forms (*Das Lied vom Hürnen Seyfrid*, or The Song of Horned Siegfried; c. 1530). Other chapbooks presented stories adapted from French sources, such as *Melusine* (1456) by Thüring von Ringoltingen (1410/1415–1483) or *Hugo Scheppel* (c. 1437) by Elisabeth von Nassau-Saarbrücken (c. 1393–1456). Later works introduced bourgeois heroes such as *Fortunatus* (1509), who succeeds with the aid of a magic purse. Meanwhile, clever peasant protagonists got the better of other social classes in works like *Salomon und Markolf* (c. 1482) and *Till Eulenspiegel* (c. 1510). Nonetheless, chivalry remained strong, as evidenced by Emperor Maximilian I (ruled 1493–1519), often known as “the last knight.” With the aid of court ghostwriters, Maximilian produced *Theuerdank* (1517; Lofty thinker), a rhymed allegory of his courtship of Mary of Burgundy. He is also responsible for the *Ambraser Heldenbuch* (1504–1516; Ambras book of heroes), a compilation of twenty-five medieval courtly epics.
Perhaps the most lingering literary legacy of the Middle Ages was that of medieval theater, which encompassed both religious drama, such as Passion, Easter, and Last Judgment plays, as well as the secular tradition of *Fastnachtspiele*, or Carnival plays. Easter plays focused on Christ’s Crucifixion and Resurrection, while Passion plays treated the totality of salvation history from the Creation to the martyrdom of saints. These texts are generally grouped according to “families” such as the Rhine-Hesse group, whose related scenes suggest some form of theatrical exchange among the communities involved. Carnival plays traditionally transgressed social mores and are similarly grouped into regional traditions. In Nuremberg, performances took place in inns, while in Lübeck, Sterzing (Tyrol), southwest Germany, and Switzerland, these were open-air events. The tradition grew less ribald following the Reformation. The Nuremberg plays of Hans Sachs (1494–1576) are perhaps the best-known *Fastnachtspiele* from the sixteenth century, but Lucerne produced important late Catholic examples of the genre alongside the *Lucerne Passion Play*, performed until 1616 and the best-documented play of its type.
**Renaissance humanism.** Following the development of movable type in the 1440s and 1450s, books became more affordable, leading to widespread changes in reading habits and the dissemination of knowledge. Illiteracy and the high cost of manuscripts had meant that literary works were most frequently read aloud in a group, but now an increasingly educated bourgeoisie began to read in private. Education itself, once the domain of the church, expanded to secular institutions with the proliferation of municipal schools and the continued expansion of universities. As a result, an educated, nonclerical class developed, nourished by towns’ and territorial rulers’ growing need for administrators. This group proved especially receptive to the rediscovery of classical learning and arts at the heart of the Italian Renaissance.
The resulting humanist movement had a far-reaching impact on learning and literature. Although Latin was the humanists’ primary language, their adaptation of classical models established the course of “high” German literature for much of the early modern period. Early humanists, such as the Swabian scholars Niklaus von Wyle (c. 1415–1479), Albrecht von Eyb (1420–1475), and Heinrich Steinhöwel (1411/12–1479), focused on translations in an effort to cultivate their “barbaric” native tongue. Members of the next generation engaged predominantly in imitation, producing Neo-Latin works intended to rival those of antiquity.
Conrad Celtis or Celtes (1459–1508), Germany’s “arch-humanist” and first poet laureate (1487), followed Horatian models for his *Quatuor Libri Amorum* (1502; Four books of Amores), while Johannes Reuchlin (1455–1522) wrote *Scaenica Progymnasmata* or *Henno* (1497), the first successful Terentian comedy north of the Alps. By the early 1500s, northern humanists were producing original works of lasting influence, such as the sublimely humorous *Moriae Encomium* (1509; Praise of folly) by Desiderius Erasmus of Rotterdam (1466–1536) or the poetically supple *Basia* (published 1539; Kisses) by another Dutchman, Janus Secundus (1511–1536).
A humanist also produced the single most successful German literary work prior to the Enlightenment: *Das Narrenschiff* (1494; Ship of fools) by Sebastian Brant (c. 1457–1521). In the 112 chapters of the original edition, each accompanied by an illustrative woodcut with a three- to four-line motto, the author moralizes against all manner of “folly” ranging from gluttony and greed to excessive ecclesiastical benefices. Four unauthorized editions of the work appeared within its first year of publication, but it was not until its Latin adaptation by Brant’s protégé Jacob Locher (*Stultifera Navis*, 1497) that it became a true pan-European sensation. In its wake, a tradition of *Narrenliteratur* (Fools’ literature) emerged, with authors such as Thomas Murner (1475–1537), Jörg Wickram (c. 1505–c. 1562), and Hans Sachs among Brant’s direct or indirect heirs. The *Narrenschiff*’s “Sankt Grobian” (Saint Uncouth) was to provide a model for sixteenth-century conduct books, and the work’s melding of text and image anticipates later emblem books.
**Reformation.** While some early humanists seemed to prize poetry over piety, later proponents of the *studia humanitatis* eagerly applied the motto *ad fontes* (“to the sources”) to religious texts. Johannes Reuchlin was the first to promote Greek and Hebrew studies, considering the latter so important that he cautioned the emperor against an effort to destroy Jewish writings. Scholastic opponents charged Reuchlin with heresy, and the resulting dispute became a humanist cause célèbre, producing the *Epistolae Obscurorum Virorum* (1515–1517; Letters of obscure men), a satire of Reuchlin’s ineloquent adversaries written by Crotus Rubeanus (c. 1480–c. 1545), Ulrich von Hutten (1488–1523), and others. Erasmus became the leading Christian humanist, editing the writings of St. Jerome, along with other church fathers, and following in his footsteps as biblical translator by producing the *Novum Instrumentum* (1516), a Greek edition of the New Testament with an accompanying Latin translation distinct from the Vulgate.
In 1522, another translator of the Bible, Martin Luther (1483–1546), based his German translation of the New Testament on the second edition of Erasmus’s work. Beyond its religious significance, the Lutheran Reformation had a profound impact on vernacular literature. For the first time, the power of printing became manifest, with Protestant authors churning out broadsides, dialogues, plays, and songs to promote the new faith. Catholic authors responded in kind, but not in quantity, since many considered the common vernacular inappropriate for theological debate. Luther’s hymns and above all his Bible stand as lasting artistic achievements. His success as a translator lay in his ability to render biblical Hebrew and Greek in the idiomatic German spoken by “the mother at home, the children in the street, and the common man at market,” as described in his *Sendbrief vom Dolmetschen* (1530; Letter on translation), which defends Luther’s rendition of contested passages against Catholic detractors.
Despite an initial alliance, humanist support for Luther was mixed at best. By the mid-1520s, the debate between Luther and Erasmus over free will signaled a break between the two movements. Still, Protestants embraced humanist educational ideals, and Luther’s colleague Philipp Melanchthon (1497–1560) is known to posterity as the “Teacher of Germany” for his widely influential reforms.
**Mid- to late sixteenth century.** In adapting countless classical, medieval, and Renaissance works for a bourgeois audience, Hans Sachs embodied the humanists’ belief in the edifying power of literature. Although his meistersongs far outweigh his other production, Sachs remains best known for Carnival plays such as *Der fahrende Schüler im Paradies* (1550; The traveling scholar in paradise) or *Das Narrenschneiden* (1536; The Foolectomy), later produced by Goethe in Weimar. He was also a leading author of confessional literature, producing
Reformation dialogues, numerous broadsheets, and “Die Wittenbergische Nachtigall” (1523), which compared Luther’s preaching of the Gospel to the song of a nightingale.
Other important authors from the latter half of the century include Jörg Wickram, like Sachs a meistersinger and playwright, but best known for his prose works. His *Rollwagenbüchlein* (1555; Stagecoach stories) became a model of short, entertaining fabliaux, while *Der Goldfaden* (1557; The golden thread) is considered the first German novel based on a plot of the author’s own creation. Johann Fischart (c. 1547–1590) produced the exuberant *Geschichtklitterung* (1575; revised second edition 1582), a playfully punning translation of François Rabelais’s *Gargantua et Pantagruel*. Leading playwrights are Nicodemus Frischlin (1547–1590), known for his Neo-Latin biblical plays, and Duke Heinrich Julius von Braunschweig (1564–1613), whose vernacular works show the mark of itinerant English troupes active on the Continent.
In terms of lasting influence, however, no late-sixteenth-century work can compare with the *Historia von D. Johann Fausten* (1587; History of Dr. Johann Faust), a purported biography of this part-historical, part-legendary necromancer. In typical humanist fashion, Faust desires to recreate antiquity, but the pursuit of knowledge for knowledge’s sake is now demonized. Soon after its publication, the chapbook found its way to England, where playwright Christopher Marlowe created *The Tragicall History of Dr. Faustus* (1588; published 1604). Goethe began to occupy himself with this material around 1775, with *Faust I* published in 1808 and *Faust II*, posthumously, in 1832.
**The baroque period.** Seventeenth-century Germany saw a resurgence of courtly patronage and Catholicism. The Jesuit order worked actively to restore the old faith, adapting popular genres as Protestants had done before them. Jesuit drama proved especially effective: the eternal damnation portrayed in *Cenodoxus* (1602) by Jakob Bidermann (c. 1577–1639) drove fourteen spectators into spiritual retreat in 1609 to take up the *Exercises of St. Ignatius*. The leading author of Catholic hymns was Friedrich Spee von Langenfeld (1591–1635), also a member of the Society of Jesus. Protestants pursued an inner spirituality as well, apparent in the poetry of Catharina Regina von Greiffenberg (1633–1694) and Johannes Scheffler, who became Angelus Silesius (1624–1677) upon his conversion to Catholicism in 1653. Nonetheless, Protestant literary traditions remained strong, as demonstrated by the hymns of Paul Gerhardt (1607–1676).
The publication of *Das Buch von der deutschen Poeterey* (1624; The book of German poetics) by Martin Opitz (1597–1639) marked the true beginning of baroque literature in Germany. The work is a concise handbook with practical recommendations for versification, rhetorical devices, and genre distinctions. The significance of Opitz’s metrical reform cannot be overstated. Long schooled on Latin and French verse, which were based either on vowel length or syllable counting, German authors ignored the natural alternation of accented and unaccented syllables. Opitz restored this rhythm with the result that the Alexandriner—iambic hexameter with a central caesura—became the standard verse form for the German baroque. The four-beat doggerel *Knittelvers* of Hans Sachs and others became a thing of ridicule, as illustrated by Andreas Gryphius’s *Absurda Comica oder Herr Peter Squentz* (1658; Comic absurdities or Mr. Peter Squentz).
Lyric poets also embraced Opitz’s recommendations. In addition to those mentioned above, among the most talented poets were Paul Fleming (1609–1640), Simon Dach (1605–1659), Georg Philipp Harsdörffer (1607–1658), Christian Hofmann von Hofmannswaldau (1617–1679), and Caspar Stieler (1632–1707). Together they introduced a highly ornamented language replete with tropes and figures. Faced with the horrors of the Thirty Years’ War, such authors frequently treated the themes of *vanitas* (the vanity of worldly pursuits) and *carpe diem* (seize the day). Amatory poetry was equally in vogue, as found in the Petrarchism of Fleming or the gallant poetry of Hofmannswaldau. Popular forms were the sonnet, the epigram, and figural or concrete poetry, in which the printed text evoked the item described.
Opitz did not include the novel in his handbook, but by 1700 it had become an acknowledged genre. Baroque authors produced three basic novel types. *Arminius* (1689–1690) by Daniel Casper von Lohenstein (1635–1683) and *Aramena* (1669–1673) by Duke Anton Ulrich von Braunschweig (1633–1714) are prime examples of the heroic-gallant novel, which treated seventeenth-century dynastic politics in Roman guise. *Die adriatische Rosemund* (1645) by Philipp von Zesen (1619–1689) is considered Germany’s prime pastoral novel, although Rosemund’s idyllic existence as a shepherdess is a mere interlude in an otherwise tragic story set in a bourgeois milieu. Representing the *Schelmenroman* (picaresque novel) is the most famous German baroque novel of all, *Der abenteuerliche Simplicissimus* (1668; The adventurous Simplicissimus; *Continuatio*, 1669; Continuation) by Hans Jakob Christoffel von Grimmelshausen (1622–1676). Like Grimmelshausen himself, the novel’s protagonist leads a peripatetic life marked by the vicissitudes of war. Forced from home by marauding soldiers, Simplicissimus begins as a simpleton and moves through several stages of life and experience before finally withdrawing from the world.
Baroque vernacular theater is inextricably linked to the contemporary culture of court pageantry. Elaborate stage machinery allowed for striking visual effects, and baroque playwrights employed these to delight or disarm their audiences, particularly in the popular tragedies (*Trauerspiele*, literally ‘sad plays’) of Andreas Gryphius (1616–1664) and Daniel Casper von Lohenstein. Gryphius is known for martyr dramas such as *Catharina von Georgien* (c. 1647), but also for *Cardenio und Celinde* (c. 1648), in which the lovers, unlike Romeo and Juliet, renounce their love before it leads to a tragic end. Gryphius, along with Harsdörffer and others, also composed opera libretti, such as *Majuma*, performed for the coronation of Ferdinand IV of Habsburg in 1653. None other than Opitz founded German opera with *Daphne* (1627), adapted from an Italian libretto by Ottavio Rinuccini, although the corresponding score by Heinrich Schütz (1585–1672) is unfortunately lost. In its combination of word, image, and music, opera became the most celebrated performance genre of the century.
**Toward a standard language.** Linguistically, early modern Germany was as disparate as its political landscape. As today, the Low German dialects of the north differed substantially from southern German variants, but in 1450 no well-established standard existed to allow easy communication between them. The emergence of New High German by the late seventeenth century was a slow and complicated process, and the transitional period between roughly 1350 and 1650 is known as *Frühneuhochdeutsch*, or Early New High German.
Unlike the Middle High German of medieval authors, which was rooted in the language of the Hohenstaufen court in southwest Germany, *Frühneuhochdeutsch* was not based on any one regional dialect. However, some areas exerted more linguistic influence than others, in particular through the chancelleries of cities and leading courts, which gradually abandoned Latin in favor of a “common” German stripped of specific regionalisms. The Prague chancellery of Emperor Charles IV, the Habsburg chancellery in Vienna, and the Saxon chancellery in Meißen are all important in this regard. Indeed, Luther himself followed the model of the Saxon chancellery, and the ubiquity of Luther’s Bible did much to hasten the development of a standard language. However, Luther did not singlehandedly create the basis for New High German, as Jakob Grimm and others once claimed. Rather, recent research has demonstrated that Luther, the chancelleries, and early printers all adopted linguistic trends in process around them.
As the need for a unified language became increasingly apparent, humanists and their successors strove to normalize orthography, lexicon, and grammar. Sixteenth-century efforts, such as the dictionaries of Petrus Dasypodius (*Dictionarium Latino-Germanicum*, 1525) and Josua Maaler (*Die Teutsch Spraach*, 1561), or Johannes Clajus’s *Grammatica Germanicae Linguae* (1578; Grammar of the German language), were produced primarily for foreigners familiar with Latin. Later, baroque *Sprachgesellschaften* (literary societies) worked to cultivate the language by freeing it from foreign influence. Philipp von Zesen (1619–1689) and others created German neologisms to replace borrowed terms, while Justus Schottel (1612–1676) produced his *Ausführliche Arbeit von der Teutschen Haubt Sprache* (1663), considered by many the first systematic grammar of the German language.
**Recent research.** Early modern German literature is the most under-researched period of German literary history. However, its transitional position bebetween Middle Ages and modernity, once considered a disadvantage, has now become its asset, attracting fresh research on shifts in political, social, and intellectual paradigms. As in other fields, recent work has turned from an emphasis on canonical works to an exploration of the margins that bounded and defined “high” literature. Representations of gender and minorities have generated substantial interest, with women authors gaining a new appreciation. Popular literature, such as Carnival plays, has also enjoyed a positive reassessment. Much work is interdisciplinary in nature, due in no small part to authors’ polymathic interests, which included medicine and alchemy.
**LITERATURE FROM 1700 TO 1780**
German literature of the eighteenth century is usually thought of as being a break with the traditions of the period from 1450 to 1700. At last, such thinking goes, German emerged as a literary language easily read by modern readers. In addition, many of the earlier writers were considered to be nothing more than precursors of Schiller and Goethe. By 1780, literary culture in Germany was on the threshold of its golden age, the *Klassik* (1785–1830), and all that preceded it was but a prelude to greatness. Such views of German literature and language of the period are not entirely invalid, yet the creative achievement of eighteenth-century writers may be measured as much by its continuity with the past as by its own accomplishments. In each genre—lyric poetry, drama, epic verse, and prose—German literary culture in the years 1700–1780 stood on its own, even as it pointed in the direction of modernity.
**Intellectual foundations.** The foundation of the intellectual ferment that became the German Enlightenment, the *Aufklärung*, was constructed by Gottfried Wilhelm von Leibniz (1646–1716). A truly cosmopolitan intellect in the mold of early modern scholars, he laid the philosophical groundwork for eighteenth-century rationalism. His disciple, Christian Wolff (1679–1754), popularized his master’s thinking even as he freed philosophical discourse from the strictures of theology. His watchword, *Vernunft*, meaning systematic reasoning, became a significant component of the century’s mindset. In the writings of Johann Christoph Gottsched (1700–1766) such rationalist thinking was applied to literature, specifically in his *Versuch einer Critischen Dichtkunst vor die Deutschen* (1730; Attempt at a critical poetics for the Germans). There, Gottsched replaced early modern descriptions of literary forms by Martin Opitz (1597–1639) and others with logical discourse, which rationally defined literature’s didactic and social functions. Comic drama, for example, was to instruct bourgeois viewers about human foibles by means of *Verlachen*, satiric laughter about a comic figure’s lack of *Vernunft*. Literature and theater served to perfect human behavior, a view reflected in Gottsched’s espousal of the exemplary quality of French classicist drama.
Pietism was an equally important component of the eighteenth-century mindset in Germany. Believing participants in this early modern movement within Lutheranism sought a one-to-one, often emotionally charged relationship to their God. The heart rather than the mind governed this mode of perception. The individual mattered. Even though Johann Jakob Breitinger (1701–1776) and Johann Jakob Bodmer (1698–1783) were not Pietists, their focus on imagination and illusion, on literary description, which inspires and affects the heart of the reader, was analogous to this strain of religious experience. Friedrich Gottlieb Klopstock’s (1724–1803) daring epic poem *Der Messias* (1748/1773; The Messiah) was the culmination of such spirituality. For Klopstock, writing poetry was the celebration of the sacred. The writer undertook a transcendent, even prophetic, act. To the extent that the text ecstatically inspired the reader, literature achieved its desired result.
**Literary developments.** German culture of the early modern period saw the proliferation of literary forms, a wide array of stylistic experimentation, the struggle for the creation of language fit for differentiated expression. Additionally, German literature was highly derivative: dramas derived from Greek and Roman models; lyric poetry looked to classical Rome and contemporary France, Italy, and the Netherlands; novels were modeled on Spanish and French forebears. During the eighteenth century, German writers looked to external models (specifically to England), but also found their own voice. An examination of historical developments within each genre from 1700 to 1780 bears this out.
Poetry. Barthold Hinrich Brockes (1680–1747) focused in his collection, *Irdisches Vergnügen in Gott* (in nine volumes 1721–1748; Worldly joy of God), on God’s rational order even in the smallest of plants. Albrecht von Haller’s (1708–1777) *Die Alpen* (1732; The Alps) described Switzerland’s landscape set among the towering mountains as the locus of virtuous life and human fulfillment. Countless Pietist hymn writers, notably Gerhard Tersteegen (1697–1769), extolled their religious vision, while Christian Friedrich Henrici (1700–1764) wrote cantata texts and the libretti of the *St. Matthew* and *St. Mark Passions* for Johann Sebastian Bach (1685–1750). All of these, along with Klopstock’s uplifting odes and the magisterial verse epic *Messias*, itself inspired by the grandeur of John Milton’s *Paradise Lost*, spoke to the function of poetry as a purveyor of religious values and a full range of human experiences.
Other lyric poets turned their attention to worldly matters. With stylistic grace, Friedrich von Hagedorn (1708–1754) wrote of youthful love and friendship and the virtues of the rural life, adapting Horace to the times. Christian Fürchtegott Gellert’s (1715–1769) immensely popular fables and tales in verse (from 1741 on) appeared in the periodical press and reinforced bourgeois values. Anna Luisa Karsch (1722–1791) astounded her readers with lyric virtuosity. Johann Wilhelm Ludwig Gleim (1719–1803) recognized Karsch as being a natural, even as he himself adroitly refined the ancient conventions of lilting verses on wine, women, and song (*Versuch in scherzhaften Liedern*; 1744, Attempt at witty songs). Every young poet of the age tried his hand at such verse in imitation of the ancient Greek poet Anacreon. Poets of the *Göttinger Hain* (Göttingen Circle), an assembly of kindred young spirits, picked up on Anacreon as well as experimenting with ballads. Gleim had introduced the ballad (1756) to the German-language repertoire, and Johann Gottfried von Herder (1744–1803) collected and translated ballads from the English in his *Volkslieder* (1777/78: Folk songs). Herder’s work inspired Johann Wolfgang von Goethe (1749–1832) and the writers of German Romanticism.
Drama. Dramatists in 1700 wrote for three venues, each a holdover from traditions that originated in the sixteenth century—princely courts, schools, and open-air stages. This was slow to change, but by 1780 permanent theaters with scheduled public performances and professional actors in cities like Hamburg, Mannheim, and Vienna had been established, often only temporarily. Gotthold Ephraim Lessing’s (1729–1781) *Hamburgische Dramaturgie* (1767–1769; The Hamburg dramaturgy), a collection of reviews of performances and interpretations of Aristotle’s theory of tragedy, documented the state of the theatrical arts in Germany, as tenuous as it was.
An examination of the career of Lessing as a dramatist may serve as a touchstone for the development of drama during the period. He had participated in schoolboy drama, *Schuldrama*, in his provincial hometown Kamenz near Dresden in Saxony. His studies took him to Leipzig, where he fell in with players in the troupe of Friederike Caroline Neuber (1679–1760), a woman whose productions had for a while featured those French dramatists most favored by Gottsched, namely Corneille, Racine, Voltaire, and Molière. She had fallen out with the professor of poetics, all the more reason for the young Lessing to have her produce his comedy about a preposterously erudite fool, *Der junge Gelehrte* (1747; The young scholar). He perfected the conventions of the so-called *sächsische Komödie* (Saxon comedy) to expose the irrational. Later, Lessing excoriated Gottsched for his predilection for formulaic French drama. He himself championed Shakespeare’s authentic language and true-to-life dramatic plots and inaugurated Germany’s admiration of Shakespeare.
In Berlin, Lessing’s journalistic critiques of the literary scene and his interest in the theory of drama resulted in a tragedy situated in the bourgeois milieu, *Miss Sara Sampson* (1755; Miss Sara Sampson), arguably the first *bürgerliches Trauerspiel* (bourgeois tragedy) in Germany. The heroine was not of high social station, not a princess, and her tragic fate moved audiences to tears. Performed to this day, *Minna von Barnhelm* (1767), a comedy, bordering on tragedy, extended the limits of the dramatic form. As earnest as it was, it was the first modern German comedy. *Emilia Galotti* (1772), a tragedy born of the conflict between virtuous bourgeois Emilia and a lecherous prince, criticized the reality of absolutist society. Its first performance was in a
court theater, where the message was sure to prick the conscience of the listeners.
In *Nathan der Weise* (1779; Nathan the wise), his last play, Lessing continued to break new ground. He introduced blank verse to German literature; the unrhymed iambic pentameter flowed as naturally as the prose speech of his other plays. The protagonist was a Jewish merchant, another first. Nathan was as rich in humane wisdom as he was in economic terms, a break with stereotypical characterization. The action was set in medieval Jerusalem at the time of the Crusades and it was the wise Jew, rather than his Christian and Moslem counterparts, who forwarded a vision of *Toleranz*, the mutual acceptance of religious beliefs. The play delivered the central message of the *Aufklärung* as the emancipation of the German Jews commenced and just prior to Immanuel Kant’s philosophical definition of the process of human enlightenment.
By 1780, then, German drama had emerged as a truly progressive cultural force. The works of women playwrights such as Luise Gottsched (1713–1762) (and also those who wrote under male names) appeared. That they were writing and publishing exemplified the emancipatory aspirations of the Enlightenment. The hotheaded playwrights of the *Sturm und Drang* (Storm and stress), a cultural phase (1765–1785) often seen as the radicalization of the Enlightenment’s idealistic pursuit of life, liberty, and happiness, was a further case in point. The plays of Jakob Michael Reinhold Lenz (1752–1792) and Friedrich Maximilian Klinger (1752–1831), but especially Friedrich Schiller’s *Die Räuber* (1781; The robbers), were revolutionary in both form and content. Dynamic and larger-than-life types called loudly for the immediate reform of a corrupt society largely made up of emasculated weaklings. The language was as brashly explicit as the message. The works of these women and men signaled that German drama had arrived.
**Epic prose.** Early modern epic prose from the satiric chapbooks and didactic novels of the sixteenth century to the satiric picaresque, the cloying pastoral, and the complex allegorical political novels of the seventeenth century gradually lost relevance for eighteenth-century readers. Early prose was eventually supplanted by novels modeled on English sentimental forms that tell of bourgeois family life of the landed gentry. A growing interest in the depiction of human psychology, rather than the grand sweep of adventure, reflected both the effects of Pietism and the didactic intentions of Enlightenment authors.
Johann Gottfried Schnabel’s (1692–c. 1750) four-volume *Insel Felsenburg* (1731–1743; The island Felsenburg), a transitional work, combined elements of Robinson Crusoe adventures and utopian thinking. It depicted an ideal bourgeois spiritual community situated far from European realities, one founded on the principles of Pietist virtue and God-given *Vernunft*. Gellert’s *Das Leben der Schwedischen Gräfin von G****(1746; The life of the Swedish countess G***), a biographical treatment of horrific personal trauma, depicted the personal depravities of an imperfect world. The moralizing impulse implicit in both novels became the era’s stock in trade. For example, Sophie von La Roche’s (1730–1807) *Geschichte des Fräuleins von Sternheim* (1771/72; The story of Miss von Sternheim) told of the uplifting triumph of personal virtue, while Johann Heinrich Jung-Stilling’s (1740–1817) *Heinrich Stilling’s Jugend* (1777 and sequels 1778–1804; Heinrich Stilling’s youth) engagingly traced the life of a Pietist soul. The ups and downs chronicled in Ulrich Bräker’s (1735–1798) true-to-life *Lebensgeschichte und natürliche Ebentheur des Armen Mannes im Tockenburg* (1789; The biography and real adventures of the unfortunate man in Toggenburg) implied that the day-to-day struggle of the provincial commoner was noteworthy, even noble.
What Lessing was to drama, Christoph Martin Wieland (1733–1813) was to the novel. He early turned his attention to the philosophy of the Enlightenment, and his later interaction with Bodmer attuned him to the strains of literary *Empfindsamkeit* (sentimentality) and ecstatic religiosity. His first novel, *Der Sieg der Natur über die Schwärmerei, oder Don Sylvio von Rosalva* (1774; The triumph of nature over enthusiasm or Don Sylvio von Rosalva), a fantastic story modeled on the Spanish novelist Cervantes, dealt with the central categories of the century, true-to-life reality versus inspirational illusion. Don Sylvio was an updated Don Quixote, a German dreamer. An embedded fairy-tale narrative led to the novel’s appeal. Wieland’s *Geschichte des Agathon* (1766–1767, with revisions 1773 and
1798; The story of Agathon) investigated the same issues as they played themselves out in an imagined ancient Greece. The whole vocabulary of sentimentalism appeared in the novel; sentimental souls were those who feel most accurately, feeling was their test of truth. Love was not desire, but a condition based on *Empfindung* (sentiment).
Lessing considered *Agathon* to be the century’s best novel, even as he rejected Goethe’s European bestseller *Die Leiden des jungen Werthers* (1774; The sorrows of young Werther), because of Werther’s excessive, ultimately suicidal desire. The threshold crossed between Wieland and Goethe marked the German novel’s true coming of age.
**The achievement of the era 1700–1780.** German-language literary culture of the eighteenth century was unlike that of the years preceding 1700 on several counts. While the canon of texts enumerated above is generally well-known internationally, the dramas of Lessing are routinely staged in Germany and elsewhere. The phrase “Lessing, Schiller, Goethe” resonates with any German. Each author has at least one museum (such as the Lessing Museum in Kamenz), a named journal (*The Lessing Yearbook* in Cincinnati), and a named institution of scholarship (Lessing Akademie in Wolfenbüttel) devoted to the author’s achievement. The triumvirate is as much a component of German cultural memory as the familiar “Three B’s”—Bach, Beethoven, Brahms. Not coincidentally, it was the eighteenth century that saw the emergence of such notable figures who pointed the way into the long nineteenth century. Along with literature and music, modern western philosophy originated in the mind of the stylistically effective writer Immanuel Kant (1724–1804).
Any answer as to why this period of cultural achievement came about is speculative. Some would pin it on the transition from the priority of theology to the priority of science and philosophy, on curious questioning rather than on believing acceptance. This explanation emphasizes, correctly, the remarkable extent to which German thinkers were sensitive to religion, in contrast to those in many other countries. Others would look to the gradual shift to a bourgeois ethics in line with the emancipatory values of life, liberty, and the pursuit of happiness. While the controlling administrative institutions of the Holy Roman Empire might still have been in place, a self-confident citizenry in cities like Berlin, Leipzig, and Hamburg was a match for the long-entrenched aristocratic social order. Lessing, for example, sought to earn his keep in the marketplace of publishing. Even though he was ultimately unsuccessful in freeing himself from courtly patronage, the attempt to earn a living by writing was part of the cultural process that eventually led to modernity.
*See also* Brant, Sebastian; Drama: German; Dutch Literature and Language; Enlightenment; Erasmus, Desiderius; Goethe, Johann Wolfgang von; Grimmelshausen, H. J. C. von; Herder, Johann Gottfried von; Humanism; Kant, Immanuel; Klopstock, Friedrich Gottlieb; Lessing, Gotthold Ephraim; Luther, Martin; Melanchthon, Philipp; Nuremberg; Pietism; Reformation, Protestant; Schiller, Johann Christoph Friedrich von; Wieland, Christoph Martin.
**Bibliography**
*Primary Sources*
Bidermann, Jakob. *Cenodoxus*. Edited and translated by D. G. Dyer. Austin, Tex., 1974. Translation of *Cenodoxus* (1602).
Blackwell, Jeannine, and Susanne Zantop. *Bitter Healing: German Women Writers from 1700 to 1830: An Anthology*. Lincoln, Neb., 1990.
Brant, Sebastian. *The Ship of Fools*. Translated by Edwin H. Zeydel. New York, 1944. Translation of *Das Narrenschiff* (1494).
Browning, Robert M., ed. *German Poetry from 1750 to 1900*. German Library, vol. 39. New York, 1984. Translations of German poetry into English; the companion volume to Walsoe-Engel (below).
Celtis, Konrad. *Selections*. Edited and translated by Leonard Forster. Cambridge, U.K., 1948.
Erasmus, Desiderius. *Praise of Folly and Letter to Martin Dorp*. Translated by Betty Radice. Introduction by A. H. T. Levi. Harmondsworth, U.K., 1971. Translation of *Moriae Encomium* (1509).
*The German Lyric of the Baroque in English Translation*. Translated by George C. Schoolfield. Chapel Hill, N.C., 1961.
Goethe, Johann Wolfgang von. *The Sufferings of Young Werther and Elective Affinities*. Edited by Victor Lange. German Library, vol. 19. New York, 1990. Translations of the epoch-making novels.
Grimmelshausen, Hans Jakob von. *The Adventures of Simplicius Simplicissimus*. Translated by George Schulz-Behrend. 2nd ed. Columbia, S.C., 1993. Translation of *Der abenteuerliche Simplicissimus* (1668).
Kant, Immanuel. *Philosophical Writings*. Edited by Ernst Behler. German Library, vol. 13. New York, 1986. A translation of various writings including “An Answer to the Question: What Is Enlightenment?”
Leidner, Alan C., ed. *Sturm und Drang*. German Library, vol. 14. New York, 1992. Translations of various dramas of the period to include Klinger’s play *Sturm und Drang*.
Lessing, Gotthold Ephraim von. *Nathan the Wise, Minna von Barnhelm, and other Plays and Writings*. Edited by Peter Demetz. German Library, vol. 12. New York, 1991.
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*Till Eulenspiegel: His Adventures*. Translated by Paul Oppenheimer. New York, 1991. Translation of *Till Eulenspiegel* (c. 1510).
Ulrich von Hutten, et al. *On the Eve of the Reformation: Letters of Obscure Men*. Translated by Francis Griffin Stokes. New York, 1964. Translation of *Epistolae Obscurorum Virorum* (1515–1517).
Walsoe-Engel, Ingrid, ed. *German Poetry from the Beginnings to 1750*. German Library, vol. 9. New York, 1992. Translations of German poetry into English; the companion volume to Browning’s (above).
Wickram, Jörg. *The Golden Thread*. Translated by Pierre Kaufke. Pensacola, Fla., 1991. Translation of *Der Goldfaden* (1557).
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Baldwin, Claire. *The Emergence of the Modern German Novel: Christoph Martin Wieland, Sophie von La Roche, and Maria Anna Sagar*. Rochester, N.Y., 2002.
Baron, Frank. *Doctor Faustus: From History to Legend*. Munich, 1978. Best study of the Faust legend in English.
Bernstein, Eckhard. *German Humanism*. Boston, 1983. A survey of leading humanist authors and their activities.
Brown, F. Andrew. *Gotthold Ephraim Lessing*. Twayne World Authors Series 113. New York, 1971. A good introduction to Lessing’s life and works.
Browning, Robert M. *German Poetry in the Age of the Enlightenment: From Brockes to Klopstock*. University Park, Pa., 1978. A useful overview of the genre.
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*Daphnis*. The leading journal of early modern German literature.
Dawson, Ruth. *The Contested Quill: Literature by Women in Germany, 1770–1800*. Newark, Del., 2002. Useful scholarship on Friderika Baldinger (1739–1786), Sophie von La Roche, and Philippine Engelhard (1756–1831), Marianne Ehrmann (1755–1840), and Sophie Albrecht (1757–1840).
Dünnhaupt, Gerhard. *Personalbibliographien zu den Drucken des Barocks*. 2nd ed. Stuttgart, 1990–. Definitive reference work in German on the authors of the baroque.
Fick, Monika. *Lessing-Handbuch: Leben—Werk—Wirkung*. Stuttgart, 2000. An excellent introduction to Lessing’s life and works.
Hardin, James, ed. *German Baroque Writers, 1580–1660*. Vol. 164, *Dictionary of Literary Biography*. Detroit, 1996. Recent biographies of the leading German authors of the early baroque; includes select bibliographies.
———. *German Baroque Writers, 1661–1730*. Vol. 168, *Dictionary of Literary Biography*. Detroit, 1996. Recent biographies of the leading German authors of the late baroque; includes select bibliographies.
Hardin, James, and Max Reinhart, eds. *German Writers of the Renaissance and Reformation, 1280–1580*. Vol. 179, Dictionary of Literary Biography. Detroit, 1997. Recent biographies of leading German authors from the Late Middle Ages through the Reformation; includes select bibliographies.
Hardin, James, and Christoph E. Schweitzer, eds. *German Writers from the Enlightenment to Sturm und Drang, 1720–1764*. Detroit, 1990. Up-to-date scholarship and bibliographies on all the major authors of the period.
Jørgensen, Sven-Aage. *Christoph Martin Wieland: Epoche—Werk—Wirkung*. Munich, 1994. An excellent introduction to Wieland’s life and works.
Kleinschmidt, Erich. *Stadt und Literatur in der frühen Neuzeit: Voraussetzungen und Entfaltung im südwestdeutschen, elsässischen und schweizerischen Städteraum*. Cologne, 1982. Important study on the interactions between urban culture and literature in early modern Germany.
Kord, Susanne. *Little Detours: The Letters and Plays by Luise Gottsched (1713–1762)*. Rochester, N.Y., 2000. An excellent introduction to Luise Gottsched’s life and works.
McCarthy, John A. *Christoph Martin Wieland*. Twayne’s World Authors Series 528. Boston, 1979. A good introduction to Wieland’s life and works.
GERMANY, IDEA OF. The idea of Germany as a single ethnic and linguistic entity was created by German humanists around 1500. The form “German” (deutsch) was in common medieval use, usually as an adjective, rarely as a noun. The term “German lands” designated the post-Carolingian duchies of Bavaria, Swabia, Franconia, Saxony, and soon other lands as well. As a plural its medieval meaning was the community of German-speaking peoples as distinct from Romance-speakers (especially the French). As a singular term was needed, “Alemannia,” “Germania,” and “Theutonia,” for which no vernacular equivalent existed, were used interchangeably. During the fifteenth century a new collective term appeared, “the German nation,” which was borrowed from academic and ecclesiastical usage to designate the community of the German lands that bore the Roman imperium. The two terms merged in a title, “the Holy Roman Empire of the German Nation” (das Heilige Römische Reich deutscher Nation), first recorded in 1492. Their duality expressed the collaborative regime captured in the common sixteenth-century formula, Kaiser und Reich, ‘emperor and empire’, which distinguished between the monarch and the imperial Estates. In popular usage the terms could be interchangeable, as when Saxons heading westward said that they were going “into the empire.” The terms “nation” and “fatherland” in both German and Latin could be used for a native city, district, or region, so that one could speak of the city of Basel as a “fatherland” and of a Swabian or Westphalian “nation.”
“Germany” as an idea was created by the humanists around 1500. The key event in its genesis was Gian Francesco Poggio Bracciolini’s (1380–1459) discovery at Hersfeld Abbey of a unique manuscript of Tacitus’ Germania. It was brought to Rome by 1455 and printed in Latin at Venice in 1470 and Nuremberg in 1473. Its publication sparked the interest around 1500 in the deeper German past among an entire generation of German writers. Those figures who shared and nourished this interest included such leading humanists as Conrad Celtis (1459–1508) and Jakob Wimpfeling (1450–1528), each of whom wrote a work entitled Germania (published in 1500 and 1501 respectively), and the Alsatian Beatus Rhenanus (1485–1547).
A single “Germany” (Germania) is therefore a humanist creation, and its vernacular equivalent (Deutschland) was fixed by the polemical writings of the noble humanist Ulrich von Hutten (1488–1523), who gave a new, political edge to the term that played an important role in the Reformation movement. From this time onward, “Germany” became a term current in both Latin and German. What and where this Germany was remained a topic for debate, however, and the geographer and cartographer Matthias Quad (1557–1613) concluded
that “there is no country in all of Christendom which embraces so many lands under one name” (Sheehan, p. 40).
Between 1600 and 1800, the idea of the Holy Roman Empire began to be filled with the meaning of “Germany.” The process advanced in two stages. In the first, seventeenth-century, stage the Protestant jurist Hermann Conring (1606–1681) stripped away the empire’s claim to be a continuation of the ancient Roman Empire, contending that the Roman and Holy Roman empires had no common history. Meanwhile, he and other Protestant jurists denied the sacrality, the holiness, of the empire and searched for secular, utilitarian sources of its legitimacy that did not depend on the Catholicity of the monarch. Cartographers accepted and spread the new usage, which was supported by secular and utilitarian tendencies in philosophy, political thought, and jurisprudence. Once the confessional schism had been formally regulated by the Peace of Westphalia in 1648, the Protestants in particular were free to examine the legal strengths and weaknesses of the polity, the Catholic loyalty of its monarch notwithstanding. The imperial chancellery at Vienna continued, for good reasons, to use the old formulae, less because of the monarch’s piety than because the unity of the emperor’s hereditary lands—Austria, Bohemia, and Hungary—consisted
Germany. A map of ancient Germania in Roman times, from a Dutch atlas first issued by Jan Jansson in Amsterdam, circa 1645. Historical maps were often added to general atlases published at this time, and Jansson included this one in a separate atlas of historical maps issued in 1652. Filled with the names of ancient Germanic tribes, the map covers the area from Gaul in the west to part of Sarmatia in the east. Map Collection, Sterling Memorial Library, Yale University
solely in their common ruler and his official Roman Catholic religion.
In the second, eighteenth-century, stage, cartographers and others accepted a new usage: “German Empire” in the place of “Holy Roman Empire.” This shift expressed acknowledgment of a historical fact, the empire’s loss since the fifteenth century of most of its non-German subjects—French, Italian, Dutch, and Slavic. While the empire as a whole had become an overwhelming German polity, the Habsburg Monarchy’s lands retained their ethnic and linguistic diversity under a weakly articulated state.
Astute foreigners noted that the Germans were becoming more like one another. Baron de Montesquieu’s comment about the German love of liberty inherited from the forests of ancient Teutonia and Madame de Stael’s about “the energy of their personal beliefs” attest to the growth of an estimate of the Germans far different from the old Italian and French prejudices concerning Germans’ drunkenness, crudity, and belligerence. Still, the bewildering variety of the German lands and their pasts tempted both foreigners and Germans themselves to greatly exaggerate the unity of German “national” culture. Most of the important misuses of German histories in modern times have arisen from a desire to intensify or to frustrate a greater sense of German unity and nationhood.
Looking back on the empire of his youth, Goethe put this verse into the mouth of a student named Frosch, a carouser in Auerbach’s Cellar at Leipzig (Faust, Part I): “The dear old Holy Roman Empire, lads, / What keeps its carcass going?” (“Das liebe heil’ge Röm’sche Reich, / Wie hält’s nur noch zusammen??”) A German historian recently provided this pithy answer: “In the beginning was Napoleon.”
See also Holy Roman Empire.
BIBLIOGRAPHY
Alter, Peter. The German Question and Europe: A History. London and New York, 2000.
Gagliardo, John G. Reich and Nation. The Holy Roman Empire as Idea and Reality, 1763–1806. Bloomington, Ind., 1980.
Sheehan, James J. “What Is German History? Reflections on the Role of the Nation in German History and Historiography.” Journal of Modern History 53 (1981): 1–23.
GESSNER, CONRAD (also Konrad Gesner, 1516–1565), polymath, philologist, theologian, naturalist, and town physician of Zurich from 1554. Gessner was born in 1516 into a family originally from Nuremberg. His father, Urs, was a furrier from Solothurn, Switzerland, who moved to Zurich, becoming a citizen there in 1511. Conrad’s mother was Agathe Fritz (or Frick). He received a humanistic education at the Fraumünster School, and attended the Carolinum for theology. He was then tutored by Johann Jacob Ammann (1500–1573), a friend of Desiderius Erasmus (1466–1536), and became a protégé of Huldrych Zwingli (1484–1531) shortly before the reformer’s death in the Battle of Kappel (1531).
Patronage allowed him to study Hebrew and give Greek lessons in Strasbourg in 1532. Thanks to Zwingli’s successor, Heinrich Bullinger (1504–1575), and later to Johannes Steiger (1518–1581) of Berne, Gessner was able to travel to Basel and Paris, where he read Latin and Greek literature, rhetoric, and natural and moral philosophy. In 1534, because of persecution of Protestants, he left Paris for Strasbourg and Zurich, where he made an unhappy marriage to Barbara Singerin in 1536, and was obliged to teach elementary school. Further patronage enabled him to study medicine in Basel.
On the basis of his Lexicon Graecolatinumum (1539; Greek-Latin dictionary), he was appointed professor of Greek at the Academy of Lausanne, where he also continued his studies. In 1540 he moved to Montpellier to study at the medical school and met the naturalists Guillaume Rondelet (1507–1566) and Pierre Belon (1517–1564). He received his medical degree at Basel in February 1541 and returned to Zurich to lecture on mathematics, physics, astronomy, philosophy, and ethics at the Carolinum, to practice medicine, and to write and publish prolifically in many areas. He made one trip to Spain and Italy in 1543, studying manuscripts and meeting naturalists, and another to Augsburg in 1545, where he read the Greek naturalist Aelian (fl. c. 175–c. 235 C.E.) in manuscript; he was later to edit the text (1556). Gessner’s Bibliotheca Universalis (1545; Universal Bibliography) and Pandectarum libri (1548; Universal Bibliography, Vol. 2) brought him fame, which increased with his later works. He became a European clearinghouse, gathering and juxtaposing with his own natural historical information from such people as William Turner (c. 1508–1568) and John Caius (1510–1573) of England, Ippolito Salviani (1514–1572) and Pierandrea Mattioli (1501–1578) of Italy, Leonhard Fuchs (1501–1566) and Valerius Cordus (1515–1544) of Germany, and Belon and Rondelet in his five-volume Historiae Animalium (1551–1587; Histories of animals) and its three-volume picture book version, Icones (1553–1560; Images). He also published a Historia Plantarum (History of plants, 1541), and prepared botanical manuscripts, published partially by Casimir Christoph Schmiedel (1718–1792), Gessner’s biographer in the eighteenth-century, and wholly in a recent edition (Conradi Gesneri Historia Plantarum Faksimileausgabe [Conrad Gessner’s history of plants, facsimile edition], 1972–1980, 1987–1991). He died ministering to victims of the plague in Zurich on 13 December 1565.
Gessner epitomizes the scientific and philological spirit of fifteenth- and early-sixteenth-century humanism, in which the search for historical truth meets the search for truth about the world around us. In his case, these interests focused on natural history. He has been called the father of modern bibliography, and of modern zoology as well.
See also Biology; Botany; Bullinger, Heinrich; Erasmus, Desiderius; Humanists and Humanism; Natural History; Natural Philosophy; Nature; Rhetoric; Zoology; Zwingli, Huldrych.
BIBLIOGRAPHY
Fischer, Hans, Georges Petit, Joachim Staedtke, Rudolf Steiger, and Heinrich Zoller. Conrad Gessner, 1516–1565: Universalgelehrter, Naturforscher, Arzt. Zürich, 1967.
Leu, Urs B. Conrad Gessner als Theologe: ein Beitrag zur Zürcher Geistesgeschichte des 16. Jahrhunderts. Bern and New York, 1990.
Pyle, C. M. “Conrad Gessner on the Spelling of his Name.” Archives of Natural History, 27 (2000): 175–186.
Wellisch, Hans. Conrad Gessner: A Bio-bibliography. Zug, Switzerland, 1984.
Cynthia M. Pyle
GHENT, PACIFICATION OF (1576). See Dutch Revolt (1568–1648).
GHETTO. From their earliest days in the Diaspora, Jews chose voluntarily to live close together, reflecting a practice commonly adopted by groups dwelling in foreign lands. Their quarters, often referred to as the Jewish quarter or street, initially were almost never compulsory, and they continued to have contacts on all levels with their Christian neighbors. However, the Catholic church looked askance at such relationships, and in 1179 the Third Lateran Council stipulated that Christians should not dwell together with Jews. This vague policy statement had to be translated into legislation by the secular authorities, and only infrequently in the Middle Ages were laws enacted confining Jews to compulsory, segregated, and enclosed quarters. The few such Jewish quarters then established, such as that of Frankfurt, were never called ghettos, since that term originated in Venice and became associated with the Jews only in the sixteenth century.
THE GHETTO OF VENICE
In 1516, as a compromise between allowing Jews to live anywhere they wished in Venice and expelling them, the Venetian government required them to dwell on the island known as the Ghetto Nuovo (the New Ghetto), which was walled up with only two gates that were locked from sunset to sunrise. Then, when in 1541 visiting Ottoman Jewish merchants complained that they did not have enough room in the ghetto, the government ordered twenty dwellings located across a small canal walled up, joined by a footbridge to the Ghetto Nuovo, and assigned to them. This area was already known as the Ghetto Vecchio (the Old Ghetto), thereby strengthening the association between Jews and the word “ghetto.”
Clearly, the word “ghetto” is of Venetian rather than of Jewish origin, as sometimes conjectured. The Ghetto Vecchio had been the original site of the municipal copper foundry, called “ghetto” from the Italian verb gettare, ‘to pour or to cast’, while the island across from it, on which waste products had been dumped, became known as il terreno del ghetto, ‘the terrain of the ghetto’, and eventually the Ghetto Nuovo.
Although compulsory, segregated, and enclosed Jewish quarters had existed in a few places prior to 1516, since the term “ghetto” had never been applied to them before 1516, the oft-encountered statement that the first ghetto was established in Venice in 1516 is correct in a technical linguistic sense but very misleading in a wider context, while to apply the term “ghetto” to an area prior to 1516 would be anachronistic. The most precise formulation is that the compulsory segregated and enclosed Jewish quarter received the designation “ghetto” as a result of developments in Venice in 1516.
THE SPREAD OF THE GHETTO
The word “ghetto” did not long remain confined to the city of Venice. In 1555, Pope Paul IV issued his restrictive bull, Cum Nimis Absurdum. Its first paragraph provided that the Jews of the Papal States were to live together on a single street, or should it not suffice, then on as many adjacent ones as necessary, with only one entrance and exit. Accordingly, the Jews of Rome were moved into a new compulsory, segregated, enclosed quarter, which apparently was first called a ghetto seven years later. Influenced by the papal example, local Italian authorities established special compulsory quarters for the Jews in most places in which they were allowed to reside. Following the Venetian nomenclature, these new residential areas were called “ghetto” in the legislation that established them.
In later years, the Venetian origin of the word “ghetto” in connection with the foundry came to be forgotten, as it was used exclusively in its secondary meaning as referring to compulsory, segregated, and enclosed Jewish quarters and then in a looser sense to refer to any area densely populated by Jews, even if they had freedom of residence and lived in the same districts as Christians.
Although the segregated, compulsory, and enclosed ghettos were abolished under the influence of the ideals of the French Revolution and European liberalism (as in Venice, 1797; Frankfurt, 1811; and Rome, where the gates and walls were removed in 1848 although the Jews were basically confined to that area until the city became a part of the Kingdom of Italy in 1870), the word “ghetto” lived on as the general designation for areas densely
inhabited by members of minority groups, almost always for socioeconomic reasons rather than for legal ones, as had been the case with the initial Jewish ghetto.
**AMBIGUOUS USAGE OF THE WORD “GHETTO”**
It must be noted that the varied uses of the word “ghetto” have created a blurring of the Jewish historical experience, especially when employed loosely in phrases such as “the age of the ghetto,” “out of the ghetto,” and “ghetto mentality.” Actually, the word can be used in its original sense of a compulsory, segregated, and enclosed Jewish quarter only in connection with the Jewish experience in Italy and a few places in the Germanic lands, and not at all with that in Poland-Russia. If it is to be used in its original sense in connection with Eastern Europe, then it must be asserted that the age of the ghetto arrived there only after the Nazi invasions of World War II. However, there was a basic difference: unlike ghettos of earlier days, which were designed to provide Jews with clearly defined permanent space in Christian society, twentieth-century ghettos constituted merely temporary stages on the planned road to total liquidation.
Finally, to a great extent because of the negative connotations of the word “ghetto,” the nature of Jewish life in the ghetto is often misunderstood. The establishment of ghettos did not lead to the breaking off of Jewish contacts with the outside world on any level. Additionally, from the internal Jewish perspective many evaluations of the ghetto’s alleged impact upon the life of the Jews and their mentality require substantial revision. In general, the decisive element determining the nature of Jewish life was not so much whether or not Jews were required to live in a ghetto, but rather the nature of the surrounding environment and whether it constituted an attractive stimulus to Jewish thought and offered a desirable supplement to traditional Jewish genres of intellectual activity. In all places, Jewish life must be examined in the
context of the external environment, and developments, especially those subjectively evaluated as undesirable, should not be attributed solely to the alleged impact of the ghetto.
See also Jews and Judaism; Jews, Attitudes toward; Jews, Expulsion of (Spain; Portugal); Venice.
BIBLIOGRAPHY
Bonfil, Robert. Jewish Life in Renaissance Italy. Translated by Anthony Oldcorn. Berkeley, 1994.
Calabi, Donatella. “Les quartiers Juifs en Italie entre 15e et 17e siècle. Quelques hypothèses de travail.” Annales 52 (1997) 4: 777–797.
Ravid, Benjamin. “From Geographic Realia to Historiographical Symbol: The Odyssey of the Word Ghetto.” In Essential Papers on Jewish Culture in Renaissance and Baroque Italy, edited by David Ruderman, pp. 373–385. New York, 1992.
Benjamin C. I. Ravid
GIAMBOLOGNA (Giovanni da Bologna; 1529–1608), Flemish sculptor and architect, active in Italy. Born in Douai, Giambologna received his early training in the shop of Jacques Du Broeucq, a Flemish sculptor, engineer, and minor architect who had spent time in Italy. Probably with his master’s encouragement, the young artist traveled around 1551 to Rome, where he made wax and clay sketches after the city’s best artworks. Around 1553, while passing through Florence on his way back to Flanders, he met the banker Bernardo Vecchietti, who brought the young sculptor into his household. Through Vecchietti’s connections, Giambologna began around 1558 to receive Medici commissions; by 1561, he was a salaried court artist, and soon thereafter he became the dukes’ preeminent sculptor. Though he traveled to Bologna in 1562 (to work on his Neptune Fountain), to Rome in 1572 (to study and acquire antiquities), and to Genoa in 1579 (to accept the commission for the Grimaldi family chapel in the subsequently destroyed church of S. Francesco di Castelletto), Giambologna spent most of the remainder of his life in the Tuscan capital.
Giambologna’s enormous success and productivity depended in part on his flexibility as an artist—his ability to fulfill commissions ranging from buildings to sugar sculptures—and in part on the talents of the other major sculptors who worked in his shop. Much in demand as a Counter-Reformation artist, Giambologna designed a number of innovative altarpieces, the most important of which was the Altar of Liberty, made for the church of S. Martino in Lucca. Here the sculptor responded to new christocentric devotional currents with a central freestanding marble image of the Risen Savior. Giambologna also designed unified, multimedia decorative programs for several chapels. The best surviving example of these is the Capella Salviati in the church of San Marco in Florence, which the sculptor reoutfitted to promote the relics of S. Antonino, one of that church’s most important historical figures.
Better known today than these works are the independent sculptures on secular themes that Giambologna made for the Medici and other clients. These included figures of Venus, of various scales and in various materials, and of Hercules—including the impressive, monolithic Hercules and the Centaur, formerly at the Canto dei Carneschi and now in the Loggia de’ Lanzi. His most famous statue in this category was and is the Rape of the Sabine Women, commissioned to serve as a pendant to Benvenuto Cellini’s Perseus and Medusa in the same loggia. The Sabine cleverly adapted the triumphal themes of the statues that already occupied the piazza to a subject of love and possession. It allowed the duke to identify himself with the statue’s hero, even as it, like many of Giambologna’s other Florentine public works, avoided direct glorification of the current ruler. Also typical of many of Giambologna’s works was the ambiguity of the Sabine’s subject matter; in this case, at least, that ambiguity was deliberate, as it provoked writers to unpack the statue’s numerous possible meanings in encomiastic poems.
In addition to these works, Giambologna also designed a number of witty fountains, including a Bacchus, at the end of Florence’s Borgo San Jacopo, which poured water from its lifted cup; a Mercury for the Villa Medici in Rome, which represented the flying god as the terminus of a windy exhalation; and the Appenine for the Villa Medici (now Demidoff) at Pratolino, which fused a prisoner type and a grotto format. Much desired, in Giambologna’s time, were also the sculptor’s smaller statuettes, many of which were produced as multiples, so that
they could be acquired by private collectors or sent as diplomatic gifts to foreign courts. Giambologna was also a skilled architect, as is witnessed in his elegant Palazzo Vecchietti and in his design for the facade of Florence’s cathedral.
On Giambologna’s death, in 1608, he was buried in the extraordinary chapel he had decorated for himself in the Church of the SS. Annunziata, largely using new casts of bronzes he had previously exported to Genoa and Munich. Though this death came just one year before Annibale Carracci’s and just two before Caravaggio’s, Giambologna, unlike these founders of the “baroque,” is usually considered a late sculptural representative of the “mannerist” period. The designation reflects the awkwardness of transferring period styles in painting to sculpture, and of considering the Roman sculpture of Bernini as normative: with figures like Pietro Tacca (1577–1640) in Tuscany, Francavilla (1548–1615) in France, and Adriaan de Vries (c. 1546–1626) in Germany all emulating his inventions, Giambologna’s manner, no less than Annibale’s or Caravaggio’s, remained dominant in Europe well into the seventeenth century.
See also Caravaggio and Caravaggism; Florence; Florence, Art in; Mannerism; Medici Family.
BIBLIOGRAPHY
Avery, Charles. *Giambologna: The Complete Sculpture*. Mt. Kisco, N.Y., 1987.
*Giambologna, 1529–1608: Sculptor to the Medici*. Exh. cat. London, 1978.
Gibbons, Mary Weitzel. *Giambologna: Narrator of the Catholic Reformation*. Berkeley, 1995.
MICHAEL COLE
GIANNONE, PIETRO (1676–1748), Italian reformer, historian, and jurist. Born in Ischitella, Italy, and educated at the University of Naples, Giannone cultivated early ties with the Accademia Medina Celi, the famous academy sponsored by the duke of Medina Celi, of which Giambattista Vico was a member. He began a career in law, but his associations with the Neapolitan reforming jurists soon involved him in the antifeudal battle against the local nobility and the jurisdictional battle with Rome. Even his work as a historian took on a powerful polemical tone.
His ideas for the *Istoria civile del Regno di Napoli* (1723; *Civil history of the kingdom of Naples*) developed from his work as a jurist, which he evaluated in the light of the English civil lawyer Arthur Duck’s 1653 history of Roman law in Europe. The resulting masterwork was an innovative fusion of legal history, cultural history, and social history. Conceived over a period of some twenty years, it aimed to combine erudition (often borrowed from sixteenth- and seventeenth-century authors possessing firsthand experience with the documents) and a philosophical outlook in harmony with the virulent anti-ecclesiastical program characteristic of the Enlightenment. A major purpose was to provide the new Austrian rulers of Naples with a basis for correcting the social and political problems caused by what he viewed as the excessive influence of Rome and the Catholic Church in Neapolitan civic affairs. Translated into French in 1742, the work eventually
earned the praise of Montesquieu, Voltaire, and Edward Gibbon.
At the time, however, it launched its author into a sea of troubles. Giannone was excommunicated by the local archbishop and forced to leave Naples, while the work was placed on the Index of Forbidden Books. In the Vienna of Emperor Charles VI, Giannone found a secure asylum in which to undertake and publish detailed responses (later issued together in 1755 as *Apologia del'istoria civile* [Apology of the civil history!]) to the many polemics provoked by his writings. Meanwhile, he worked on an unfinished history of the origins of civilization (the *Triregno*, complete edition of the manuscript published only in 1895), developing many of the themes in the *Istoria civile* and adding others, in part inspired by Baruch Spinoza, Pierre Bayle, and John Toland, concerning the abolition of ecclesiastical hierarchy and the institution of a natural religion.
The promise of a new regime in Naples under the Spanish Bourbons attracted Giannone back to Italy in 1734. In Venice he found a congenial environment for study and discussion, but he soon became a victim of Italian religious politics. Betrayed by his Venetian associates, chased out of Modena, tricked into leaving relatively safe Geneva and delivering himself into the hands of the Savoy police, he ended up in jail in Piedmont, where he remained from 1736 until the end of his life in 1748, in spite of having submitted to a forced abjuration of his beliefs. In this last period, among other works exploring the themes of politics, philosophy, and religion that had long interested him, he wrote a vivid account describing his intellectual development amid personal tragedy, entitled *Vita di Pietro Giannone* (The life of Pietro Giannone; complete edition first published in 1904).
*See also* Bayle, Pierre; Charles VI (Holy Roman Empire); Enlightenment; Gibbon, Edward; Montesquieu, Charles-Louis de Secondat de; Naples, Kingdom of; Vico, Giovanni Battista; Voltaire.
**BIBLIOGRAPHY**
*Primary Source*
*Opere di Pietro Giannone*. Edited by Sergio Bertelli and Giuseppe Ricuperati. Milan, 1971.
*Secondary Source*
Ricuperati, Giuseppe. *L'esperienza civile e religiosa di Pietro Giannone*. Milan-Naples, 1970.
Brendan Dooley
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**GIBBON, EDWARD** (1737–1794), the leading English historian of the eighteenth century, famous for his *History of the Decline and Fall of the Roman Empire*. The affluent only son of Edward Gibbon, a member of Parliament and country gentleman, Gibbon was briefly at Magdalen College, Oxford. The formative experience was his years in Lausanne (1753–1758). There he received an important introduction to Enlightenment thought and also defined his political judgments with reference to the various government structures and practices of the Swiss cantons, leading to his unpublished *Letter on the Government of Berne*. In 1758, Gibbon began the *Essai sur l'étude de la littérature* (Essay on the study of literature), a work that focused on the controversy of the ancients and moderns, providing a clear defense of the former.
After he had spent some time in England, Gibbon’s next formative experience was a visit to Italy in 1764–1765. At Rome in 1764, he “trod, with a lofty step, the ruins of the Forum; each memorable spot where Romulus stood, or Tully spoke, or Caesar fell . . . it was at Rome . . . as I sat musing amidst the ruins of the Capitol, while the barefooted friars were singing Vespers in the Temple of Jupiter, that the idea of writing the decline and fall of the city first started to my mind.”
As a member of Parliament in 1774–1784, Gibbon was a supporter of the government of Lord North against the American Revolution and was a member of the Board of Trade in 1779–1782. Not a natural speaker, Gibbon did not enjoy being in Parliament, and preferred retirement to Lausanne.
Gibbon’s *History* (6 vols., 1776–1788) was a masterpiece of scholarship and skepticism and led to his being regarded in England as the leading historian of his generation. Based on formidable reading across a range of languages, and supported by over 8,300 references and a sound knowledge of the geography of the Classical world, the work contrasted with the less profound and philosophical character of most contemporary historical work.
Gibbon attributed the fall of Rome in part to the rise of Christianity, although he was cautious about providing a general model of change and preferred to focus on a detailed narrative of developments. He contrasted the degenerate Roman Empire with the vigor of the barbarian invaders. Rather than focusing only on Rome and its successor states, Gibbon extended his scope to a history of Eurasia. He was particularly interested in the displacement of the Greek and Syrian world by the Arabs and Islam. While Gibbon was writing, the banners of the Ottoman Empire still waved above the walls of Belgrade. He sought to understand the past that foreshadowed the modern world and to explain the world of post-Roman power, ecclesiastical authority, and Scholastic philosophy against which eighteenth-century civil society had been constructed.
Gibbon was convinced of the general benefit of history and of modern European civilization:
Since the first discovery of the arts, war, commerce, and religious zeal have diffused among the savages of the Old and New World these inestimable gifts . . . every age of the world has increased and still increases the real wealth, the happiness, the knowledge, and perhaps the virtue of the human race. The merit of discovery has too often been stained with avarice, cruelty, and fanaticism; and the intercourse of nations has produced the communication of disease and prejudice.
The *History* was critically and commercially successful, although his critical account of Christianity was attacked by many. Nevertheless, Gibbon’s remained the best history of the rise of Christianity in English into the following century.
Gibbon’s apparent ambivalence toward Christianity was such that he can scarcely be cited as typifying the values of his age. This was also true of his cosmopolitanism, opposition to war and martial glory, and disapproval of imperial expansion. In his *History*, Gibbon made his cosmopolitanism clear:
It is the duty of a patriot to prefer and promote the exclusive interest and glory of his native country; but a philosopher may be permitted to enlarge his views, and to consider Europe as one great republic, whose various inhabitants have attained almost the same level of politeness and cultivation.
In later years, Gibbon condemned the French Revolution, which threatened his concept of enlightened Europe and forced him to return home from Lausanne. He never married. The irony of Gibbon’s authorial voice was linked to moral and moralistic concerns: rulership, governance, and political life were seen as moral activities. Gibbon’s *History* reflects the scholarship of his age in being essentially a political account, but it is also a great work of literature.
*See also* Ancient World; English Literature and Language; Enlightenment; Historiography.
**BIBLIOGRAPHY**
*Primary Source*
Gibbon, Edward. *The History of the Decline and Fall of the Roman Empire*. Edited by J. B. Bury. 7 vols. 2nd ed. London, 1909–1914.
*Secondary Sources*
Pocock, J. G. A., *Barbarism and Religion*. Vol. I, *The Enlightenments of Edward Gibbon*. Cambridge, U.K., 1999.
Porter, Roy. *Edward Gibbon: Making History*. London, 1988.
Jeremy Black
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**GILBERT, WILLIAM** (1544–1603), English scientist and physician. Gilbert is best known for his revolutionary theories on magnetism, published in his book *De Magnete* (or *De Magnete, Magneticisque Corporibus, et de Magno Magnete Tellure*; On the loadstone and magnetic bodies, and on the great magnet the Earth) in 1600. Remarkably little is known of Gilbert’s life. Born in Colchester to a prosperous magistrate, he received a B.A. from Cambridge University in 1561, an M.A. in 1564, and an M.D. in 1569. By the mid-1570s, he was practicing medicine in London, where he became a member of the Royal College of Physicians (and was elected president of the group in 1600). There, he also came into contact with navigators, compass makers, and practical mathematicians, and pursued his research on magnetism. In his successful medical practice, he was consulted by members of the aristocracy, was appointed as one of Elizabeth I’s personal physicians (1600–1603), and, after her death in 1603, served as James I’s physician until a plague epidemic that November took his own life.
Navigational accuracy assumed greater importance with the overseas explorations by the Spanish
and Portuguese in the fifteenth century, and during the sixteenth century Dutch and English navigators compiled observations that were of significant use to Gilbert. It was not lost on Gilbert or his contemporaries that discoveries about magnetism would be politically and commercially useful. Despite the widespread use of nautical compasses on Spanish, English, Dutch, and French ships, none of his contemporaries understood why compass needles behaved as they did: attraction, repulsion, variation, dip, bipolarity, and the discovery of latitude were recognized empirically, but poorly understood. Through his experiments on magnets and magnetic bodies (especially the lodestone, that is, naturally magnetized iron ore), Gilbert methodically investigated a wide range of magnetic behaviors.
In fact, Gilbert’s book went far beyond being a useful navigational treatise, and represented the first comprehensive analysis of magnetism, featuring a revolutionary new theory about the Earth’s magnetic force. In formulating his views, Gilbert insisted on using his own empirical data rather than relying on past scientific authorities. His book is full of carefully contrived laboratory experiments that he urged his readers to replicate. He assailed credulous acceptance of myths (such as the power of a magnet to detect adultery), rejected Aristotelian explanations, and invented his own language to describe magnetic phenomena, including the terms *electricity*, *electric force*, *electric attraction*, and *magnetic pole*. To explain the phenomena he investigated, he concluded that the Earth was alive with magnetic potency or force, and he likened this to sexual attraction. Hence, for him, magnetism was an immaterial, innate force operating in the universe, with occult and vital properties.
The stunning claim of Gilbert’s book was that the Earth behaves in the heavens as a spherical magnet does on earth. He based this assertion on his experiments with spherical magnets and on his deduction that the Earth itself was a giant spherical magnet. Reasoning by analogy, he stated boldly that the Earth rotated daily on its own axis by its magnetic power, just as a perfectly spherical lodestone aligned with the Earth’s poles would spin on its axis. Declaring himself an adherent of astronomer Nicolaus Copernicus (1473–1543), whose theory about the Earth’s rotation around the heavens had been published in 1543, Gilbert added new magnetic arguments to the arsenal of the Copernican polemic.
**INFLUENCE ON LATER SCIENCE**
Subsequent natural philosophers including Francis Bacon (1561–1626) and Galileo Galilei (1564–1642) hailed Gilbert’s handling of empirical and experimental evidence, and others applauded his rejection of Aristotle’s erroneous ideas about physics and astronomy. Johannes Kepler (1571–1630) and Sir Isaac Newton (1642–1727) pondered Gilbert’s magnetic forces before devising their own physical explanations of astronomical motions. And, although many parts of Gilbert’s new magnetic theories were soon rejected, including his analogy of the Earth and the spherical lodestone, he is still acknowledged for some of his discoveries about electricity and magnetism (such as the distinction between magnetic and static electricity), and for correctly recognizing that the fixed stars are not all the same distance from the earth.
*See also* Astronomy; Bacon, Francis; Copernicus, Nicolaus; Exploration; Galileo Galilei; Kepler, Johannes; Newton, Isaac; Shipbuilding and Navigation.
**BIBLIOGRAPHY**
Gilbert, William. *On the Loadstone and Magnetic Bodies, and on the Great Magnet the Earth*. Translated by P. Fleury Mottelay. New York, 1958.
Pumfrey, Stephen. *Latitude and the Magnetic Earth*. Cambridge, U.K., 2002.
Roller, Duane H. D. *The De Magnete of William Gilbert*. Amsterdam, 1959.
Martha Baldwin
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**GIORGIONE** (Giorgio da Castelfranco; 1477–1510), Italian painter, master of the Venetian school. Although little is known about Giorgione, it is clear that in the course of a brief career curtailed by the plague in the autumn of 1510 he transformed the field of painting in Renaissance Venice. In a number of small-scale devotional works (e.g., the *Allendale Nativity*, c. 1500, National Gallery of Art, Washington, D.C.), the young artist responded in brilliant fashion to the pictorial innovations of his master, Giovanni Bellini (c. 1438–1516). In these paintings, Giorgione demonstrated his understanding of Bellini’s tonal and atmospheric approach to pictorial composition in which individual forms are loosely bound together through the unifying play of warm golden light. Also derived from Bellini is the placement of human and sacred protagonists within a broadly articulated natural landscape.
Giorgione broadly relied on the established painting types and iconographies of late-fifteenth-century Venice in his earlier work. But his uniquely expressive artistic personality is already very evident in the dreamlike atmosphere that pervades each painting. This air of moody introspection is most noticeable in the Castelfranco altarpiece (c. 1500–1502, Castelfranco, Duomo), Giorgione’s first and only monumental religious commission. Here, the rigorously defined rational space of the early Renaissance altarpiece is undermined by a perspective scheme that makes little logical sense. Works such as two well-known male portraits (both c. 1500–1502, one at the Staatliche Museum, Berlin, the other at the San Diego Museum of Art) are undoubtedly commissioned portraits, but their lack of reference to the trappings of social rank makes them very unlike the average fifteenth-century painting of this type. *Col Tempo* (c. 1505, Accademia, Venice), *Laura* (1506, Kunsthistorisches Museum, Vienna), and the *Boy with an Arrow* (c. 1505–1507, Kunsthistorisches Museum, Vienna) cannot really be understood as “portraits” at all, although the artist very deliberately drew on the conventions of the genre. In each painting, Giorgione presents a strongly lit form emerging out of dark shadow, indicating his awareness of the art of Leonardo da Vinci, who had briefly visited Venice in 1500. But Giorgione’s fluid and varied application of paint goes beyond Leonardo’s smooth blending, pushing the limits of the malleable oil medium. In *Col Tempo*, it is the realization of the woman’s weathered skin through the use of broadly applied impasto touches that breathes life into the *vanitas* theme. Both *Laura* and the *Boy* are more conceptually ambiguous. Despite the portraitlike arrangement, we are shown a real individual in neither case. These works are characterized by a simmering (yet understated) eroticism wholly unprecedented in Italian Renaissance art. Texture and touch are the means by which Giorgione creates the sensual
mood: in *Laura* by the juxtaposition of fingers, fur, and secret flesh; in the *Boy* by the softly melting treatment of one physical substance into another.
Paintings such as these set the tone for much of Giorgione’s later work, which is typically intimate and secular in tone, as well as boldly original in style, technique, and exposition of subject. Little is known of the circumstances in which these paintings were commissioned. But in the 1520s and 1530s *The Three Philosophers* (c. 1508–1510, Kunsthistorisches Museum, Vienna) was owned by Taddeo Contarini, *The Tempest* (c. 1509–1510, Accademia, Venice) by Gabriele Vendramin, and the *Sleeping Venus* (c. 1510, Gemäldegalerie, Dresden) by Girolamo Marcello. These men are likely to have been the original patrons, and recent studies have revealed that they formed an intimate and sophisticated private circle of Venetian patricians. Giorgione’s artistic response to the primarily poetic and esoteric interests of this circle may help to explain both the formal originality and the iconographic ambiguity characteristic of his work for them.
The subject matter of both *The Three Philosophers* and *The Tempest* has been hotly disputed by scholars, but such arguments may have been anticipated by the painter who, conceiving his paintings as complex visual and iconographic “puzzles,” intended to stimulate interpretation. X-rays of *The Three Philosophers*, for example, indicate that details revealing the subject as that of the three Magi were concealed in the final version. Technical examination of *The Tempest* suggests a less deliberate procedure altogether: rather than veiling a preconceived subject, Giorgione seems to have invented the picture as he went along, his final composition being radically different from that revealed by the x-ray. The many modern attempts to read the painting in terms of a specific mythological, biblical, or allegorical subject seem to sell the painting short. It might be better to think of *The Tempest* as a pictorial attempt to rival the open-ended associative power of the pastoral poetry then so in vogue with Gabriele Vendramin and his select circle.
The vastly influential *Sleeping Venus*, completed by Titian following Giorgione’s death, brings together many of the themes and qualities of his art. The subject matter, so typical in its combination of classical and erotic elements, is not on this occasion in doubt. But the Venus once again suggests Giorgione’s fundamental conception of painting as a kind of “poetry,” which works its magic less through the “logical” or scientific description of the object observed than through its ability to encourage the free association of ideas. It is perhaps for this reason that the anatomical impossibility of Giorgione’s goddess has failed to disturb the many who have found in her fluid form the perfect realization of an aesthetic ideal.
*See also Venice, Art in.*
**BIBLIOGRAPHY**
Anderson, Jaynie. *Giorgione: The Painter of “Poetic Brevity.”* Paris and New York, 1997.
Lucco, Mauro. *Giorgione.* Milan, 1995.
Pignatti, Terisio. *Giorgione.* Venice, 1969.
Settis, Salvatore. *Giorgione’s Tempest: Interpreting the Hidden Subject.* Cambridge, U.K., 1990.
**Tom Nichols**
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**GLISSON, FRANCIS** (1598 or 1599–1677), English physician and natural philosopher. Glisson enrolled at Caius College, Cambridge, at the age of eighteen. Finally turning to medical studies in his late twenties, he went on to a distinguished career in medicine and natural philosophy. He became a fellow of the Royal College of Physicians in 1635 and held numerous offices there, including that of reader in anatomy in 1639, and of president from 1667 to 1669. His success as a physician was also reflected in the fact that he was appointed Regius Professor of Physic (“Medicine”) at Cambridge in 1636, a post he held until his death. He was a member of the group of experimental natural philosophers who met in London in the period after the execution of Charles I in 1649, and which has been identified as a precursor of the Royal Society. Although he subsequently became one of the earliest fellows of the society, his own research led him to develop a natural philosophy that was at odds with the prevailing views in the society, so he was never prominent.
After an initial publication, *De Rachitide* (On rickets, 1650), which was then believed to be a new disease, all Glisson’s works were devoted to understanding human physiology in the light of William
Harvey’s (1578–1657) discovery of the circulation of the blood (1628). Before Harvey, the liver was seen as the source of the venous system, and of venous blood, so when the discovery of circulation showed that the veins were continuous with the arterial system and converged on the heart, it became obvious that the role of the liver was completely misunderstood. Glisson’s *Anatomia Hepatis* (Anatomy of the liver, 1654) sought to put this right. An important outcome of this research was the concept of irritability, an idea he pursued by turning his attention to the stomach and intestines. Glisson began by establishing that sensitivity, which he saw as an ability to perceive, was inherent in living tissue even where no nerves were present, but he went on to believe that all matter, animate and inanimate, was perceptive and endowed with appetite and motility. He deferred publishing on the stomach in favor of a major account of these ideas in his *Tractatus de Natura Substantiae Energetica* (Treatise on the energetic nature of substance, 1672). The subsequent *Tractatus de Ventriculo et Intestinis* (Treatise on the stomach and intestines, 1677) appeared in the year of his death.
The medical importance of Glisson’s discovery of irritability remained unnoticed until the theory was established by Albrecht von Haller (1708–1777) in 1753, but it raised immediate controversy in natural philosophy. The prevailing mechanical philosophy promoted a view of matter as completely passive and inert, and Glisson’s research ran counter to this. Because the passivity of matter was frequently used to ensure a role for God’s providence, Glisson’s active matter was seen as a support for atheism. Consequently, his works were explicitly attacked by the Cambridge Platonists Henry More (1586–1661) and Ralph Cudworth (1617–1688).
*See also* Anatomy and Physiology; Haller, Albrecht von; Harvey, William; Mechanism; Medicine; More, Henry; Natural Philosophy; Neoplatonism.
**BIBLIOGRAPHY**
Giglioli, Guido. “Anatomist Atheist? The ‘Hylozoistic’ Foundations of Francis Glisson’s Anatomical Research.” In *Religio Medici: Medicine and Religion in Seventeenth-Century England*, edited by O. P. Grell and A. Cunningham, pp. 115–135. Aldershot, U.K., 1996.
Henry, John. “Medicine and Pneumatology: Henry More, Richard Baxter, and Francis Glisson’s Treatise on the Energetic Nature of Substance.” *Medical History* 31 (1987): 15–40.
Pagel, Walter. “Harvey and Glisson on Irritability, with a Note on Van Helmont.” *Bulletin of the History of Medicine* 41 (1967): 497–514.
JOHN HENRY
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**GLORIOUS REVOLUTION (BRITAIN).** The Glorious Revolution was the term contemporaries coined to refer to the events of 1688–1689 that led to the overthrow of the Catholic James II (ruled 1685–1688) in England (and thereby also in Ireland and Scotland) and his replacement by the Protestant William III and Mary II (ruled 1689–1702). Some historians see the Glorious Revolution as a Whig victory that established limited monarchy in England; others have emphasized the important role of the Tories in bringing down James II and stressed the compromise nature of the revolution settlement; still others have seen it as little more than a foreign invasion, a dynastic coup brought about from outside and from above (within the royal family), not from below. One thing is certain: the Glorious Revolution was not “bloodless,” as it was once styled. Not only was there some blood shed in England, but the overthrow of James II provoked bloody wars in both Scotland and Ireland, which left a bitter and long-lasting legacy.
**THE OVERTHROW OF JAMES II**
James II inherited a strong position when he came to the throne in 1685. The Tory reaction of Charles II’s (ruled 1660–1685) last years had not only seen a ruthless campaign against all forms of political and religious dissent (with Whigs being purged from local office and Nonconformist conventiclers harried in the law courts) and an effective bolstering of the powers of the crown, but also witnessed a marked swing in public opinion. People rallied behind the crown and the legitimate heir against what they saw as a threat to the existing establishment in church and state posed by the Whigs and their Nonconformist allies. James’s accession in February 1685 was broadly popular, as evidenced by numerous loyalist demonstrations and addresses, and when he met his first Parliament in May, a mere 57 members of Parliament (out of a total of 513) were
known Whigs, thanks in part to Charles II’s interference in borough franchises during his final years, but also due to a shift in opinion in favor of the Tories. Although James Scott, the duke of Monmouth, and a few radical Whigs did launch a rebellion that summer to try to overthrow James, it met with very little support.
Nevertheless, despite promises at the beginning of his reign that he would respect his subjects’ rights and liberties and protect the existing Protestant establishment in the church, James immediately set about advancing the interests of his fellow Catholics through the royal prerogative. Thus he issued dispensations to Catholics from the provisions of the Test Act of 1673, which restricted political office to communicating members of the Church of England, winning a decisive test case in favor of the dispensing power—*Godden v. Hales*—in June 1686 (though only after a purge of the judicial bench). He also promoted the public celebration of the Mass; sought to undermine the Anglican monopoly of education by forcing the universities to admit Catholics; issued a Declaration of Indulgence (April 1687), which in one fell swoop suspended all penal laws against Protestant and Catholic nonconformists; and engaged in a campaign to pack Parliament so that he could establish Catholic toleration by law.
His initiatives, however, met with considerable obstruction from the Tory–Anglican interest. His loyalist Parliament of 1685 called for a strict enforcement of the laws against Catholics and condemned the dispensations given to Catholic officers in the army and had to be prorogued before the end of the year; the Anglican clergy began delivering fiery sermons against popery, which led the king to set up an Ecclesiastical Commission to keep them in line; and the Tory–Anglican squiarchy, in response to a poll conducted by the crown, overwhelmingly refused to commit themselves to support a repeal of the penal laws in a forthcoming Parliament. When in April 1688 James tried to make the clergy read a reissue of his Declaration of Indulgence from the pulpit, most refused, and seven bishops petitioned the crown against the Indulgence on the grounds that it was against the law. The crown brought a prosecution against the seven bishops for seditious libel, but in June 1688 they were found not guilty by a King’s Bench jury. In that same month, when James’s second wife, Mary of Modena (1658–1718) gave birth to a son, who would take precedence in the succession over James’s Protestant daughters by his first marriage, the prospect of a never-ending succession of Catholic kings led a group of seven politicians to invite the Dutch stadtholder William of Orange, husband of James’s eldest daughter and fourth in line to the throne in his own right, to come and rescue English political and religious liberties. In the face of William’s invasion, James began to backtrack and, following the advice of his bishops, agreed to abandon the dispensing and suspending power and his Ecclesiastical Commission and to restore things to the way they had been at the time of his accession. In short, it was the Tory–Anglican interest who defeated the drift toward popery and arbitrary government under James.
Following William’s landing at Torbay on 5 November 1688, members of the ruling elite and even sections of the army began to desert James, while anti-Catholic rioting broke out in many parts of the country. Although William invaded with a sizeable and well-trained professional army (estimates vary from between 14,000 and 21,000 men), James was able to send nearly 30,000 men to meet him at Salisbury Plain and had another 8,000–10,000 men ready to bring into action. However, James was not defeated by an invading army; he panicked in the face of desertions by his subjects and opted to flee the country. Although his first attempt, in the early hours of 11 December, was unsuccessful, he did leave on 23 December, after William had already occupied the capital.
**THE REVOLUTION SETTLEMENT**
In January 1689, a Convention Parliament, which was evenly balanced between Whigs and Tories, met to settle the state of the nation. Most Tories hoped to preserve the hereditary principle either by keeping James as king with a regent ruling in his name or by settling the throne on his eldest daughter, Mary (taking comfort in the myth that the Prince of Wales had not really been delivered by the queen but had been smuggled into the bedchamber in a warming-pan). The Convention determined, however, that James, by breaking his contract with the people (a Whig doctrine) and withdrawing himself from the kingdom, had abdicated the government, and proceeded in early February to fill the vacancy by
declaring William and Mary king and queen jointly (though with full regal power vested in William alone). The Convention then determined what powers they should give the new monarchs. Twenty-eight Heads of Grievances were drawn up, some of which were articulations of existing rights, others demands for constitutional reform. In the end, the Convention decided to leave out those grievances that would have required fresh legislation, and instead agreed to a Declaration of Rights (12 February) that purported to do no more than vindicate and assert ancient rights and liberties. There has been considerable controversy over whether or not the Declaration of Rights in fact made new law under the guise of proclaiming the old, especially with regard to its declarations that the suspending power, the dispensing power (as exercised under James), the Ecclesiastical Commission, and a standing army in time of peace without parliamentary consent were illegal. What can be said with confidence is that the framers of the Declaration of Rights genuinely believed that the powers they condemned were illegal, and that the Declaration reflected the concerns of both the Whigs and Tories.
William and Mary were proclaimed king and queen in London and Westminster on 13 February and shortly thereafter in the rest of the country; they were crowned on 11 April 1689. The Declaration of Rights was not the totality of the revolution settlement, however. Several of the reforms in the original Heads of Grievances that did not make it into the Declaration were enacted during William’s reign: in April 1689, a Toleration Act secured limited toleration for Protestant nonconformists; in December, the Declaration of Rights was passed into law with the Bill of Rights, which also barred Catholics from the succession and prevented any future king or queen from marrying a Catholic; a Triennial Act of 1694 secured frequent Parliaments (the act stipulated that Parliaments must meet at least once every three years and that no Parliament was to last for more than three years without a dissolution), while the Act of Settlement of 1701, in addition to determining that the succession should pass to the Hanoverians once the Protestant Stuart line became extinct, also ensured the independence of the judiciary. Yet more than anything else, it was the revolution in foreign policy that accompanied the dynastic shift in 1688–1689 that changed the nature of the monarchy in England. The nation became involved in an expensive war against France, which resulted in the setting up of the Bank of England (1694) and the establishment of a national debt that had to be serviced by regular grants of taxation. This increased the monarchy’s dependence on Parliament, while William’s repeated absences from England in the 1690s, as he led the war effort on the Continent, led to the emergence of the cabinet system of government.
Whereas the revolution in England was a bipartisan affair, the same was not true for the other two kingdoms under Stuart rule. In Scotland, the Whigs and Presbyterians were able to forge a more radical settlement in church and state, overturning episcopacy and stripping the crown of many of the powers it possessed under Charles II and James II. The government did not succeed in putting down Jacobite resistance until May 1690, though Jacobite sentiment in the Highlands and among the Episcopalians of the northeast remained strong, helping to fuel further Jacobite rebellions in 1715 and 1745. In Ireland, the Catholic majority declared for James II, who went there in March 1689 with the intention of trying to use the kingdom as base from which to reconquer Scotland and England. An overwhelmingly Catholic Parliament that met in Dublin in the spring of 1689 passed a legislative package restoring political and economic power to the Catholics; but this was undone by Williamite victory in the ensuing war—the turning point coming with William’s victory at the Boyne on 1 July 1690 (after which James fled), although Jacobite resistance continued until the final surrender at Limerick on 3 October 1691. Following the peace, successive Protestant Parliaments passed a series of repressive penal laws designed to guarantee the Protestant ascendancy and make it extremely difficult for Catholics to exercise their religion, inherit property, engage in trade or practice a profession.
See also Church of England; England; Jacobitism; James II (England); Stuart Dynasty (England and Scotland); William and Mary.
Bibliography
Beddard, Robert, ed. *A Kingdom without a King: The Journal of the Provisional Government in the Revolution of 1688*. Oxford, 1988.
GLUCK, CHRISTOPH WILLIBALD VON (1714–1787), Austrian composer of Bohemian birth. Gluck is important for his “reform” of the Metastasian opera seria in works written for Vienna and Paris. The son and grandson of gamekeepers, Gluck studied music (singing and violin), and at the age of thirteen or fourteen, faced with his father’s determination that he follow the paternal vocation, fled to Prague, where he supported himself by various musical activities (notably as organist at the Týn Church). In Prague he had the opportunity to hear contemporary Italian opera by Vivaldi, Albinoni, and others. After briefly serving Prince Lobkowitz in Vienna, in 1737 he accepted employment as a violinist in Prince Melzi’s service in Milan. Four years later his first Italian opera, *Artaserse*, to a libretto by Pietro Metastasio (1698–1782), had its premiere. For the next dozen years he followed a career path typical of moderately successful composers of Italian opera. He traveled extensively, for a while as music director of the Mingotti company and later for Locatelli’s company, and wrote operas on commission for cities in Italy, as well as Dresden, Copenhagen, Vienna, and London. In these he gained a mastery of current conventions in opera structure, forms, expression of emotions, florid melodic writing, text setting, and orchestral scoring (although sometimes with brusque and unexpected results). In 1745 he became resident composer at the King’s Theatre in London. The first of his two works written for production there, *La caduta de’ giganti*, contains clear allusions to the current political situation in forecasting allegorically the suppression of the Jacobite rebellion. Both London operas include much music revised from earlier works, as would remain Gluck’s custom throughout his career (and, indeed, it was standard practice for Italian opera composers to borrow from works of their own heard only elsewhere and, often at the behest of singers, to include music of others in their scores). While in England the composer became acquainted with George Frideric Handel’s music and David Garrick’s “realistic” style of dramatic acting, whose aesthetics were to mark his subsequent approach.
By 1748 Gluck was back in Vienna, where the court commissioned him to compose the music for Metastasio’s *La semiramide riconosciuta* to celebrate the birthday of Empress Maria Theresa. Two years later he married Maria Anna Bergin, whose dowry and personal wealth gave him financial stability. The couple remained based in her native Vienna, although in the early years of their marriage Gluck continued to accept foreign commissions that required travel. He also became Konzertmeister and later Kapellmeister to Prince Joseph Friedrich von Sachsen-Hildburghausen. For the imperial couple’s visit to his estate outside Vienna, the composer wrote *Le cinesi*, a clever parody of contrasting dramatic genres as well as an address to tastes for the “exotic.” These operas and other musical activities doubtless brought the composer to the attention of Count Durazzo, who in 1756 hired him to supervise concerts and French opéras comiques at the court-controlled Burgtheater (four years later the production of ballet music was added to his duties). Several commissions of Italian operas, French opéras comiques and ballet scores for the theater and for the court soon followed. Of these the most
significant musically is the ballet d'action, *Don Juan* (1761, choreography by Gasparo Angiolini). Because he was busy with Viennese projects and because travel was hindered by the War of the Austrian Succession (1740–1748) and its aftermath, Gluck seldom ventured elsewhere during this period. One important exception was the opera for Rome, *Antigono* (1756); during his visit there the pope named him cavaliere dello sperone d’oro (knight of the golden spur), a title that the composer took pride in using.
By 1760 Gluck was well established as the leading opera composer in Vienna. While during the decade he continued to compose opéras comiques, serenatas, and other works for the court (often to texts by the venerable Metastasio) and was awarded a court pension in 1763, he is remembered today for his “reform” of opera seria in his *Orfeo ed Euridice* (1762) and *Alceste* (1767). Significantly, the librettist for both was Raniero Calzabigi, an Italian familiar with French theatrical and operatic dramaturgy and probably the anonymous critic of the Metastasian model (*Lettre sur le méchanisme de l’opéra italien*, 1756). Operatic change was in the air: Gluck and other Italian opera composers and librettists had already anticipated some of the directions that the “reform” would take. Still, *Orfeo* and *Alceste* mark the most thoroughgoing development of a new aesthetic, a “noble simplicity” according to contemporaries: the drama comes first and unfolds in a logical, straightforward way; aria structures are more varied and flexible and avoid lengthy orchestral introductions (*ritornelli*); florid vocal display is avoided in favor of a more direct expression in often syllabic settings; the chorus has a heightened role; integration of chorus, soloists, aria, accompanied recitative, and dance in impressive tableaux match requirements of the plot and give the work greater musical continuity (though the divisions remain clear). In performance, acting by the soloists, including their gestures, became more “natural”; the first Orfeo, the castrato Gaetano Guadagni, had studied with Garrick, and the music historian Charles Burney later recounted that Gluck himself told him that he had insisted on numerous repetitions during rehearsals until all aspects of the performance met his standards. *Alceste*, in addition, broke with tradition in omitting castrati from the soloists’ ranks (original version).
As several of the innovations were inspired by the model of the French *tragédie* and the *tragédie lyrique*, Gluck decided to try to conquer Paris, then the cultural capital of Europe. Preceded by a clever publicity campaign mounted by C. L. G. L. du Roullet, the librettist for several of his French operas, Gluck arrived there in late 1773. With the support of his former student, Marie Antoinette (dauphine, shortly to become queen), he soon gained a contract with the Académie Royale de Musique. After six months of intensive rehearsal his first opera for the Académie, *Iphigénie en Aulide*, was a success, followed shortly by *Orphée et Euridice*, a revision of *Orfeo*, performed to even greater acclaim. *Alceste* (1776) differs substantially from its Italian predecessor. In choosing to reset Jean-Baptiste Quinault’s libretto written for Jean-Baptiste Lully, Gluck sought in *Armide* (1777) to align himself explicitly with the French tradition. His *Iphigénie en Tauride* (1779) is his masterpiece.
These five operas show the composer’s growing mastery of French declamation and his substantial advance in the “reform” agenda. In *Alceste*, for example, the two principal characters and the chorus are portrayed more convincingly as a loving couple and grieving people, compared to the Italian version. In *Armide* Gluck not only exploited spectacular stage effects, but also achieved a more fluid musical construction. *Iphigénie en Tauride* builds on this in an unusually high number of ensembles matching the drama.
After having divided his time between Paris and Vienna for six years, Gluck returned to the Austrian capital for good in 1779. His final major operatic effort was to revise a translation into German of *Iphigénie en Tauride* (1781). *Orfeo/Orphée* (often in various hybrid versions) and his French *tragédies lyriques* were an important legacy. Not only were these operas part of the repertory throughout the nineteenth century, although they were sometimes revised to meet current casts and audience tastes by musicians such as Berlioz (*Orphée*, 1859; *Alceste*, 1861, both Paris), Wagner (*Iphigénie en Aulide*, 1847, Dresden) and Richard Strauss (*Iphigénie en Tauride*, 1889, Weimar), they have continued to be revived in the twentieth and twenty-first centuries.
*See also* Lully, Jean-Baptiste; Music; Opera; Vienna.
**BIBLIOGRAPHY**
Brown, Bruce A. *Gluck and the French Theatre in Vienna*. Oxford, 1991.
Brown, Bruce Alan, and Julian Rushton. “Gluck, Christoph Willibald Ritter von.” In *The New Grove Dictionary of Music and Musicians*. 2nd ed. London, 2001.
Gluck, Christoph Willibald. *Sämtliche Werke*. Edited by Rudolf Gerber, et al. Kassel and Basel, 1951–.
Howard, Patricia. *Christoph Willibald Gluck: A Guide to Research*. 2nd ed. New York, 2003.
**Goa.** Map of Goa, engraved by Johannes Baptista van Doetechum the Younger, 1595. Private Collection/The Stapleton Collection/Bridgeman Art Library
GOA. Goa was the administrative and religious capital of the Portuguese Asian empire. Located on the west coast of India, Goa had been an important center of Indian Ocean trade under the sultan of Bijapur well before the arrival of the Portuguese. After 1510 it became the center of Portuguese activities in Asia and by 1600 its population grew to seventy-five thousand. As in Macau and other cities in Portuguese Asia, the Portuguese always formed a small percentage of the total population. Goa is the name of both the city and the area surrounding it. By the 1630s the region had a population of 250,000. During the sixteenth century and part of the seventeenth century Goa reached its zenith, becoming one of the jewels in the Portuguese crown. Long-distance trade with Lisbon brought New World gold and silver to trade for Asian spices (such as pepper, cloves, and cinnamon) as well as tea and Chinese silks. Trade within the Indian Ocean region was based on exchanging prized Arabian horses in South Asia for Indian cotton and rice.
In Goa’s heyday travelers remarked on the many large buildings and the highly evolved urban nature of the city, in which the Portuguese had built a number of large churches and an important convent (Santa Mónica). A slow decline began by 1650, and the city was eventually abandoned because of reoccurring health concerns (malaria and cholera). The urban population moved several miles west to Panaji, the modern capital of the Indian state of Goa.
See also Macau; Portuguese Colonies: The Indian Ocean and Asia.
BIBLIOGRAPHY
Pearson, M. N. *The Portuguese in India*. Cambridge, U.K., 1987. A succinct summary of Portuguese interactions in India, especially Goa.
Souza, Teotonio R. de. *Medieval Goa*. New Delhi, 1979. Pathbreaking study that discusses Goa in the Indian context, focusing on the local Goan population under Portuguese rule.
Souza, Teotonio R. de, ed. *Indo-Portuguese History: Old Issues, New Questions*. New Delhi, 1985. A collection of essays outlining the newer issues raised in the field.
TIMOTHY J. COATES
GOETHE, JOHANN WOLFGANG VON (1749–1832; elevated to the nobility as von Goethe in 1782), German writer, scientist, and statesman. The dominant figure of the German Classicist-Romantic period, and for many still the most influential of all German writers, Goethe was often referred to as the last Renaissance man. He successfully cultivated a multitude of extraordinary talents, while his works, especially *Faust* and his novels, expressed and helped shape modern individualism. He brought radical subjectivity to German poetry and expressed a modern view of history: history revealed in the exceptional individual. The cult of Goethe as the eminent icon of German culture (in the much-lamented absence of a nation-state) and his canonization began during his lifetime, which also saw the beginnings of German philology and literary historiography. Recent scholarship has examined and reevaluated the diverse cultural production in Goethe’s “shadow,” especially the writing of Charlotte von Stein (1742–1827) and Marianne von Willemer (1784–1860), who had previously been of interest in numerous biographies of Goethe merely as his beloved and as the inspiration and models for his fictional characters.
Goethe was the first child of a patrician couple in Frankfurt am Main, the coronation city of the Holy Roman Empire. Retired imperial councillor Johann Caspar Goethe (1710–1782) and Katharina Elisabeth, née Textor (1731–1808), a major’s daughter, led a cultured life and valued artistic endeavors. The only surviving son, Goethe enjoyed a privileged humanistic education at home together with his sister Cornelia (1750–1777). In 1765 Goethe was sent to study law at Leipzig University, where he also cultivated his interests in art and literature. He was exposed to Enlightenment thinkers and the new English literature of sensibility, and
he wrote elegant erotic poetry and a pastoral play. After a severe case of tuberculosis in 1768 and a subsequent return to Frankfurt, he continued his studies in Strasbourg in 1770. There he met the young East Prussian writer Johann Gottfried Herder (1744–1803), later a theologian in Weimar. They shared criticism of rationalism and the prevailing French taste and enthusiasm for Jean-Jacques Rousseau, German folk song, and medieval architecture, and each found in Shakespeare and Homer models for original creativity. Goethe graduated in 1771 with a *Lizentiat* (doctoral degree) and became an attorney for the Frankfurt juridical court; increasingly, though, he devoted his efforts to writing and drawing. He initiated a radically subjective style, commonly referred to as “Sturm und Drang” (storm and stress), that marked the beginning of German Romanticism. He soon became famous across Europe through his love poems, his Shakespearean chronicle play *Götz von Berlichingen* (published 1773) based on the controversial knight of that name (c. 1480–1562) during the Peasants’ War, and his scandalous epistolary novel *Die Leiden des jungen Werthers* (1774; The sufferings of young Werther). In the fall of 1775 young Carl August of Saxe-Weimar (1757–1828) invited Goethe to Weimar. Although his Thuringian duchy was small, it was nonetheless an important cultural center thanks to the endeavors of Carl August’s mother, Anna Amalia (1739–1807; regent 1756–1775). In June 1776 Goethe became a member of the duke’s cabinet and his privy councillor. Except for Goethe’s “flight” to Italy from his many bureaucratic obligations (1786–1788), a journey to Venice (1790), the German campaign against revolutionary France, and shorter travels, he remained in the small province for the rest of his long life. In 1806 he married the lowborn Christiane Vulpius (1765–1816) with whom he had lived since 1788, much to the outrage of Weimar society.
Goethe, best known for his wide range of poetry, plays, and novels, was also a respected administrator, knowledgeable art collector, and successful director of the Weimar Hoftheater (court theater, including opera) from 1791 to 1813. He admired Napoleon and recognized the genius of Beethoven. His interest in the sciences ranged from osteology and botany to optics and mineralogy; he believed strongly in his theory of colors (*Zur Farbenlehre*; 1810), which contradicted Newton’s.
Goethe’s extensive correspondence is an endless resource for insights into his intense relationships with contemporaries. Most important was the friendship and collaboration with Friedrich Schiller (1759–1805) from 1794 to 1805, when both wrote in a Classicist style and theorized on the central function of art in human life and in society. Their rigorously pedagogical aesthetics met with resistance, and Goethe’s own earlier works remained much more popular. Literary history, however, established Goethe’s and Schiller’s works from those years as Weimar Classicism.
Only very few works from Goethe’s rich œuvre can be mentioned here. His poetry was so innovative and is so rich and multifaceted that any mention of single titles does not do justice to it. It ranges from stormy nature and love poems, hymns, classical elegies and satirical epigrams, and ballads, to the idyllic epic poem *Hermann und Dorothea* (1797) and his adaptation of Oriental traditions in *Westöstlicher Divan* (1819). Numerous poems have
been set to music by composers from Mozart and Schubert to contemporary ones. Dramas such as *Egmont* (1788), *Iphigenia auf Tauris* (1787; Iphigenia on Tauris), and *Torquato Tasso* (1790) draw on (literary) history and mythology for models and reinterpretations of harmonious and autonomous individuals; yet the emotional struggle is merely contained, not overcome, in an equilibrium. Thus the dichotomy between Classicist (recent research prefers this term over “classical” and its hierarchical implications) and Romantic writers is not as sharp as previously believed. The novel *Wilhelm Meisters Lehrjahre* (1795–1796; Wilhelm Meister’s apprenticeship years), long regarded as the exemplary German “Bildungsroman” (novel of individual organic development or self formation), was most influential for the Romantics and the nineteenth and twentieth centuries in general. Whether the protagonist achieves the alleged goal of character formation and a well-rounded education or whether the novel criticizes and undermines such a goal remains controversial.
Interpretation of Goethe’s universal life work situates him within various tendencies of his time, a critical period in the development of the modern world, but also stresses that he anticipated modernist (and even postmodern) fractured structures, especially in his last novel *Wilhelm Meisters Wanderjahre, oder Die Enttägenden* (1829; Wilhelm Meister’s travel years, or the renunciants) where he wrote critically on developments such as industrialization and specialization. Goethe pursued a lifelong interest in the subject of Faust, the sixteenth-century alchemist, scholar, and magician, and rendered the pact-with-the-devil legend into an original tragedy of human striving and complex symbolism of human life, society, and politics. Goethe’s *Faust* (fragment published 1790; *Faust*, Part I of the tragedy, 1808; *Faust*, Part II, posthumously 1832) is a masterpiece of world literature; Part II is a plethora of mythology and heterogeneity. Interpretations of it and its influence on literature and music are innumerable. In his autobiographical writings (*Dichtung und Wahrheit* [Poetry and truth], 1811–1814; *Italienische Reise* [Italian journey], 1816–1817, 1829, etc.), which were very influential for the genre of autobiography, he styled himself as a German classical writer and Olympian.
**See also** Drama: German; Frankfurt am Main; German Literature and Language; Herder, Johann Gottfried von; Schiller, Johann Christoph Friedrich von.
**BIBLIOGRAPHY**
**Primary Sources**
Goethe, Johann Wolfgang von. *Collected Works*. Edited by Cyrus Hamlin. Translated by Cyrus Hamlin, Walter Arndt, Michael Hamburger, Frank Ryder, et al. 12 vols. New York, 1983–1988 and 1994–.
———. *Faust*. Edited by C. Hamlin. Translated by Walter Arndt. New York, 2000. Excellent German/English edition in the Norton Critical Editions Series with extensive notes and introductory and supporting material.
———. *Sämtliche Werke, Briefe, Tagebücher und Gespräche*. 39 vols. Frankfurt, 1985–. The most inclusive edition in German available, edited by a wide range of scholars.
**Secondary Sources**
Boyle, Nicholas. *Goethe: The Poet and the Age*. 2 vols. Oxford and New York, 1991 and 1999. Interpretative biography.
Boyle, Nicholas, and John Guthrie, eds. *Goethe and the English-Speaking World: Essays from the Cambridge Symposium for His 150th Anniversary*. Rochester, N.Y., 2002.
Sharpe, Lesley, ed. *The Cambridge Companion to Goethe*. Cambridge, U.K., and New York, 2002. Scholarly yet accessible chapters on his works by genre and on relations to the contemporary world as well as reception.
Wagner, Irmgard. *Goethe*. New York, 1999. Concise introduction to major literary works.
**Waltraud Maierhofer**
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**GOLDONI, CARLO** (1707–1793), Italian dramatist. Carlo Goldoni was born in Venice to a family that had immigrated from Modena and that had members in both the professional class and the nobility. Fascinated by the theater from an early age, Goldoni wrote his first play before he was ten. While attending school in Rimini, he became friendly with a comedy troupe that included women, banned from the stage in much of Italy, and departed with them for Chioggia. In 1723 he undertook the study of law at the University of Pavia, but he was expelled in 1725 for a satire of the city’s women. After his father died in 1731, Goldoni completed his degree at the University of Padua, but he departed for Milan in 1732 to avoid financial and sentimental obligations.
In 1734 he began his association with the Imer troupe of actors. By the late 1730s he was working regularly in theaters in Venice and other cities and had begun his reform of the improvised commedia dell’arte tradition. He wrote out individual parts and then entire plays, blending Tuscan-speaking aristocratic characters of the erudite tradition with dialect-speaking nonaristocratic characters. While retaining some elements of commedia dell’arte masks and writing a masterpiece in *Il servitore di due padroni* (1747; Servant of two masters) Goldoni endowed his characters with new psychological depth and realism. *La vedova scaltra* (The artful widow) of 1748, the first comedy fully implementing these reforms, was favorably received by many. It was also criticized by others, especially Goldoni’s rival and imitator Pietro Chiari, the polemic resulting in the censure of theaters by the Venetian government.
Goldoni responded with plays in a wide range of styles, including the famous sixteen comedies of the 1751 Carnival season and his memorable dialect comedies. *Mirandolina* (The mistress of the inn), staged in 1753, tells of a young proprietress of an inn who exercises great freedom in her dealings with aristocratic suitors. The *Villeggiatura* (The country vacation) trilogy (1761) pokes fun at city aristocrats who take their artifice-filled habits with them on country vacations. In *Le baruffe chiozzotte* (Chioggian quarrels) (1762) a girl whose needlework earns her good money attracts rival suitors. Opposition to Goldoni’s work intensified, with accusations by the satirist and author of theatrical fables Carlo Gozzi (1720–1806) that Goldoni was inverting the social order by associating aristocratic characters with vice and the popular classes with virtue. Gozzi mounted a successful theatrical alternative, a series of exotic tales set in a world of aristocratic privilege.
In 1762, worn down by polemics, Goldoni moved to Paris to work with the Comédie italienne. The French public’s expectation that Italian comedy conform to the traditional commedia dell’arte style left him few professional satisfactions. He nevertheless remained in Paris, writing a number of well-received plays and his memoirs.
The strength of Goldoni’s theater lies in its inclusion of divergent and even conflicting elements that occur in daily life and that are part of theatrical tradition. The complicated relations of men and women, the generations, and social classes fascinated him. His most consistent focus is on forces that strengthen those bonds or that, on the contrary, break them by setting individuals on destructive paths. While Goldoni appreciated the vitality of the lower social orders, he feared their violence, and while he appreciated aristocrats’ elegance, he feared their arrogant vanity. What remained was the sober and directed energy of the middle social orders.
As the plots of his plays show, Goldoni understood that bad choices often result either from indulgence in pleasure or from despair. He also knew that human beings favor those who attract them, and that this causes them to neglect those to whom they are obligated. Thus his plays include husbands who abandon their wives for their drinking companions, wives who prefer their husbands to the children who depend upon them, and servants more interested in gossip than work.
Goldoni experimented with a variety of measures designed to maintain prudent behavior, both internalized social rules, such as an acceptance of
authority figures, and severe consequences for irregular behavior, such as the poverty that results from gambling and the damage and death that result from violence. He also showed how authority figures, including fathers and members of the aristocratic class, bring their subordinates into line through both kind and harsh measures, as he kept his characters in line by writing out the parts rather than continuing the improvisation of the commedia dell’arte.
At the same time Goldoni understood that subordination to men creates difficulties and even dangers for women. While most of his numerous and prominent female characters accept and even embrace submissiveness to men, a few of them enjoy a combination of financial security and a lack of male relatives that permits an unprecedented emotional independence. Mirandolina the innkeeper’s marriage to her servant rather than to a misogynistic nobleman shows that she intends to remain mistress of her life.
See also Commedia dell’Arte; Drama: Italian.
BIBLIOGRAPHY
Primary Sources
Goldoni, Carlo. Four Comedies. Translated by Frederick Davies. Harmondsworth, U.K., 1968. Translations of I due gemelli Veneziani (1750), La vedova scaltra (1748), La locandiera (1753), and La casa nova (1761).
———. Memoirs of Carlo Goldoni. Translated by John Black, edited by William A. Drake. New York and London, 1926. Translation of Mémoires (1787).
———. The Servant of Two Masters. Translated and adapted by Frederick H. Davies. London, 1961. Translation of Il servitore di due padroni (1747).
———. Tutte le opere. Edited by Giuseppe Ortolani. Milan, 1935–1956.
———. Carlo Goldoni’s Villeggiatura Trilogy. Translated by Robert Cornthwaite. Lyme, N.H., 1994. Translation of Le smanie della villeggiatura, Le avventure della villeggiatura, and Il ritorno dalla villeggiatura.
Secondary Sources
Angelini, Franca. Vita di Goldoni. Rome, 1993.
Baratto, Mario. La letteratura teatrale del Settecento in Italia: studi e letture su Carlo Goldoni. Vicenza, 1985.
Branca, Vittore, and Nicola Mangini, eds. Studi goldoniani. Venice, 1960. The acts of an important conference with papers by respected scholars.
Ferroni, Giulio. Storia della letteratura italiana dal Cinquecento al Settecento. Milan, 1991.
Fido, Franco. Guida a Goldoni: Teatro e società nel Settecento Turin, 1977.
———. Nuova guida a Goldoni: Teatro e società nel Settecento. Turin, 2000.
Günsberg, Maggie. Playing with Gender: The Comedies of Goldoni. Leeds, U.K., 2001.
Siciliano, Enzo. La letteratura italiana. 3 vols. Milan, 1986–1988.
Spezzani, Pietro. Dalla commedia dell’arte a Goldoni: studi linguistici. Padua, 1997.
Linda L. Carroll
GÓNGORA Y ARGOTE, LUIS DE (1561–1627), Spanish poet of the late sixteenth and early seventeenth centuries. Luis de Góngora y Argote was born into a privileged family in Córdoba on 11 July 1561. Góngora was destined for a career in the church from childhood. He took minor orders in 1575, studied canon law at the University of Salamanca 1576–1581, and became a deacon of the Cathedral of Córdoba in 1585. As a representative of the cathedral, Góngora traveled widely in Spain, and made frequent trips to the court of Philip III. He finally moved to the court at Madrid in 1617, was ordained in 1618, and subsequently became chaplain to the king. During his years at the court of Philip III and Philip IV, Góngora enjoyed powerful patrons, became a member of the cultural elite, gained access to the innermost circles of the crown, and acquired the reputation of a gifted poet and esteemed man of letters. Ill health and financial exigency forced him to leave the capital in 1626 to return to Córdoba, where he died on 23 May 1627.
Góngora was a lifelong experimenter with poetry who composed in a variety of poetic forms—ballads, songs, rondelets, and sonnets, among others. He also was the author of the play Las firmezas de Isabela (1610) as well as the unfinished drama El doctor Carlino (1613). Góngora is primarily known, and remembered, however, as the creator of gongorismo, a style of discourse identified with his poetic masterpieces the Fábula de Polifemo y Galatea (1612) and the Soledades (1612–1614). Both are hybrid works, difficult to classify by type. The Polifemo is based on the story in Book Thirteen
of Ovid’s *Metamorphoses* that tells of the ill-fated love of the cyclops Polyphemus for the nymph Galatea, enamored of the handsome Acis. The *Soledades* mix epic and pastoral motifs in two poems totaling about two thousand lines in length that detail the wanderings of a mysterious, shipwrecked pilgrim through the dreamlike countryside of an unknown land. Góngora authorized the publication of only a few of his poems during his lifetime, although collections of his works started to appear shortly after his death.
When the *Polifemo* and *Soledades* first circulated at court, they unleashed a firestorm of controversy over the innovative poetic language employed by Góngora. *Gongorismo*, also called *cultismo* or *culturanismo*, that is, the cultured or cultivated style, refers to elegant discourse replete with rhetorical ornamentation: hyperbata (inversions of natural word order), neologisms, latinate words and syntax, elaborate conceits, mythological allusions, and so forth. Gongorism is a self-consciously challenging and at times enigmatic style directed at an erudite, aristocratic audience, able and willing to decipher the linguistic puzzles posed in verse. Góngora’s vociferous detractors, who included such important writers as Lope de Vega and Francisco Quevedo, objected to what they saw as the affectation and deliberate obscurantism of Gongorine style. The great Góngora debate, which played out in well-known exchanges in caustic letters, satirical verse, and at the literary academies, was essentially a battle over which kind of poetic style would become the predominant one—a simpler, clearer type of discourse, more accessible to a wide range of readers, or the more ornate language of Gongorism, which appealed to a smaller, more intellectually engaged audience. *Cultismo*, often associated with mannerism and the baroque, and frequently compared to marinism in Italy and euphuism, the elegant and artful style identified with the Elizabethan English writer John Lyly, ultimately won the day and many disciples. The powerful influence of Gongorism was eclipsed in the eighteenth century, only to be resurrected by Spain’s Generation of 1927 poets, a group so-named in honor of the tricentennial anniversary of the death of Góngora, whose complex metaphors they particularly admired.
Over the years, Góngora has been called both the “Prince of Darkness” and the “Angel of Light.” Not surprisingly, to this day, the poet’s works and Gongorism remain a subject of considerable debate. While some critics see in Gongorism the construction of an independent world of words that has nothing to do with the realm of everyday experience, and in some ways anticipates postmodern literature, others envision in the poet’s *cultismo* a cryptic language employed to create allegories critical of imperial Spain. Still another group of scholars views Gongorism as an attempt to restore to poetic language the visionary power of the *vates*, the poet-prophet of classical antiquity, and to make poetry a vehicle for exploring the mysteries of the universe. Although these critical viewpoints differ greatly, they all show a heightened interest in Góngora and Gongorism as a poet and poetic style closely tied to the court culture of Habsburg Spain and of Europe in general at the time.
*See also* Philip III (Spain); Philip IV (Spain); Spanish Literature and Language; Vega, Lope de.
GOYA Y LUCIENTES, FRANCISCO DE (1746–1828), Spanish painter and printmaker. Born on 30 March 1746 in the village of Fuendetodos, Francisco Goya received his earliest artistic training in the provincial capital of Saragossa, under the Neapolitan-trained painter José Luzán y Martínez. In 1766 Goya competed unsuccessfully in a drawing competition at the Royal Academy of San Fernando. Documents reveal his entry into another academic competition in Parma, Italy, in 1771, where he received an honorable mention for the painting Hannibal Crossing the Alps (Fundación Selgas-Fagalda, Cudillero, Spain).
On his returning to Saragossa in 1772, Goya undertook religious commissions for private patrons and religious organizations. In 1773 he married the sister of the court painter, Francisco Bayeu y Subías (1734–1795), and it was probably through Bayeu’s influence that the artist was invited to the court of Madrid in 1774 to paint designs (also known as cartoons) for the royal tapestry factory. Goya’s ability was soon recognized, and he was given permission to paint tapestry cartoons “of his own invention”—that is, he was allowed to develop original subjects for these images. He painted three series of tapestry cartoons for rooms in the royal residences before the tapestry factory cut back production in 1780 because of a financial crisis engendered by Spain’s war with England. The decade of the 1780s was nevertheless one of great advancement for the artist, beginning with his election to the Royal Academy of Fine Arts of San Fernando in 1780 and continuing as he won patronage for religious paintings and portraits from the grandest families in Spain, including the duke and duchess of Osuna and the count and countess of Altamira. His appointment as court painter in April 1789, four months after Charles IV had acceded to the throne, cemented his fortunes.
Documents and paintings of the early 1790s suggest the artist’s growing unease with the limitations imposed on painters by traditions and patronage. Images in his final series of cartoons, such as The Straw Mannikin (1792; Museo del Prado, Madrid), betray an increasingly cynical view. As one of several academicians asked in 1792 to report on the institutional curriculum, he responded that “there are no rules in painting.” Thus, although the turn in Goya’s art to a more liberated exploration of unprecedented subject matter is often credited to a serious illness suffered in 1792–1793, such a change might have occurred in any case. From 1793 onward, in addition to his work as a painter of commissioned portraits and religious paintings, Goya explored experimental subjects—ranging from shipwrecks to scenes of everyday life in Madrid—in uncommissioned paintings, prints, and drawings. This experimentation led to the publication in 1799 of a series of eighty aquatint etchings known as Los Caprichos, whose subjects encompass witchcraft, prostitution, fantasy, and social satire. It is wrongly thought that these etchings jeopardized Goya’s relationship with his patrons; that this is not the case is proven by Goya’s promotion to first court painter eight months after their publication. The artist would continue to paint portraits including The Family of Charles IV (1800–1801, Prado), as
well as works for the king and queen’s close confidant, Manuel Godoy, that include portraits, allegories, and probably the *Naked Maja* and the *Clothed Maja* (c. 1797–1805; Prado).
In 1808 Napoleonic forces invaded Spain, the royal family abdicated, and Napoleon’s brother, Joseph Bonaparte, assumed the Spanish throne. In 1810 Goya undertook etchings documenting the atrocities of war, today known as the *Disasters of War*. Goya probably continued work on these etchings even after the Spanish government of Ferdinand VII was restored in 1814, although the series of eighty plates was published only in 1863, thirty-five years after Goya’s death. On the restoration of the Spanish monarchy, Goya depicted *The Second of May* and *The Third of May* (1813–1814; Prado) to commemorate the Spanish uprising against French troops; although these are among Goya’s most famous works, little is known of their original function or placement, or of their early reception.
Goya continued in his position as first court painter under the restored monarch, who nevertheless preferred the neoclassical style of the younger Vicente López. In 1819 Goya purchased a villa on the outskirts of Madrid and painted on the walls of its two main rooms images of witchcraft, religious ceremonies, and mythical subjects today known as the *Black Paintings* (1819–1823; Prado). In 1824 the artist left Spain and after a brief trip to Paris settled in Bordeaux among a colony of Spanish exiles. Here he continued to paint and draw, and also to experiment with the technique of lithography—leading to the publication of *The Bulls of Bordeaux*, a masterpiece in that medium. He died in Bordeaux on 26 April 1828.
*See also* Spain, Art in.
Granada’s capitulation in 1492 to the forces of Ferdinand V and Isabella I (ruled 1474–1504), king and queen of Aragón and Castile, signaled the end of independent Muslim power on the Iberian Peninsula. Though the treaty of surrender guaranteed Granadans their traditional religion, forced conversions in 1499 drove the Muslim community to insurrection. The crown responded by rescinding the treaty and demanding mass baptisms. By 1501 the city’s Muslim population—estimated at fifty thousand souls in 1492—either emigrated to North Africa or became Moriscos (Muslim converts to Christianity). Thousands of “Old Christian” newcomers from southern and central Castile soon replaced the émigrés. By 1561, immigrants to the city numbered around thirty thousand, perhaps twice the dwindling Morisco population. Both Moriscos and immigrants found employment in Granada’s lucrative silk industry. Granadan Moriscos dyed the raw silk produced by rural Morisco peasants; immigrants, however, dominated the weaving process.
**Granada.** A seventeenth-century view of the city from *Civitates Orbis Terrarum*, by Braun and Hogenberg. *The Art Archive/Biblioteca Nazionale Marciana Venice/Dagli Orti* (A)
Merchants—often Genoese—exported raw silk to textile centers in the Castilian interior and finished cloth to Italy, North Africa, Flanders, and the Americas.
New local and national institutions marked Granada’s incorporation into the crown of Castile and signaled the city’s rising national stature. Internal security and coastal defenses were the province of the captain general, headquartered in the Alhambra, Granada’s famed medieval Muslim fortress. The 1505 transfer to Granada of the Chancillería, one of two permanent high courts of appeal, established the city as one of Castile’s principal bureaucratic centers. A new municipal council, chaired by a royal representative, the corregidor, governed civic affairs. Two council members represented Granada at the Castilian Cortes, a parliamentary body representing a select group of prominent cities. Granadans’ spiritual welfare was the province of the Roman Catholic Church, led by the archbishop and the cathedral chapter. The crown exercised unusual control over church appointments in Granada through its Real Patronato, a papal concession of 1486 later extended to all of Spanish America.
These new institutions joined in converting and acculturating the subject Morisco population. In 1567, however, the Catholic authorities’ growing intolerance of Morisco rejections of Castilian culture and religion resulted in stringent laws against Morisco cultural practices. The desperate Morisco revolt of 1568 was quelled with equal violence and forced resettlements to the Castilian interior. The expulsions reduced Granada’s population by a third, devastated the silk industry, and exacerbated Granada’s share of the general economic troubles of late sixteenth-century and seventeenth-century Europe. Seville, gateway to the Americas, soon surpassed Granada in population, prosperity, and prominence, and Granada was relegated to only regional importance for the remainder of the early modern period.
See also Ferdinand of Aragón; Isabella of Castile; Islam in the Ottoman Empire; Moriscos; Moriscos, Expulsion of (Spain); Spain.
BIBLIOGRAPHY
Barrios Aguilera, Manuel. *Granada morisca, la convivencia negada*. Granada, Spain, 2002. Analytic essays and primary texts on ethnic relations during the sixteenth century.
Cortés Peña, Antonio Luis, and Bernard Vincent. *Historia de Granada*. Vol. 3: *La época moderna, siglos XVI, XVII y XVIII*. Granada, Spain, 1986.
Peinado Santaella, Rafael G., ed. *Historia del Reino de Granada*. 3 vols. Granada, Spain, 2000. Excellent collection of essays on all aspects of Granada’s past from prehistory to 1833.
A. Katie Harris
GRAND TOUR. Protracted travel for pleasure was scarcely unknown in classical and medieval times, but it developed greatly in the sixteenth, seventeenth, and eighteenth centuries, becoming part of the ideal education and image of the social elite as well as an important source of descriptive and imaginative literature and art. As tourism developed, its patterns became more regular, and the assumptions about where a tourist should go became more predictable. Literary conventions were also established. The term the “grand tour” reflects a subsequent sense that this was an ideal period of the fusion of tourism and social status as well as a contemporary desire to distinguish protracted and wide-ranging tourism from shorter trips.
The grand tour is commonly associated with aristocratic British travelers, more particularly with the eighteenth century. But travel for pleasure did not begin then, and it was not restricted to the British. There was a more general fascination with southern Europe among northern Europeans. The vast majority of those who had traveled to Italy over previous centuries had done so for reasons related to their work or their salvation. Soldiers and those seeking employment had shared the road with clerics discharging the tasks of the international church and pilgrims. Such travel was not incompatible with pleasure, and in some cases it fulfilled important cultural functions as travelers bought works of art or helped spread new tastes and cultural interests. This was not the same, however, as travel specifically and explicitly for personal fulfillment, both in terms of education and of pleasure, the two being seen as ideally linked in the exemplary literature of the period.
Such travel became more common in the seventeenth century, although it was affected by the relireligious (and political) tensions that followed the Protestant Reformation of the previous century. The war with Spain that had begun in 1585 ended in 1604, and England had only brief wars with France, Spain, and the Dutch over the following seventy years. It was no accident that the earl and countess of Arundel went to Italy in 1613–1614 or that a series of works on Italy, including Fynes Moryson’s *Itinerary* (1617), appeared in the years after the Treaty of London of 1604.
However, divisions culminating in civil wars (1642–1646, 1648, 1688–1691) in the British Isles forced people to focus their time and funds on commitments at home and also made travel suspect as in some fashion indicating supposed political and religious sympathies. Concern about Stuart intentions in large part focused on the real and alleged crypto-Catholicism of the court, and this made visits to Italy particularly sensitive. The situation for tourists eased with the Stuart Restoration of 1660, and Richard Lassels, a Catholic priest who acted as a “bearleader” (traveling tutor), published in 1670 his important *Voyage of Italy; or, A Compleat Journey through Italy*.
The expansion of British tourism from 1660 was part of a wider pattern of elite cosmopolitan activity. Throughout Europe members of the elite traveled for pleasure in the late seventeenth century and the eighteenth century. The most popular destinations were France, which meant Paris, and Italy. Italy held several important advantages over Paris. The growing cult of the antique, which played a major role in the determination to see and immerse oneself in the experience and repute of the classical world, could not be furthered in Paris, although Paris was seen as the center of contemporary culture. There was little tourism to eastern Europe, Iberia, and Scandinavia let alone beyond Europe.
There was no cult of the countryside. Tourists traveled as rapidly as possible between major cities and regarded mountains with horror, not joy. The contrast with nineteenth-century tourism and its cult of the “sublime” dated from Romanticism toward the close of the eighteenth century, not earlier. The Italian cities offered a rich range of benefits, including pleasure (Venice), classical antiquity (Rome and its environs, the environs of Naples), Renaissance architecture and art (Florence), the splendors of baroque culture (Rome and Venice), opera (Milan and Naples), and warm weather (Naples). Once tourism had become appropriate and fashionable, increasing numbers traveled, a growth interrupted only by periods of war, when journeys, although not prohibited, were made more dangerous or inconvenient by increased disruption and lawlessness. The outbreak of the French Revolutionary War in 1792, however, led to a major break in tourism that was exacerbated when French armies overran Italy in 1796–1798. Thereafter tourism did not resume on any scale until after the final defeat of Napoleon in 1815.
*See also Art: The Art Market and Collecting; Italy; Paris; Travel and Travel Literature.*
**BIBLIOGRAPHY**
Black, Jeremy. *The British Abroad: The Grand Tour in the Eighteenth Century*. New York, 1992.
**GRAUNT, JOHN** (1620–1674), English statistician and demographer. Born in London, John Graunt was the son of a draper. He was apprenticed to a haberdasher and became a successful merchant, serving as warden of the Drapers’ Company in 1671–1672. He also served the city government in various capacities, reaching the level of a common councilman. Late in life, Graunt converted to Roman Catholicism; he died in 1674 at the age of 54.
Graunt’s fame rests on his short book *Natural and Political Observations Made upon the Bills of Mortality* (1662). The book was immediately popular and went through five editions (two in the first year alone). Translations and reprints appeared throughout the eighteenth century. Because of this book, Graunt was elected fellow of the Royal Society upon direct recommendation of Charles II, an unusual honor for a London merchant. Graunt’s friend Sir William Petty (1623–1687) labeled his work political arithmetic—a term that stuck throughout the eighteenth century.
Graunt was the first to analyze society numerically. Troubled by exaggerated claims about the size of London, he created methods to calculate the population from the annual numbers of christenings
and burials listed in the London bills of mortality. (He reckoned London’s population at 384,000, far smaller than contemporary estimates of two million.) To bring clarity to his calculations, Graunt created a series of tables. In one, he summarized the causes of death for a twenty-year period and found the mortality rates of acute and chronic diseases, especially of the plague. In another table, Graunt showed how many individuals out of a population of one hundred would be alive at specific ages. This was the first life table (or mortality table) ever constructed and was an entirely new way to conceptualize life expectancy. Mathematicians such as Edmund Halley (1656–1742) and Antoine de Parcieux refined Graunt’s life table over the course of the late seventeenth and eighteenth centuries. They remain essential tools of modern demography and actuarial science.
In his analysis of the bills of mortality, Graunt identified several numerical regularities. For every fourteen males christened, for example, there were thirteen females christened; thus, there was a constant ratio between male and female births. (Graunt used this ratio to argue against polygamy.) He defined chronic diseases as those that maintained a fixed portion of the total number of burials and included in this category jaundice, gout, rickets, and, somewhat surprising, suicides. For Graunt, the prevalence of chronic diseases was a measure of the salubrity of a community. Graunt also identified a high infant mortality rate, a significant characteristic of early modern societies (one-third of all infants born died before age six).
Graunt’s book laid the foundations for modern statistics and demography. His life table stimulated the application of probability mathematics to life expectancy. His use of mortality figures to evaluate the incidence and constancy of different diseases encouraged eighteenth-century physicians to apply statistics to medicine, most notably in the debates surrounding the introduction of smallpox inoculation. His efforts to provide accurate population figures spawned a tradition of political arithmetic that was only eclipsed when regular national censuses were instituted around 1800.
See also Census; Petty, William; Statistics.
BIBLIOGRAPHY
Glass, David V. “John Graunt and His Natural and Political Observations.” *Proceedings of the Royal Society*, Series B, 159 (1963): 2–37.
Kreager, Philip. “Histories of Demography.” *Population Studies* 47 (1993): 519–539.
———. “New Light on Graunt.” *Population Studies* 42 (1988): 129–140.
Pearson, Karl. *The History of Statistics in the 17th and 18th Centuries against the Changing Background of Intellectual, Scientific and Religious Thought*. Edited by E. S. Pearson. London, 1978.
Rusnock, Andrea. *Vital Accounts: Quantifying Health and Population in Eighteenth-Century England and France*. Cambridge, U.K., 2002.
Sutherland, Ian. “John Graunt: A Tercentenary Tribute.” *Journal of the Royal Statistical Society*, Series A, 126 (1963): 537–556.
ANDREA RUSNOCK
GREECE. Greece is a country in the south of the Balkan Peninsula, bordering on the east with Turkey, on the north with Bulgaria and the Republic of Macedonia, and on the northwest with Albania. Greece is a mountainous country with ragged littoral and few plains. A large part of its territory consists of islands. The bulk of Greek lands entered early modern times as part of two states, the Ottoman Empire and the Venetian Republic.
TERRITORIES UNDER OTTOMAN RULE
Under Ottoman rule, cities were modest and of only regional importance except for a few provincial capitals and ports (Patra, Livadia, Ioannina, Larissa, Serres). The biggest city was Salonica; in the sixteenth century, it evolved into a large manufacturing center, and in the eighteenth became a major commercial port. Most of the population in the territories, especially in the country, was Orthodox Christian. Cities usually had large Christian and Muslim communities and small Jewish ones (except for Salonica, a Jewish metropolis). Some Muslims were originally settlers from Anatolia, but most were descendants of local converts. Muslims were predominantly Turkish-speaking except in Crete and Epirus, where large-scale conversions had taken place. Christian townspeople were mostly Greek-speaking; in the country, alongside ethnic Greeks (the majority in central and southern Greece, Crete,
and the Islands), there also existed large Slavic, Aromanian, and Albanian populations. Jewish communities were predominantly Sephardic, but there also existed several Romaniot ones.
The Ottoman conquest of mainland Greece was essentially completed by 1460, that of the Aegean Islands by 1570. Crete was conquered in 1669. In general, the conquest of the mainland was rapid and did not cause major disruption in local life. The sixteenth century witnessed considerable demographic and economic growth. Large-scale construction projects, usually financed by imperial funds, together with religious, commercial, and learning establishments, supported by endowments, provided urban infrastructure; churches and monasteries were rebuilt and renovated. By the end of the century, a demographic decline was seen, accompanied by small-scale migratory movements. The mid-seventeenth century brought a severe economic crisis. This was followed by a large-scale demographic crisis that continued well into the eighteenth century and affected the settlement pattern. The eighteenth century witnessed major socioeconomic changes: consolidation of large estates in private—mainly Muslim—hands in the fertile parts of the country; growth of cattle breeding, manufacture, and commerce; intensification of trade with western Europe; establishment of commercial networks in central and eastern Europe; an explosion of banditry. Economic growth, together with changes in patterns of consumption, increasing mobility, and contact with Europe, led to cultural flourishing in many towns and cities.
The Greek lands were integrated in the Ottoman prebendal system and divided in provinces with a dual judicial/civil and executive/military administration. Towns were the seats of kadi’s, who combined judicial and administrative authority; provincial capitals were also the seats of military governors. Beneficence and welfare were provided by pious foundations, some of which were major owners of urban and rural property, while others were involved in moneylending. Craftsmen and traders were organized in guilds. The suppression of banditry was entrusted to—usually Christian—paramilitary troops (martolos/armatoloi).
Alongside the kadi, the governor and various officials, a body of “notables” (Muslim ayan; Christian prokritoi or kocabasi) was involved in local administration. The prokritoi were usually elected every year by the heads of households and ran the affairs of the community. During the eighteenth century wealthy landowners and guildsmen became dominant in the election process, and oligarchic community leaderships emerged in many towns. At the same time, the ayan, consisting mainly of wealthy landowners and tax farmers, brought local administration under their control and acquired an institutional role in provincial decision making.
A fundamental misconception of the role of the church together with the presence of elaborate communal institutions led to the thesis of the “autonomy” or “self-government” of the Greek Orthodox under Ottoman rule. Actually, Christians were an integral part of the Ottoman society and made full use of Ottoman institutions, including that of the kadi court, to which they did not even hesitate to take members of the clergy. Communities, irrespective of their supposed origins, were in their structure and functions a product of Ottoman institutions and socioeconomic realities and emerged mainly as a means to cope with the administration of collectively assessed taxes. Admittedly, in some places the Ottoman authority was either weak or nonexistent. These included communities that were granted “privileges” at the time of the conquest, districts without resident Ottoman authorities, and regions that the state could not effectively control. But these self-governing communities were the exception, not the rule.
The consolidation of the Ottoman Empire led to the emergence of interregional networks that enabled the movement of people, goods, and ideas and reestablished a connection between Greece and southeastern Europe and the Near East. Greeks were also actively involved in the growing export-oriented commerce with the West, either acting as local agents for European merchants or trading in European cities. During the eighteenth century, a wave of emigration began from Greek regions to western Anatolia. The same century witnessed the growth of old diaspora communities and the creation of new ones, especially in central Europe. Relations with Russia also intensified, especially after the Ottoman-Russian treaty of Kuchuk Kainarji (1774), among the ramifications of which was the emergence of a Greek commercial marine under the
Russian flag transporting goods in the Mediterranean and the Black Sea.
Commercial activity also led to cultural interaction. Constantinople (Istanbul) seat of the Ottoman sultan and the Orthodox Christian patriarch, soon after its conquest became a center of Greek culture with empirewide influence. Greek reinforced its position as the language of religion, education, and commerce, which led to its spreading among the middle and upper classes of Orthodox Christians. In the eighteenth century, Smyrna (İzmir), Bucharest, and Jassy (Iași) emerged as major cultural centers outside Greece, while Greek books were printed in Venice and Vienna. By the end of the century, an Enlightenment movement had evolved in the diaspora communities and filtered into the commercial towns of Greece, often confronting the reaction of “traditionalists” and the church.
In the seventeenth and especially the eighteenth century, Greece captured European imagination both because of its ancient past and as part of the Ottoman Orient. Some Western travelers were disappointed by what they perceived as the uncivilized descendants of glorious ancestors; but, in the main, Philhellenism prevailed and helped create a romanticized view of noble Greece and Greeks suffering under the barbarous Turkish yoke. European perceptions led Greeks, especially in the diaspora, to a new awareness concerning their identity and place within European nations.
Notwithstanding nationalistic interpretations, prior to the Greek revolution (1821–1830) the Ottoman rule had not been challenged in most of the mainland. The only major Christian rebellion was the involvement of several regions and bands of *maartolos* (paramilitary troops, usually Christian) from the Morea and Central Greece in the abortive enterprise of the Russian fleet under the Orloff brothers (1770). The eighteenth century, however, had witnessed the deterioration of relations between Christians and Muslims, generated by major socioeconomic changes. Intercommunal tensions heightened after the military defeats of the empire and the emergence of Russians as protectors of Orthodox Christians. By the early nineteenth century, several vague revolutionary plans circulated in the hope of exploiting the Russo-Ottoman confrontation, and a secret society after the model of the Carbonari based in Odessa, the *Philike Hetaireia* (Friendly Society), established a widespread network of prospective revolutionaries. In February 1821, the fear of imminent betrayal of the society’s plans to the Ottomans led to a dual insurrection in the Danubian Principalities and the Morea, which soon spread in most Greek regions. Though the rebellion was soon suppressed in the north, it gained momentum in the south, and in January 1822 the Greek Republic was proclaimed.
**TERRITORIES UNDER VENETIAN RULE**
In the fifteenth century, Venice held several ports and coastal areas in central Greece the Morea, and some Aegean islands, as well as Corfu, Euboea, and Crete. At the turn of the century, it annexed most of the Ionian Islands, but by 1550 it had lost most of its other possessions to the Ottomans. In 1669 Crete also passed into Ottoman hands. The Morea came briefly under Venetian occupation (1685–1715), but the only Greek territories to remain under its rule until 1797 were the Ionian Islands. The bulk of the population consisted of Greek-speaking Orthodox Christians, but among the gentry, many were of Venetian or Italian origin, professing the Catholic faith. In the towns there also existed Jewish communities.
Venetian possessions were administered by governors appointed by the metropolis under the supervision of a high official called the general *provveditore* for the east. Local administrative institutions were not uniform, mainly because the various territories were annexed at different times. The Venetian-held territories, however, underwent similar socioeconomic developments, which differed substantially from those in the regions under Ottoman rule. The most prominent differences include the preservation of serfdom and other feudal institutions, especially in Crete and Corfu, the inferior position of the Orthodox Church, and the division of urban population in estates: burghers (*cittadini*) and common people (*popolani*), in Crete also noblemen (*nobili*).
Differences between Venetian and Ottoman territories are especially obvious in the cultural domain. Venice, the metropolis, seat of a thriving Greek community, and a cultural center of the Greek-speaking world, was a mediator of Western
culture to Greeks. The University of Padua became a major learning center for Greeks. Direct contact with developments in Italy led to a boost in literary, theatrical, and artistic production in Crete that bears the stamp of Renaissance and baroque, while in the eighteenth century, poetry and drama flourished in the Ionian Islands.
See also Orthodoxy, Greek; Ottoman Dynasty; Ottoman Empire; Venice.
BIBLIOGRAPHY
Clogg, Richard. “Elite and Popular Culture in Greece under Turkish Rule.” In Hellenic Perspectives, edited by John T. A. Koumoulides, pp. 107–144. Lanham, Md., 1980.
———. “The Greek Millet in the Ottoman Empire.” In Christians and Jews in the Ottoman Empire, edited by Benjamin Braude and Bernard Lewis, vol. 1, pp. 185–208. New York, 1982.
Gara, Eleni. “In Search of Communities in Seventeenth-Century Ottoman Sources: The Case of the Kara Ferye District.” Turcica 30 (1998): 135–162.
Greene, Molly. A Shared World: Christians and Muslims in the Early Modern Mediterranean. Princeton, 2000.
Holton, David, ed. Literature and Society in Renaissance Crete. Cambridge, U.K., 1991.
Kitromilides, Paschalis M. The Enlightenment as Social Criticism: Iosipos Moisiodax and Greek Culture in the Eighteenth Century. Princeton, 1992.
Roudometof, Victor. “From Rum Millet to Greek Nation: Enlightenment, Secularization, and National Identity in Ottoman Balkan Society, 1453–1821.” Journal of Modern Greek Studies 16, no. 1 (1998): 11–48.
Tsigakou, Fani-Maria. The Rediscovery of Greece: Travelers and Painters of the Romantic Era. New Rochelle, N.Y., 1981.
Eleni Gara
GREEK ORTHODOXY. See Orthodoxy, Greek.
GREUZE, JEAN-BAPTISTE (1725–1805), French painter. Born in Tournus (Burgundy) to a prosperous middle-class family, Greuze studied art in Lyon in the late 1740s with the portrait painter Charles Grandon. In about 1750, he sat in on drawing classes at the Académie Royal in Paris, and in 1755 became an associate member of the academy as a genre painter after presenting A Father Reading the Bible to His Family, The Blindman Deceived, and The Sleeping Schoolboy. These moralizing narratives that deal with social and familial issues of contemporary life among the lower and middle classes (reminiscent in certain ways of William Hogarth) announced principal themes the artist would become most celebrated for throughout his career.
Aristocratic patrons in ancien régime France took great interest in genre subjects and encouraged French painters to revive this tradition. Thus, Greuze found ready patronage for his paintings. Like many fellow genre painters, Greuze was influenced by seventeenth-century Dutch predecessors whose genre images were accessible through prints as well as original works in private collections. He also studied Rubens and Rembrandt, both of whom had an indelible impact on his style. In addition, Greuze was influenced by the style of the esteemed rococo court painter François Boucher (1703–1770) and the celebrated genre painter Jean-Baptiste-Siméon Chardin (1699–1779), who was a peer as well as a rival.
Greuze traveled in Italy in 1755–1757 as a guest of Louis Gougenot, Abbé de Chezal-Benoit. He stayed at the French Academy in Rome in 1756–1757 thanks to the intercession of the Marquis de Marigny, superintendent of buildings for Louis XV. While in Rome Greuze seemed impervious to an emerging neoclassicism and continued to work on moralizing subjects in a style he had developed in France. Upon returning to France in 1757 he exhibited at the salon “Four Pictures in Italian Costume”: Indolence, Broken Eggs, The Neapolitan Gesture, and The Fowler. All present moralizing narratives and commentary on contemporary mores with didactic implications. Indolence, for example, is an emblem or allegory of sloth; it inaugurated a series of admonitory works in which Greuze represented sensual young women as single figures with emblematic objects or surroundings such as in The Broken Mirror (1763), somewhat unusual in its depiction of a wealthier interior. Often the compositions communicate the erotic accessibility of servants, as in The Laundress (1761), or the loss of virginity in young adolescent girls, as in the variations on the theme of a young girl mourning her
dead bird (1759, 1765) or *The Broken Pitcher* (1773). These paintings, often moralizing in theme, nonetheless emphasize an eroticism and sensuality that belong to the French rococo tradition. Greuze also specialized in depicting the beauty of children, as in *Girl Playing with a Dog* (1767), *Young Shepherd Boy with a Basket of Flowers* and its pendant, *Simplicity* (1761), *Boy with Lessonbook* (1757), and commissioned children’s portraits such as the *Comtesse Mollien with Puppies at Age Six* (1791).
*Broken Eggs*, another in the 1757 series of “Italian Costume” paintings, signaled an important direction in Greuze’s art, that of the moralizing narrative in which a larger social group of the rustic lower classes is involved. Greuze also depicted more complex narratives involving familial and social situations. One of his best-known works, *The Marriage Contract* (1761), depicts a bride reluctant to leave her family as her father hands over her dowry to her betrothed and a notary records the transaction. This painting was hailed by the great Enlightenment philosophe and art critic Denis Diderot (1713–1784), who often praised the artist. He saw this and similar paintings by Greuze as visual correspondents to his psychological family dramas known as the *drame bourgeois*.
Although Greuze sometimes represented familial devotion, as in *The Paralytic Father* (1763) and *The Well-Loved Mother* (1765), his most dramatic compositions depict unhappy families, as in his well-known pendants, *The Father’s Curse* and *The Punished Son* (1778). In these works, gesture and body language communicate the tragic familial narrative. In the first painting, the aging father of a large
family curses his son, who abandons the family to join the army in spite of the pleas of his mother and siblings. In the pendant, the wounded son returns to his father’s deathbed. He is a broken man, his father has just died, and his grief-stricken family is impoverished.
Greuze was also well known for intimate scenes of young mothers of the lower class with their children, as in *Silence!* (1759), in which a beautiful young mother with bared breast (she is ostensibly breastfeeding her infant), admonishes her son to stop blowing his horn, which will awaken the sleeping siblings. Here, simplicity, poverty, and familial intimacy are combined with erotic elements that emphasize sensuality and fertility.
Although Greuze enjoyed great success as a genre painter, he aspired to history painting, the top of the hierarchy of genres in French academic art. In 1769 he submitted a historical subject as his reception piece for full admittance to the academy, *Septimius Severus Reproaching His Son Caracalla for Having Wanted to Assassinate Him*, a composition influenced by Poussin and painted in the neoclassical style. The academy ridiculed the painting and rejected Greuze as a history painter, admitting him instead only in the category of genre painting. Greuze was so embittered by this decision that he did not exhibit at the salon again until 1800. Late in his career he returned to history painting with such works as *Psyche Crowning Cupid* (1792) and his last major painting, the strange and enigmatic religious composition, *St. Mary of Egypt* (1801).
Greuze also established a solid reputation as a portrait painter. One of his most insightful studies of character is the subtle portrait of the academy model Joseph (1755). Other expressive and lively portraits include those of his patron, *Ange-Laurent La Livre de Jully* (1759), *The Marquise de Bezons Tuning Her Guitar* (1759), and *Benjamin Franklin* (c. 1777).
Greuze’s impact on the development of French painting in the late eighteenth and early nineteenth centuries helped ensure the continued popularity and importance of genre painting as a means of conveying moral, psychological, and social narratives of everyday life, influencing such painters as Louis-Léopold Boilly (1761–1845). His immediate students and followers, Wille the Younger and Nicolas-Bernard Lépicié (1735–1784), enjoyed success, and Greuze also encouraged his female students, who included Constance Mayer and his daughter Anna Greuze.
*See also Art: Artistic Patronage; Diderot, Denis; France, Art in.*
**BIBLIOGRAPHY**
Bailey, Colin. *Jean-Baptiste Greuze: The Laundress*. Los Angeles, 2000.
Brookner, Anita. *Greuze: The Rise and Fall of an Eighteenth-Century Phenomenon*. Greenwich, Conn., 1972.
Ledbury, Mark. *Sedaine, Greuze and the Boundaries of Genre*. Oxford, 2000.
Munhall, Edgar. *Jean-Baptiste Greuze, 1725–1805*. Hartford, Conn., 1976.
Sahut, Marie Catherine, and Nathalie Volle, eds. *Diderot et l’art de Boucher à David*. Paris, 1984.
*Dorothy Johnson*
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**GRIMM, FRIEDRICH MELCHIOR VON** (1723–1807), German-born critic of French culture. Friedrich (later Frédéric) Melchior Grimm was born in Regensburg into a family of modest circumstances. While studying law, philosophy and literature in Leipzig, he wrote a tragedy, *Banise*. In Paris from 1748 on, he served as tutor or secretary to a succession of German aristocrats, allowing him entry into Parisian society as well as relations with dignitaries from many European courts. He quickly gained a solid reputation for his quick wit and fine taste (*bon goût*). His friendship with Jean-Jacques Rousseau (1712–1778), albeit brief (the two became bitter enemies beginning in 1757), led to more long-lasting alliances with other French philosophers, such as Denis Diderot (1713–1784) and Voltaire (1694–1778). In 1753 the abbot Guillaume Raynal (1713–1796) charged Grimm with composing the *Correspondance littéraire, philosophique et critique*, a handwritten newsletter about French literature and culture. It was copied by hirelings and sent to a limited, select body that included King Stanislaw II of Poland (1732–1798), Queen Louise Ulrica of Sweden (1720–1782), and Empress Catherine II of Russia (1729–1796). In this effort he was helped by Diderot, Mme Louise-Florence d’Epinay (1726–1783), and later the Swiss Jacques-Henri Meister (1744–
1826), as they kept the European courts informed of artistic and social events in Paris. In the 1770s Grimm was named a baron of the Holy Roman Empire. He continued writing the unpublished, and therefore uncensored, missives twice monthly until 1793. The turbulent course of the French Revolution finally forced him to flee Paris and end his *Correspondance*, and he spent his final years as a Russian minister to Lower Saxony and finally a courtier at Gotha.
The *Correspondance*, which was first made public in 1812–1813 and published in reliable texts from 1877 to 1882, provides a uniquely privileged insight into aesthetic and historical events in late-eighteenth-century France. Grimm incarnated the elegant, witty, cosmopolitan ideals of thought and expression of the time; he was an elitist writing to an elite audience. His *Correspondance* had a varied content, consisting of several pages of criticism of current works, polemical defenses of the philosophers, and short, original works. A few of these had been previously published, although most had not, and while most authors submitted their work for inclusion in the *Correspondance*, not all authors were aware that Grimm used their material. Unlike his contemporaries, he did not include long extracts to fill his pages. By its tone and liberty of expression the *Correspondance* was distinguished from, and often opposed to, the print media (the *journaux*, such as the *Mercure de France*, *L’année littéraire*, and the *Journal encyclopédique*). He was quite hostile to the eminent French critic Elie Fréron (1718–1776) and fanatics in general, but quick to praise Voltaire, whose words and deeds he often reported to his interested subscribers. Grimm championed the cause of classical theater but recognized the value of Diderot’s more modern conception of drama. Rousseau’s novel, *La nouvelle Héloïse*, occasioned a lively attack in 1761, as Grimm found it to be implausible and poorly structured, indicating an author “deprived of genius, imagination, judgment and taste.” Able to offer a firsthand perspective on major cultural events, his originality lay perhaps even more in his personal taste, which he was able to freely and elegantly express to an eager and appreciative audience.
*See also* Diderot, Denis; Philosophes; Rousseau, Jean-Jacques; Voltaire.
**BIBLIOGRAPHY**
Monty, Jeanne R. *La critique littéraire de Melchior Grimm*. Geneva and Paris, 1961.
Pizer, John. “Friedrich-Melchior Grimm’s Views on French Seventeenth Century Literature.” *Papers on French Seventeenth Century Literature* 11, no. 20 (1984): 167–181.
Schwartz, Leon. “F.M. Grimm and the Eighteenth-Century Debate on Women.” *The French Review* 58, no. 2 (1984): 236–243.
Waldinger, Renée. “The *Correspondance littéraire*: A Document on French Cosmopolitanism in the Eighteenth Century.” *Studies on Voltaire and the Eighteenth Century* 304 (1992): 910–913.
**ALLEN G. WOOD**
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**GRIMMELSHAUSEN, H. J. C. VON**
(Johann [Hans] Jakob Christoffel von Grimmelshausen; 1622?–1676), German writer. Grimmelshausen was born in Gelnhausen in Hesse to a family that descended from the lower nobility but had long practiced bourgeois trades. This sometime soldier, secretary, steward, innkeeper, and village mayor belongs to the handful of seventeenth-century German writers of enduring fame whose work continues to influence German cultural production. His masterpiece, *Der abenteuerliche Simplicissimus* (1669; *The adventurous Simplicissimus*), has been translated into many languages, and it, along with his lesser-known works, has influenced such German writers as the Grimm Brothers, Bertolt Brecht, and Günter Grass. As Grimmelshausen typically published under pseudonymous anagrams of his name, his identity as author of a vast prose corpus remained hidden until German philologists uncovered it in 1837/1838.
Scholars generally divide Grimmelshausen’s works into four groups. Three satirical novels set in the Thirty Years’ War, and the two parts of *Der wunderbarliche Vogel-Nest* (1672, 1675; *The marvelous bird’s nest*) comprise the “Simplician works,” a label Grimmelshausen himself provided. These satirical narrative works, loosely connected by the recurrence of characters and such motifs as a bird’s nest that renders its bearer invisible, castigate the folly of the world. Two love stories, *Dietwalts und Amelindens anmuthige Lieb- und Leids-Beschreibung* (1670; *Pleasant description of the love...*
and sorrow of Dietwalt and Amelinde) and *Des Durchleuchtigen Printzen Proximi, und seiner ohnvergleichlichen Lympidae Liebs-Geschicht-Erzählung* (1672; The love story of the illustrious Prince Proximus and his incomparable Lympida), based on Christian legends, along with a rendering of the biblical Joseph story and a sequel, *Musai* (1666/1667, 1670), constitute a second group consisting of edifying works that present ideal types. *Des Abenteuerlichen Simplicissimi Ewig-währender Calender* (1670/71; The adventurous Simplicissimus’ perpetual calendar) in the genre of the almanac and a symposium on husbanding wealth, *Rathstrübel Plutonis* (1672; Plutus’ council chamber), number among the ten lesser works that form the third group. The fourth group consists of four tracts, including the anti-Machiavellian *Simplicianischer Zweyköpffiger Ratio Status* (1670; Simplician two-headed reason of state) and *Deß Weltheruffenen Simplicissimi Pralerey und Gepräng mit seinem Teutschen Michel* (1673; The boasting and showing off of the world-famous Simplicissimus with his German Michael), a polemic on language that, while itself displaying nationalistic tendencies, mocks overzealous purists who would purge German of foreign words.
Grimmelshausen’s graphic detailing of violence and the vicissitudes of war in *Simplicissimus, Trutz Simplex: Oder ausführliche und wunderseltzame Lebensbeschreibung der Erzbetrügerin und Landstörtzerin Courasche* (1670; translated as The runagate courage), and *Der seltzame Springinsfeld* (1670; The strange Hop-in-the-Field) offers a compelling look at a period when the economic and social fabric of the German territories was rent by armed conflict in the name of religion. The Peace of Westphalia that ended the Thirty Years’ War in 1648, leaving the German empire divided into sixty-one imperial cities and around three hundred sovereign states, offered an autocratic solution to religious strife by ordaining that the religion of the ruler dictate the religion of the territory. Grimmelshausen, who had converted to Catholicism sometime before 1649, would devote his voluminous oeuvre to railing against the venality and horrors of this world, asserting ideals of good rulers and proper husbandry of personal and public wealth, and writing both exemplary and cautionary tales of redemptive import, and to literary experimentation with mending the broken world by incorporating and piecing together its diverse texts in his writing.
Grimmelshausen’s linguistic virtuosity and scarring critique of contemporary mores made him a popular author in his own time, as evidenced by the proliferation of imitations, most notably by Johann Beer (1655–1700), and by accounts of reading his books by members of both the nobility and the urban middle classes. Although the scant biographical information about Grimmelshausen provides no indication of extended education, his work evidences broad reading of (pseudo)scientific, philosophical, religious, and literary texts and displays encyclopedic knowledge. His oeuvre indicates, furthermore, engagement with the literary and cultural production and debates of his day as they had been recorded and transmitted across Europe.
As is typical of seventeenth-century prose, hybridity characterizes Grimmelshausen’s writings. Indeed, he dabbled in and mixed genres. The three aforementioned wartime novels reveal in their pseudoautobiographical stance affinities to the Spanish picaresque novel; the rapscallion protagonists struggle to survive in a harsh world while sharing in its corruption. These same novels, however, draw on a variety of traditions, both fiction and nonfiction.
Grimmelshausen’s oeuvre shares in the nascent cultural nationalism of the period when, for example, it ridicules those who ape French manners or facetiously notes that the entry of a foreign word into the German language always means trouble, as, for example, the militant word *marschieren*, ‘to march’. Grimmelshausen thus remarks on the linguistic dominance of the French in the art of war, and war, he will remind his readers repeatedly, gives humankind license to do its worst.
Grimmelshausen’s Nuremberg publisher, Wolf Eberhard Felsecker, advertised these works as delightful and entertaining but also affirmed their didacticism. In fact, the energy, unruliness, and transgressiveness of Grimmelshausen’s narratives, derived from the literary arsenal of the Renaissance at its bawdiest—bodily excess, cross-dressing, pranks, and farce—exert a fascination over readers that can obscure the yearning in these texts for stable social arrangements, divine justice, and Christian redemption.
GROTIUS, HUGO (Huigh de Groot; 1583–1645), Dutch jurist, classical scholar, theologian, and ambassador for Sweden, traditionally known as the father of modern international law. Born in Delft on 10 April 1583, Grotius was the son of Jan de Groot, a burgomaster of Delft, who had studied under Justus Lipsius and was curator of the University of Leiden. After early schooling in Delft, he was taught by Johannes Uyttenbogaert, a preacher and theologian in The Hague. At the age of eleven he entered the University of Leiden, where he studied under the famous classical scholar Joseph Scaliger.
At fifteen he accompanied Johan van Oldenbarneveldt, grand pensionary of Holland, on a mission to the court of Henry IV of France, remaining in the country to earn the degree of doctor of laws from the University of Orléans in 1598. In 1599 he returned to Holland and was admitted to the bar in The Hague. In 1601 the Estates of Holland appointed him official historiographer with the request that he write about the Dutch struggle with Spain. This historical work, begun that year and titled the *Annales et Historiae de Rebus Belgicis* (Annals and histories of Belgian affairs), was not published until after 1657, thirteen years after Grotius’s death. On the model of Tacitus’s major works, it was organized in two sections, the “Annals,” treating 1559–1588, and the “Histories,” which covered the period from 1588 to the Twelve Years’ Truce of 1609–1621. Grotius’s work as a classical scholar included editions of Martianus Capella, Lucan, the *Phaenomena* of Aratus of Soli, Tacitus, a *History of the Goths, Vandals and Lombards*, a New Testament commentary, and Latin translations of Theocritus (with Daniel Heinsius) and Euripides’ *Phoenician Women*. His writings of a literary nature included a great deal of Latin verse and a number of well-received plays (*Adam in Exile, The Suffering Christ, Joseph at the Court*).
In 1604–1605, at the request of the Dutch East India Company, he wrote a treatise *On the Law of Prize and Booty*, a work he himself knew as *On the Indies* (*De Indis*). The treatise defended access to the ocean by all nations against the claims of particular powers to control the seas. One chapter of this work, published anonymously in 1609 under the title *Mare Liberum* (The Freedom of the seas), was widely influential and frequently reprinted. In 1607 Grotius was appointed advocate general of the fisc of the provinces of Holland, Zeeland, and Friesland. In 1613 he was named pensionary of Rotterdam. Politically he was closely tied to Oldenbarneveldt, the leader of resistance by the province of Holland against the absolutist ambitions of Prince Maurice of Nassau (1567–1625). Grotius’s support for the Estates of Holland against Prince Maurice in the Arminian controversy (involving aspects of the Calvinist doctrine of predestination) resulted in 1618 in a trial in which he was condemned to life imprisonment and sent to the castle of Loevestein. (His
patron, Johan van Oldenbarneveldt, was put to death.) In prison he wrote *Bewijs van den waren Godsdiensst* (On the truth of the Christian religion) and began the composition of a work on the law of Holland that was published in 1631. Hiding in a chest of books, Grotius escaped from the castle in 1621 and fled to France, where he was received by Louis XIII (ruled 1610–1643), who gave him a pension that was paid in fits and starts.
In Parisian exile Grotius published his greatest work, *De Jure Belli ac Pacis* (1625; On the law of war and peace). The work was dedicated to the French king in the hope of receiving steady employment; Cardinal Richelieu, however, successfully opposed this. In his book Grotius argued that all laws can be distinguished between primary laws of nature, which express the divine will, and secondary laws, which lie within the realm of human reason. International society, Grotius argued, belongs to this second sphere. Its laws may be scientifically deduced from the rational and social nature of man, without reference to religious beliefs. Grotius was famously criticized by Rousseau in *Du contrat social* (1762; The social contract) for being a defender of slavery and a flatterer of tyrants. Although there are indeed defenses in particular instances of slavery and absolute rule, Grotius believed that slavery and absolute rule were exceptions and somehow against nature, although under certain circumstances they may be legitimate. As one of the great theorists of religious toleration, Grotius saw in the common principles of the various confessions (belief in the existence and unity of God and God’s creation of the world) the basis of natural religion, from which Christianity differentiates itself by other elements that find their justification not in natural reason but only in faith. This is conferred by the mysterious help of God. Hence it is contrary to reason to impose Christianity by arms on those to whom God has not given that help. Grotius is also believed to have established a new basis for ethics, since he affirmed it to be a tenet of natural law that all men are permitted to attempt to preserve themselves against death and harm.
Grotius devoted himself to his writing in Paris until 1631, when, six years after the death of Prince Maurice in 1625, he went home to Holland. Threatened again with imprisonment, he left for Hamburg, where acquaintance with the chancellor of Sweden, Axel Oxenstierna, resulted in his appointment in 1634 by Queen Christina as Swedish ambassador to France. Returning to Paris, Grotius proved personally incompatible both with his old foe, Richelieu, and then with Richelieu’s successor, Cardinal Jules Mazarin; all the same, it was on the negotiations of these men that Swedish-French relations depended for ten crucial years of the Thirty Years’ War (1618–1648). Only in 1644 did Queen Christina recall Grotius to Sweden, relieving him of his ambassadorship. Grotius was offered a position in Sweden, but he declined it and decided to return to Paris. On his way back, however, a ship that was carrying him to Lübeck was wrecked on the Pomeranian coast, sixty miles from Rostock. After a journey of two days he arrived in Rostock with a fever and died there on 26 August 1645.
*See also* Diplomacy; Dutch Republic; Dutch Revolt (1568–1648); Law: International; Natural Law; Oldenbarneveldt, Johan van.
**Bibliography**
*Primary Sources*
Grotius, Hugo. *The Annals and History of the Low-Country Wars*. London, 1665. English translation.
———. *Briefwisseling*. Edited by P. C. Molhuysen. The Hague, 1928–2001. Rich correspondence in several languages.
———. *De Dichtwerken*. Edited by B. L. Meulenbroek. Assen, 1970–. Latin verse with Dutch translation and commentary.
———. *De Iure Belli ac Pacis Libri Tres*. 2 vols. Translated by Francis W. Kelsey. Oxford, 1925. Latin text and English translation.
———. *De Iure Praedae Commentarius*: Commentary on the Law of Prize and Booty. 2 vols. Trans. Gwladys L. Williams and Walter H. Zeydel. Oxford, 1950. Latin text and English translation of the work Grotius knew as *De Indis*.
*Secondary Sources*
Haakonssen, Knud. “Hugo Grotius and the History of Political Thought.” *Political Theory* 13 (1985): 239–265.
———. *Natural Law and Moral Philosophy: From Grotius to the Scottish Enlightenment*. Cambridge, U.K., and New York, 1996.
Knight, W. S. M. *Life and Works of Hugo Grotius*. London, 1925. Reprinted New York and London, 1962.
Ter Meulen, Jacob, and P. J. J. Diermanse. *Bibliographie des écrits imprimés de Hugo Grotius*. The Hague, 1950.
GUICCIARDINI, FRANCESCO (1483–1540) Florentine historian and political thinker. Francesco Guicciardini was the greatest historian of the Renaissance. His family rose to prominence under the Medici regime (a nascent *principate* operating behind a republican facade). During his lifetime the Medici were expelled from Florence and a republican regime restored (1494–1512), two members of the Medici family were elected to the papacy (Leo X and Clement VII), the Medici regained control of Florence (1512–1527) but lost it again briefly (1527–1530), and finally established themselves as hereditary princes. In external affairs, a French army invaded Italy in 1494, and the Valois monarchy subsequently attempted to establish hegemony there, but was challenged and ultimately defeated by the supranational Habsburg empire of Charles V, which from c. 1530 exercised hegemony in the peninsula. Guicciardini, who was trained as a lawyer, served the Medici papacy as a senior administrator, and was a participant in the vicissitudes of the Habsburg-Valois wars in Italy, which he narrated in his last and greatest work, the *Storia d'Italia* (History of Italy), composed in the late 1530s. Within Florence, the pressure of events and the conflict of interests created a political debate of such intensity that a cohort of Florentines led by Niccolò Machiavelli (1469–1527), and including Guicciardini, virtually founded the modern tradition of political thought. During the early modern period, Guicciardini was known throughout Europe for his *History of Italy*, and for his *Ricordi* (Maxims and reflections). In the nineteenth and twentieth centuries all of his writings were published, providing a much more complex picture of the man, and at the beginning of the twenty-first century new editions, translations, and studies continue to appear.
Guicciardini’s early *Storie fiorentine* (Florentine histories) deals mainly with the Florentine experiment in broadly based republican government that began in 1494 and, despite many difficulties, was still in existence at the time of writing (1508–1509). Over three thousand Florentine males were permanent members of the voting assembly on which the political system was based—an extraordinarily high number in comparison to most other European states at that time, though a small fraction of the population. But political participation and influence were strongly correlated to social position, so most of the leading individual actors were members of prominent families, had aristocratic views, and favored a stronger role for the executive and the creation of a permanent senate to represent their interests, while a few supported the Savonarolan movement and others collaborated secretly with the Medici.
In 1512 Guicciardini drafted his first political treatise, the *Discorso di Logrognio* (Discourse composed in Logrognio), a set of proposals for refining the republican government. Guicciardini’s outlook was broadly that of his fellow aristocrats, but his real concern was to ensure that perceptive and experienced men would prevail over the foolish and the inexperienced in the business of government. Like Machiavelli, Guicciardini tried throughout his life to gain an intellectual grasp of how political and military events are determined. They did not have modern social science to aid them, or any experience of parliamentary government by organized political parties, but they were imbued with ancient Greek and Roman literature on war, politics, and conquest, and their own experience of war and politics was much closer to that of the ancient world than it was to that of people living in the nineteenth, twentieth, or twenty-first centuries. Hence they placed great emphasis on the character of individual leaders and their advisors, and the process of deliberation. Guicciardini did exercise power directly, but not in the context of Florentine politics. He was a senior administrator in the northern part of the Papal States (somewhat like a Roman proconsul, or a colonial governor), and his *Ricordi* are largely based on that experience. Each of them is a gem of insight into character and conduct, prudent choice of course of action, and the mutability of fortune.
Yet the problem of Florence never left Guicciardini’s mind, and in the 1520s he returned to it yet again in his *Dialogo del reggimento di Firenze* (Dialogue on the government of Florence), which is set in late 1494. Four Florentine leaders debate the good and bad aspects of Medici rule and the prospects for the current broadly based republican regime, and the one with the most foresight (i.e., the one whom Guicciardini endows with his own hindsight) is also the most pessimistic. Machiavelli in the *Discourses on the First Ten Books of Livy* (written c. 1514–1520) used the ancient Roman republic, the most successful conquest state in European history, as a standard against which to assess the situation of the states of modern Italy; Guicciardini responded with a short set of *Considerations on Machiavelli’s Discourses* (written c. 1530), in which he emphasized the uniqueness of every historical situation and the consequent illegitimacy of analysis and prescription based on a paradigm case.
The theme of the *History of Italy* is not politics as such but European interstate conflict during the epochal period from 1494 to about 1530. The modern state was coalescing throughout western Europe, and the European state system was assuming the dynamic form it was to retain throughout the early modern period. Italy became the theater and victim of Habsburg-Valois conflict because its own sophisticated state system was too small in scale to withstand the impact of the large armies led there, or sent there, by the monarchs of France and Spain. One reason for the work’s classic status is Guicciardini’s ability to marshal the tumult of events into a vast narrative. Another is his profound insight into the complex, systemic way overall outcomes are determined, as numerous individual decision makers and their advisors throughout Italy and Europe, with all their personal idiosyncrasies, continually assess the intentions, capacities, words, and deeds of all the others, and choose their own courses of action.
*See also Florence; Habsburg-Valois Wars; Historiography; Machiavelli, Niccolò; Political Philosophy; Republicanism.*
**BIBLIOGRAPHY**
**Primary Sources**
Guicciardini, Francesco. *Dialogue on the Government of Florence.* Translated with introduction and notes by Alison Brown. Cambridge, U.K., and New York, 1994. In the same year a new, thoroughly annotated edition of the original text was published: *Dialogo del reggimento di Firenze.* Edited by Gian Maria Anselmi and Carlo Varotti. Turin, 1994.
———. *The History of Florence.* Translated by Mario Domandi. New York, 1970. Translation of the *Storie fiorentine dal 1378 al 1509.* The most recent edition of the original text is *Storie fiorentine dal 1378 al 1509.* Edited by Alessandro Montevecchi. Milan, 1998.
———. *The History of Italy.* Translated and abridged by Sidney Alexander. New York, 1969; Repr., Princeton, 1984. A number of good, annotated editions of the original, *Storia d’Italia,* are available from Italian publishers.
———. *Maxims and Reflections of a Renaissance Statesman.* Translated by Mario Domandi. Introduction by Nicolai Rubenstein. New York, 1965; Philadelphia, 1972. Translation of *Ricordi politici e civili.*
Machiavelli, Niccolò, and Francesco Guicciardini. *The Sweetness of Power: Machiavelli’s Discourses and Guicciardini’s Considerations.* Translated with introduction by James V. Atkinson and David Sices. Dekalb, Ill., 2002.
**Secondary Sources**
Gilbert, Felix. *Machiavelli and Guicciardini: Politics and History in Sixteenth-Century Florence.* Princeton, 1965.
Moulakis, Athanasios. *Republican Realism in Renaissance Florence. Francesco Guicciardini’s* Discorso di Logroño. Lanham, Md., 1998. A wide-ranging assessment of Guicciardini from the perspective of the history of political thought, with an English translation of the *Discorso.*
WILLIAM McCUAIG
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**GUILDS.** The guild, a formal organization of craftspeople, held an important place in a theoretical system of order called corporatism that emerged in the late Middle Ages in Europe and survived until the late eighteenth and early nineteenth centuries. Medieval guilds began as devotional and mutual aid societies, but by the early modern period they had become identified with governance as well as with the regulation of economic activities. Guild masters responded to indiscipline in the workplace by drafting statutes or guild bylaws. Municipalities, and eventually monarchs, sanctioned these statutes for a fee, oversaw their enforcement by imposing fines for transgressions, and increasingly conferred legal status upon the guilds.
Corporatism laid out organizing principles that shaped social, political, and economic organization, embracing the concept of paternalism and restricting competition to preserve the livelihood of artisans and channel quality goods, fairly priced, to the consuming public. In keeping with these principles,
monopoly over the manufacture and sale of particular items was a privilege widely protected by guild statutes. Statutes also frequently regulated the labor supply to reduce competition among masters, restricting the allowable number of journeymen a master might employ.
Guilds also had a social function. Membership placed an artisan—master, journeyman, apprentice, or widow—in the finely graded hierarchy that structured Old Regime society. Such a system was equally a power structure, and distinction and difference issued from a concern among male masters for subordination of inferiors, be they journeymen, apprentices, wageworkers, or women. Numerous provisions in guild statutes throughout Europe focused on status, above all by strictly regulating the access of workers to the corporation and to mastership within it. They also increasingly excluded women. Escalating fees, extended periods of apprenticeship, and the continuing refinement of masterpieces all pointed to a mounting preoccupation with discipline and a growing hierarchization in the world of work; the barriers between male and female, master and journeyman (that is, a worker with some institutional claim to guild membership), and journeyman and nonguild worker (those with no guild membership whatsoever) were being raised higher than ever before. Master guildsmen and the political authorities shared these values of institutionalization, and their common interests came together in the formulation of the corporate regime, enshrined in part in guild statutes.
**EXPANSION OF THE GUILD REGIME**
Guilds proliferated throughout Europe from the fifteenth to the seventeenth centuries; in some places such as Sweden and Austria the high point was reached in the eighteenth century. The fifteenth century was a time of corporate expansion in most French towns, and the sixteenth century witnessed a similar development in the towns of the southern Netherlands and England, where expansion continued into the seventeenth century. The towns of the new United Provinces in the northern Netherlands, for example, had few guilds before the seventeenth century, but by 1700 there were about two thousand. The German “home towns” of the seventeenth and early eighteenth centuries—polities that were relatively independent of external political authority and held between one thousand and five thousand inhabitants—epitomize the early modern European guild system. The guilds in these locations were political, economic, and social entities. All possessed statutes that stipulated, as elsewhere, the nature and duration of apprentice training, regulations for recruitment of workers and their distribution among the shops of the town, and monopolies. Guild masters enforced these rules with the sanctioning of the municipality. Regulating economic competition had the higher goal, however, of securing community peace and maintaining the social order. This order was rooted in social position defined by *Ehrbarkeit* or ‘honorable status’. Guild masters everywhere, not just in the home towns, possessed this quality, characterized by “the respect of the respected,” and jealously guarded it, for it defined one’s exclusive position at the upper levels of society.
**GUILDS AND ECONOMIC REGULATION**
Determining the role that regulation played in economic practice has formed the research agenda of many historians of the early modern period, and the function of guilds is a central concern in this inquiry. Guilds were empowered and enjoined by municipal, ducal, ecclesiastical, or royal governments to regulate the economy—workshop inspections and access to courts are evidence of this. Many instances of artisans’ workshops being searched for illegal materials or unacceptable workmanship can be cited, as can examples of litigation between guilds over encroachment of monopolies. The high-water mark of regulation came in the late seventeenth century and is best illustrated by the policies of the French finance minister Jean-Baptiste Colbert (1619–1683) and his immediate successors. Between 1673 and 1714 in France, the crown enacted 450 *règlements*, or rulings, on manufacture, and another 500 on the policing of the guilds and on jurisdictions between them. Similar regulatory policies were imitated by nearly every state in eighteenth-century Europe.
Historians have long been aware of this regulatory system but only recently have they probed its actual impact on economic activity. Indeed, historians now point to overwhelming evidence that reveals that in many places, normal economic practice was largely beyond regulation, as it comprised a flexible and spontaneous mixture of licit and illicit
activity in production, distribution, and consumption. The early modern craft economy was too dynamic to be contained by regulation, since illegal activities such as operating multiple shops, smuggling, unlicensed peddling, and clandestine workers working outside of guilds proliferated. In 1748 in Amsterdam, for instance, nonguild workers—both male and female—were making more clothes than master tailors.
So what can we conclude about guild regulation and the craft economy? Certainly guilds did not suffocate the free-market economy. The regulatory regime, however, was not totally ineffective or irrelevant. Rather, it was extremely flexible, responding to the various needs of artisans and governments. There were different kinds of markets in the early modern economy, and regulation fit differently in them. There was the sprawling, heterogeneous, and unregulated clandestine and illegal craft economy. Alongside this economy there was the licensed one, but even here within the official organization of the guild we find ample room for flexibility and economic growth. Indeed, within this official, “regulated” structure, masters of the same guild competed with one another, even inviting regulation of their products as a form of advertising their quality precisely so that they could have an advantage over fellow guildsmen.
FROM CORPORATISM TO LIBERALISM:
THE END OF GUILDS
Corporatism and guilds were embodied in most polities of early modern Europe. Guilds were simultaneously empowered by political authorities and rendered vulnerable to them, and so if these political authorities abandoned corporatism, guilds would disappear. In the eighteenth century, corporatism was increasingly challenged by a rival system, liberalism, and as governments came to embrace the principles of free trade and unregulated markets, corporatism was eventually displaced. Such a displacement, however, was hardly rapid or unconflicted. There was considerable ambivalence within the ranks of political authority about just what liberalism was and how it might be implemented. An episode involving the French controller general of finance, Anne-Robert-Jacques Turgot (1727–1781), illustrates this confusion. Turgot attempted to abolish the guilds in February 1776 and was abruptly dismissed in May. An advocate of free trade and therefore an opponent of the regulatory corporate regime, he saw guilds as impediments to growth in the French economy and asserted that abolishing them would liberate commercial and industrial activity. Turgot, however, was not thinking in simply narrow economic terms; nor were his opponents, the staunch defenders of corporatism. Both parties were fundamentally concerned with preserving social order, but equally fundamentally disagreed on how best to secure such order. Turgot sought to replace what he thought was the unnatural and stultifying hierarchy of corporatism with a natural and free one, and so he had no sympathy for his opponents, who clamored that his edict would dissolve the bonds of subordination and invite anarchy. Turgot assumed that masters and workers would form natural hierarchical relationships in the marketplace, that the natural law of the market would maintain order. Corporatists countered that Turgot’s natural hierarchy was a dangerous illusion, and because the principle of incorporation linked all of France in a chain that led directly to the throne, to sever one link (as with the abolition of the guilds) would cut the chain and ultimately destroy the entire system and even the monarchy itself.
Turgot lost the battle, but liberalism eventually won the war. Over the long run liberalism did prove corrosive to corporatism in general and to guilds in particular, as attested by the liberal-inspired legislation in the late eighteenth and nineteenth centuries abolishing guilds all across Europe. The assault on corporations may have been largely inspired by demands for free trade and unregulated markets, but guilds were more than simply economic entities; rather, they were a fundamental unit of the entire early modern system of social representation and social control. Their dissolution, therefore, had widely felt cultural ramifications. As guilds disappeared, the very nature of the artisanry, and the identity of the artisan, was redefined.
See also Artisans; Liberalism, Economic; Proto-Industry.
BIBLIOGRAPHY
Black, Antony. *Guilds and Civil Society in European Political Thought from the Twelfth Century to the Present*. Ithaca, N.Y., 1984.
Chevalier, Bernard. “Corporations, conflits politiques et paix sociale en France aux XIVe et XVe siècles.” *Revue historique* 268 (1982):17–44.
Crossick, Geoffrey, ed. *The Artisan and the European Town, 1500–1900*. Aldershot, U.K., 1997.
Farr, James R. *Artisans in Europe, 1300–1914*. Cambridge, U.K., and New York, 2000.
Kaplan, Steven L. *The Bakers of Paris and the Bread Question, 1700–1775*. Durham, N.C., 1996.
Mackenney, Richard. *Tradesmen and Traders: The World of the Guilds in Venice and Europe, c. 1250–c. 1650*. Totowa, N.J., 1987.
Prothero, I. J. *Artisans and Politics in Early Nineteenth-Century London: John Gast and His Times*. Baton Rouge, La., 1979.
Sewell, William H., Jr. *Work and Revolution in France: The Language of Labor from the Old Regime to 1848*. Cambridge, U.K., and New York, 1980.
James R. Farr
GUISE FAMILY. The Guise lineage was the product of the dynastic convolutions of the Houses of Lorraine and Anjou in the fifteenth century. René II, duke of Lorraine (1451–1508), passed his lands in the kingdom of France to his second son, Claude I, count of Guise (1496–1550), who was naturalized French in 1506, but the Guise never forgot their dynastic claims to Scotland, Provence, and Naples. Claude made a good marriage in 1513 to Antoinette de Bourbon, eldest daughter of François de Bourbon-Vendôme. Although he was not an intimate of King Francis I (1494–1547), he was rewarded with the elevation of the county of Guise to a duchy in 1526; his credit peaked around 1538
when he married his eldest daughter, Marie (1515–1560), to James V, king of Scotland (1512–1542). Control of ecclesiastical patronage was at the heart of Guise power throughout the sixteenth and seventeenth centuries. It was under René’s third son, Jean (1498–1550), that the foundations of a formidable ecclesiastical empire were laid. Jean possessed six abbeys and six dioceses, including the archbishopric of Reims, the most prestigious in France, which was held by various members of the family from 1533 until 1641.
On his death, Claude I de Guise left ten children to be provided for, and the favored position enjoyed by his brother in the French church was exploited to the full in order to prevent the fragmentation of the patrimony. The eldest son, François (1519–1563), became duke of Guise and shared the temporal inheritance with his younger brothers, Claude II, duke of Aumale (1526–1573), and René, marquis of Elbeuf (1536–1566), each of whom founded important lineages. The remaining sons and daughters were designated for the church at an early age; Charles (1525–1574), the second son, inherited the benefices of his uncle Jean, and the fourth son, Louis (1527–1578), became bishop of Troyes in 1545 and later cardinal of Guise.
François de Guise and his brother Charles, cardinal of Lorraine, were well provided for in the palace revolution that marked the accession of Henry II. Although both were admitted to the privy council, they did not achieve the intimacy that marked the relationship between Henry and Constable Anne de Montmorency. The king’s mistress, Diane de Poitiers, sought to counterbalance her lover’s dependency on Montmorency by patronizing the Guise. Rivalry between the factions was at its most bitter over control of foreign policy. François’s military reputation, first signaled at the siege of Metz (1552) and crowned by his capture of Calais (1558), was complemented by Charles’s skills as a financier—he was reputed to be the richest man in France—and diplomat. Guise influence reached its height with the marriage of their niece Mary Stuart to the dauphin in 1558. When he ascended to the throne as Francis II a year later, the Guise dominated power. However, their authority was challenged by the opposition of the Bourbon princes of the blood, the spread of heresy, and the collapse of royal finances. When Francis II died in
December 1560, the Guise were disgraced. Their reaction to heresy was mixed: the cardinal of Lorraine was a Catholic moderate interested in concord, but his brother, François, was more hard-line, and his retinue’s massacre of Protestants at Wassy in March 1562 signaled the start of the Wars of Religion. François’s own assassination by a Huguenot in 1563 hardened the family’s attitude to the Protestants and began a vendetta with the Montmorency clan that dominated the politics of the 1560s, ending with the murder of Admiral Coligny by François’s son, Henri (1550–1588), an act that sparked the Massacre of St. Bartholomew.
Financial difficulties and growing estrangement from Henry III led the Guise into alliance with Spain in the 1570s. When the heir to the throne died in 1584, Henri de Guise resurrected the Catholic League with Spanish money to combat the claim of Henry of Navarre to the throne. Henri de Guise mobilized a popular urban power base and took control of large parts of France, but he and his brother Louis II, cardinal of Guise (1555–1588), were murdered by the king at the height of their power. The Catholic League, now headed by the surviving Guise brother, Charles, duke of Mayenne (1554–1611), was weakened after initial success by war weariness and polarization between radical and moderate factions. Mayenne, unable to find a suitable Catholic candidate to replace Henry III, who had been murdered in 1589, compromised with Navarre in 1595, signaling the end of the league. The dynasty continued to be important in the seventeenth century but suffered through its conspiracies against Cardinal Richelieu, resulting in the exile of Charles, duke of Guise (1572–1640), in the 1630s and of his son Henri, the archbishop of Reims (1614–1664), in the 1640s.
See also Catholic League (France); Coligny Family; France; Lorraine, Duchy of; Richelieu, Armand-Jean Du Plessis, cardinal; St. Bartholomew’s Day Massacre; Wars of Religion, French.
BIBLIOGRAPHY
Bergin, Joseph. “The Decline and Fall of the House of Guise as an Ecclesiastical Dynasty.” Historical Journal 25 (1982): 781–803.
———. “The Guises and their Benefices, 1588–1641.” English Historical Review 99 (1984): 34–58.
Carroll, Stuart. “The Revolt of Paris, 1588: Aristocratic Insurgency and the Mobilization of Popular Support.” French Historical Studies 23 (2000): 301–337.
———. Noble Power during the Wars of Religion: The Guise Affinity and the Catholic Cause in Normandy. Cambridge, U.K., and New York, 1998.
———. “The Guise Affinity and Popular Protest during the Wars of Religion.” French History 9 (1995): 125–152.
Evennett, Henry Outram. The Cardinal of Lorraine and the Council of Trent: A Study in the Counter-Reformation. Cambridge, U.K., 1930.
Nugent, Donald. Ecumenism in the Age of Reformation: the Colloquy of Poissy. Cambridge, Mass., 1974.
Sutherland, N. M. “The Cardinal de Lorraine and the Colloque of Poissy: A Reassessment.” In Princes, Politics and Religion: 1547–1589. London, 1984.
STUART CARROLL
GUNPOWDER PLOT. See James I and VI (England and Scotland).
GUSTAVUS II ADOLPHUS (SWEDEN) (1594–1632; ruled 1611–1632), king of Sweden. Gustavus was the son of Sweden’s Charles IX and Christina of Holstein-Gottorp. He grew up in a particularly troubled time in Sweden’s history, during which his father led a successful rebellion to depose his nephew, Sigismund I Vasa, (1599) and then ruthlessly established his place as king. Gustavus was raised as his heir. He received a humanistic education, primarily from his tutor, Johan Skytte, and was schooled in the emerging Dutch ideas in warfare. Charles IX introduced him to political affairs early, and Gustavus represented the ailing king at the 1609 meeting of the parliament.
Only seventeen when his father died in October 1611, Gustavus’s succession was not entirely secure. Sigismund, who was king of Poland as Sigismund III Vasa, still hoped to regain the throne, and his half-brother, John, also had a claim. Gustavus’s younger brother, Charles Philip, was also a factor. More important, the high nobles were eager to recover the influence Charles IX had denied them. An ongoing war with Denmark made a decision vital. Gustavus paid for his recognition by agreeing to an accession charter that assured an elite in the nobility a share in governing through the Council of State (riksråd) and guaranteed the historic privileges of the noble estate, including tax exemption and a monopoly on offices. This deal embodied the ideas of aristocratic constitutionalism and was written by Axel Oxenstierna, the chancellor and a member of the council.
Two themes dominated Gustavus’s reign: war abroad and developments at home to support war. Peace was concluded with Denmark at Knäred in 1613, but on unfavorable terms that included a huge ransom for the return of Älvsborg, Sweden’s window on the west. War with Russia ended in 1617 with the Treaty of Stolbova, which assured Sweden’s control of the Gulf of Finland. The sporadic conflict with Poland in the 1620s was suspended by a truce, negotiated in 1629, which recognized Sweden’s gains on the south Baltic coast.
It was during this period that Gustavus introduced changes in recruitment, training, equipment, and battle tactics that earned him a place in the so-called military revolution of the seventeenth century. Realizing the problems inherent in mercenary armies, he created a force based heavily on Swedish provincial regiments, which were well trained and regularly paid. He adopted line formations in place of the traditional squares and drilled his troops for greater mobility. Firepower was crucial, he believed, and he increased the number of guns over pikes in the infantry and added numbers and mobility to his artillery. He preferred the defensive in battle, and his forces gained repeated victories by standing their ground and cutting attacking opponents to bits.
Alarmed by the Holy Roman Empire’s gains in Germany, Gustavus entered the Thirty Years’ War (1618–1648) in June 1630. At first his presence was unwelcome to the Protestants. Following the Battle of Breitenfeld (September 1631), however, he garnered more support and became increasingly central to the struggle. What he hoped to accomplish is unclear. Overthrow of the Habsburgs, the imperial crown, a Brandenburg-Vasa dynasty, security for Swedish interests in the Baltic, continued German disunity, territory, security for Germany’s Lutherans, and the legitimacy of his own claim to the throne in Sweden are all on the list. Whatever
the case, the issue became moot when Gustavus was killed in the Battle of Lützen in November 1632. He was succeeded by his only surviving heir, his six-year-old daughter Christina. Thereafter, direction of Sweden’s policy in Germany fell to Axel Oxenstierna.
During Gustavus’s reign, reforms that were designed to strengthen Sweden and provide the political and economic base for empire were instituted at home. A new royal court (Svea hovrätt, 1614) was introduced and similar courts created in Åbo and Dorpat. At the central level, government was organized around five “colleges” (chancery, treasury, justice, war, and navy). Regional government was based on districts (län) headed by governors to whom local officials were responsible. The organization and procedures of the parliament (riksdag), which increasingly became the point of contact between the king and the estates (ständer) (clergy, nobles, burghers, and farmers), were more carefully defined. New secondary schools (gymnasier) were established, and the country’s one university at Uppsala given better support. Economic development, especially trade, mining, and manufacturing, was encouraged, as was immigration, particularly by experts in government, business, and technology.
Long a subject of debate is the extent of Gustavus’s role in all of these developments. Excepting the army reforms, Axel Oxenstierna was probably the author of most of them, but they had Gustavus’s support. The chancellor, who believed in a powerful aristocracy, and Gustavus, who believed in a strong monarchy, worked together in harmony, each contributing to Sweden’s emergence as the major power in northern Europe.
See also Charles X Gustav (Sweden); Christina (Sweden); Military; Oxenstierna, Axel; Sweden; Thirty Years’ War (1618–1648); Vasa Dynasty (Sweden).
BIBLIOGRAPHY
Ahnlund, Nils. *Gustav Adolf the Great*. Translated by Michael Roberts. Princeton, 1940. Originally published in Sweden in 1932.
Oredsson, Sverker. *Gustav Adolf Sverige och Trettioåriga kriget*. Lund, 1992.
Ringmar, Erik. *Identity, Interest and Action. A Cultural Explanation of Sweden’s Intervention in the Thirty Years’ War*. Cambridge, U.K., 1996.
Roberts, Michael. *Gustavus Adolphus*. London and New York, 1992.
———. *Gustavus Adolphus and the Rise of Sweden*. London, 1973.
Byron J. Nordstrom
GUTENBERG, JOHANNES (Johannes Gensfleisch zur Laden; c. 1400–1468), the first European printer, inventor of movable type. Throughout the Middle Ages texts continued to be created and transmitted the way they had been in ancient Greece and Rome: by handwriting. Each manuscript (literally, ‘written by hand’) was a unique and individually made object. If one copy of a text existed, and a second was needed, it required a fresh round of handwork, taking about as much time to complete as the first copy had. Then about 1450, an entirely new technique of text-creation, typographic printing, was developed in Mainz by Johannes Gutenberg. Through his invention, multiple copies of the same text, whether of a single-page document such as a church indulgence, or of a massive book such as the Bible, could be produced in a workshop as part of a single, mechanized process of production. Within the next quarter century Gutenberg’s invention took firm root in Europe, and printed books became familiar objects for educated readers. Printing radically changed the tempo and scale of bookmaking: contemporaries remarked in amazement that as much could be printed in a day as a scribe could write in a year. This in turn affected the systems of book sales and distribution, book prices, readers’ expectations for the appearance of their books, and eventually all aspects of book culture.
In their layouts and letterforms the earliest printed books closely resemble, as they were meant to do, professionally written manuscripts of their time. Yet the way in which they were made is so different from handwriting that, although we know almost nothing about Gutenberg’s personality, we must believe that he had a rarely creative mind. The underlying idea of typography is the creation, in cast metal alloy, of multiple copies of every letter form in reverse, each standing on a rectangular shaft of about one-inch height so that they could be easily picked up and placed side by side to form lines of words, which then were arranged and blocked together to form entire type-pages of words. These type-pages were dabbed with a sticky black oil-based ink; a sheet of paper (or vellum, as the case may be) was laid over the page; and the paper and types were put under the plate of a screw-action press. The plate pressed the inked, reverse-image types strongly into the paper, leaving a sharp, forward-reading image of a full page of text in the paper. By successive inkings, as many copies as desired of that same type-page could be printed off, and gradually, multiple copies of a complete book were created, page by page.
The critical feature of Gutenberg’s invention was that after all the needed copies of a given page had been printed off, the types were cleaned of ink, loosened, and returned, one by one, into the type cases, each character going into its appropriate box, ready for setting more text. By means of this constant recycling, a relatively small amount of type, and thus a relatively small investment in time, labor, and metal, was sufficient to print hundreds of copies of a book of any length. For instance, a single type-page of the Gutenberg Bible would have amounted to about twenty pounds of metal, and a typical full case of type in one of the early printing shops may have weighed about sixty-five pounds. However, if the entire text of the Gutenberg Bible had been set in standing pages, the total weight of the types needed would have been more than twelve tons.
Fragments survive of several crudely produced editions of a Latin grammar, *Donatus*, and of a German prophetic poem, the *Sibyllenbuch*, which are probably the results of Gutenberg’s earliest typographic experiments. The massive Latin Bible commonly called the Gutenberg Bible, completed in 1455, was a much more expensive and ambitious project: a two-volume work, beautifully printed, of more than 1,200 large pages (approximately 16 by 11 inches). The Italian humanist Aeneas Sylvius Piccolomini, the future Pope Pius II (reigned 1458–1464), saw sample sheets of the Bible in Frankfurt am Main in the fall of 1454 and wrote enthusiastically to a friend in Rome about the high quality of the workmanship. He was told that some 180 copies were being made.
The chief investor in the Bible project was a wealthy Mainz citizen, Johann Fust (d. 1466). After the Bible was completed, Fust brought a successful lawsuit against Gutenberg, claiming that his investment had been partly diverted to other projects of Gutenberg’s. Fust and his son-in-law Peter Schoeffer went on to form their own successful printing shop in Mainz.
After the breakup with Fust, Gutenberg was able, with the aid of another Mainz investor, to continue his experiments in typography into the late 1450s. A potential drawback of his first invention was that, because the pages of type were only temporary, if a new edition of a text was called for, it had to be reset from the beginning, with time and costs equal to that of the first edition. In response to this, Gutenberg developed a second system of printing, whereby the composed pages of type were not printed from directly. Instead, the set types were used to make moulds, into which were cast thin metal strips, each bearing on its surface the raised impression of two lines of text. These strips were blocked together to make up type-pages, which went under the printing press. When the printing was done, the strips could be stored, page-by-page, so that if a new edition was called for, they could be quickly reassembled, without the time and cost of new composition.
Using this system, Gutenberg and his workers produced in 1460 two brief religious tracts and a massive Latin dictionary, the *Catholicon*. After Gutenberg’s death, the strips of the tracts were printed from once again (1469), and of the *Catholicon* twice again (1469 and 1473). Unlike the first invention of recycling types, this second invention of “frozen” types did not spread to other printing shops. Its near equivalent, stereotyping, was not developed until some 250 years later.
**THE SPREAD OF PRINTING**
In Gutenberg’s lifetime the technology of printing spread slowly, to Strasbourg, Bamberg, Cologne, and into Italy, reaching Rome in 1467. In the year he died, 1468, it may not have been clear to contemporary eyes that printing would soon become a substantial replacement for, rather than just a parallel alternative to, the traditional system of handwritten books. A much broader and more rapid spread began in 1469 and after, when printing was first introduced to the great trading city of Venice. By 1500, printing shops had been introduced to more than 250 European cities and towns, although
many of these were the sites for only brief experiments. Concurrently, a strong consolidation of shops began to form in a dozen or so cities—Venice, Paris, Milan, Strasbourg, Nuremberg, and others—which among them produced nearly two-thirds of the approximately 28,000 surviving printed editions of the fifteenth century. By contrast, from about 1475 onward, there was a rapid fall-off in the production of manuscript books.
In essence, the fifteenth-century printers and publishers produced, in the totality of their output, a kind of résumé of all the written culture of the western world that still had a wide currency in their own age: ancient authors and the Bible; the major writings and commentaries on theology, law, and medicine; sermon collections; liturgical and devotional books; confessionals and other manuals for priests. Many of the “best-selling” authors of the period, such as Cicero, St. Augustine, and St. Thomas Aquinas, had been dead for centuries. At the same time, the printers were capable of giving quick and wide currency to the events and concerns of the day. When Columbus returned from his first voyage to the New World in 1493, his report to King Ferdinand and Queen Isabella was rapidly translated into Latin and published in three Rome editions as a kind of brief newsletter.
The role of printing, from the earliest years, in creating a mass circulation of almanacs, prognostications, indulgences, and small vernacular writings of many kinds has often been underestimated because of the very low survival rate of these genres. For example, we know from a document that in 1500 a printer in Messina had produced more than 130,000 copies of indulgences for the bishop of Cefalù, yet not a single copy is known to survive.
See also Bible: Translations and Editions; Caxton, William; Printing and Publishing.
BIBLIOGRAPHY
Davies, Martin. *The Gutenberg Bible*. London and San Francisco, 1996.
Ing, Janet. *Johann Gutenberg and His Bible: A Historical Study*. New York and London, 1988.
PAUL NEEDHAM
GUYON, JEANNE-MARIE DE LA MOTTE. See Quietism.
GYPSIES. See Roma (Gypsies).
HABSBURG DYNASTY
This entry includes two subentries:
AUSTRIA
SPAIN
AUSTRIA
The Habsburgs were the princely family that provided the dukes and archdukes of Austria starting in 1282, the kings of Hungary and Bohemia from 1526 onward, and the emperors of Austria from 1804 to 1918. From 1438 to 1806 (with one interruption, 1742–1745) the Habsburgs were emperors of the Holy Roman Empire and from 1516 to 1700 kings of Spain. All dynastic politics hinge on fertile marriages. Without legitimate heirs, dynasties regularly fall into civil war or foreign conquest. While this was true for all the early modern monarchies, the House of Habsburg seemed for a time to have perfected dynastic practice. Emperor Maximilian I (ruled 1493–1519) cultivated the motto, “Bella gerant alii, tu felix Austria nube” (What others achieve by war, let you, happy Austria, achieve by marriage). This policy was most evident in the arrangements made by Emperor Frederick III (ruled 1440–1493) for his son Maximilian I, who first married Mary of Burgundy (1457–1482) in 1477 and produced a son, Philip I (called “The Handsome,” ruled Castile 1504–1506). Maximilian’s marriage to Mary created claims to the Burgundian inheritance in the Low Countries as well as the duchy of Burgundy itself. After Mary’s death in 1482, Maximilian married Anne of Brittany (1477–1514) by proxy in 1490, but this marriage was never consummated because in 1491 King Charles VIII of France (ruled 1483–1498) took Anne for himself. So in 1493 Maximilian married Bianca Maria Sforza, niece of Lodovico Sforza of Milan (1452–1508).
In all of these efforts one sees evidence of careful dynastic planning, which is even more obvious in the advantageous marriage Maximilian I arranged in 1496 for his son Philip I to Joanna (Juana) of Castile (ruled Castile 1504–1555; Aragón 1516–1555), the daughter of Ferdinand II of Aragón (ruled Sicily 1468–1516; Castile 1474–1504; Aragón 1479–1516; Naples 1504–1516) and Isabella of Castile (ruled 1474–1504). Although the unfortunate Joanna became mentally disordered in the early sixteenth century and was queen in name only, she bore six children, including the future Emperor Charles V (ruled 1519–1556; Charles I of Spain 1516–1556), who continued his family’s dynastic planning by marrying Isabel of Portugal (1503–1539) in 1526. Thus it was that, without major military conquests, Charles V came to inherit the Austrian and southwest German homelands of the Habsburgs, the Low Countries, Burgundy, Spain, and all the Spanish possessions (including Spain’s New World colonies and the Kingdom of Naples and Sicily). In 1519, after intense lobbying, he was also elected Holy Roman emperor, bringing sovereignty over most of the German lands. Such a family empire was obviously too large to control, and Charles spent much of his life fighting the kingdom of France and the Turks in the Mediterranean. He turned his Austrian homelands over to his brother
Ferdinand I (ruled 1558–1564), who pursued his own dynastic politics by marrying Anne, the daughter of Wladislav II, king of Hungary and Bohemia. Meanwhile his sister Mary married the son of Wladislav, King Louis II (ruled 1516–1526), who died childless at the battle of Mohács in 1526. This left Ferdinand I with a legitimate claim to both kingdoms, and from then until 1918 the Habsburgs were rulers of Austria, Bohemia, and those parts of Hungary not controlled by the Ottoman Turks.
What marriage could assemble, however, its failures could also destroy. This first became clear with Emperor Rudolf II (ruled 1576–1612), who failed to marry and was succeeded by his brother Matthias (ruled 1612–1619). Matthias married late in life but did not have children. When Matthias died, the stage was set for a bitter controversy over succession, especially in the Bohemian lands, where the crisis marked the beginning of the Thirty Years’ War (1618–1648). Habsburg dynastic policy ran into another snag when Emperor Charles VI (ruled 1711–1740) died with no surviving male heirs in 1740. Using a “Pragmatic Sanction,” he had arranged that his hereditary lands should go to his daughter, Maria Theresa (1717–1780), but this international agreement did not restrain King Frederick II of Prussia (ruled 1740–1786) from seizing Silesia and exciting the War of the Austrian Succession (1740–1748). Although Silesia was lost for good, Maria Theresa and her husband, Francis Stephen of Lorraine (Emperor Francis I, ruled 1745–1765), reestablished Habsburg rule over the Holy Roman Empire as well as in the Austrian, Bohemian, and Hungarian hereditary lands. Thus despite dynastic crises, strategic marriages decisively shaped the history of central Europe and nowhere more than among the Habsburgs.
See also Charles V (Holy Roman Empire); Charles VI (Holy Roman Empire); Ferdinand I (Holy Roman Empire); Ferdinand II (Holy Roman Empire); Ferdinand III (Holy Roman Empire); Francis II (Holy Roman Empire); Frederick III (Holy Roman Empire); Habsburg Territories; Holy Roman Empire; Joseph I (Holy Roman Empire); Joseph II (Holy Roman Empire); Leopold I (Holy Roman Empire); Maria Theresa (Holy Roman Empire); Matthias (Holy Roman Empire); Maximilian I (Holy Roman Empire); Maximilian II (Holy Roman Empire); Rudolf II (Holy Roman Empire).
BIBLIOGRAPHY
Hamann, Brigitte, ed. *Die Habsburger: Ein biographisches Lexikon*. 2nd ed. Vienna, 1988. Reprint, Munich, 2001.
Ingrao, Charles W. *The Habsburg Monarchy, 1618–1815*. 2nd ed. New York, 2000.
Mamatey, Victor S. *The Rise of the Habsburg Empire, 1526–1815*. New York, 1971.
Tanner, Marie. *The Last Descendant of Aeneas: The Hapsburgs and the Mythic Image of the Emperor*. New Haven, 1993.
H. C. ERIK MIDELFORT
SPAIN
Known to contemporaries as the House of Austria, the Habsburg dynasty succeeded the Trastámara dynasty (1369–1516) and ruled Spain from 1516 to 1700. Its earliest title, count of Habsburg, provides the name now used for it. Spanish kings placed “count of Habsburg” after their royal and ducal titles, which included king of Castile and León, Aragón, Valencia, Navarre, Sicily, Sardinia, Naples, and Jerusalem; archduke of Austria; duke of Burgundy, Brabant, Luxembourg, Milan, and more. Other titles with the status of count included Barcelona, Flanders, Holland, Tyrol, and Franche Comté, all preceding such lordships as the Basque Country and Indies East and West.
Their titles gave the Habsburgs a conviction of divine favor, with its concomitant obligations. The first Habsburg in Spain, Philip I (1504–1506), duke of Burgundy, was king-consort of Castile as husband of Queen Joanna I (“Joanna the Mad,” 1479–1555), third child of Ferdinand of Aragón (ruled 1479–1516) and Isabella of Castile (ruled 1474–1504). In 1496, Ferdinand, for diplomatic purposes, married Joanna to Philip, son of Holy Roman Emperor Maximilian I (ruled 1493–1519), and his own son, Prince John (1478–1497), to Maximilian’s daughter Margaret. He hardly expected that Joanna would inherit Spain, and that her son Charles I (Carlos I, ruled 1516–1556) would succeed to the Spanish thrones. Charles was born in 1500 in Ghent, where Maximilian influenced his upbringing. Maximilian and his father, Emperor Frederick III (ruled Holy Roman Empire 1452–1493; ruled Germany 1440–1493), developed a mystique about their dynasty, which included fictive genealogies tracing descent from Roman caesars and kings of Israel. Maximilian promoted the ideals
of chivalry and crusade, also dear to Ferdinand. To Spain’s court Charles bequeathed the elaborate etiquette of Burgundy.
On Maximilian’s death, Charles became Holy Roman Emperor Charles V (ruled 1519–1558). He vowed to uphold the Roman Catholic Church when he confronted Martin Luther at Worms. Differences with France involved him in dynastic wars; only in 1530–1541 did he find opportunity to crusade. He continued the marriage strategies of his grandfathers. His sisters married into Portugal, Hungary-Bohemia, France, and Denmark, his brother Ferdinand (1503–1564), to whom Charles ceded his Austrian holdings in 1522, also married into Hungary-Bohemia and founded the Austrian Habsburg line. The Spanish line remained senior. Charles’s sister Mary of Hungary acted as arbiter between Charles and Ferdinand, and succeeded their aunt Margaret as Charles’s regent of the Low Countries. Serving the absent ruler as viceroy or regent in his chief holdings became a family obligation.
Charles married Isabel of Portugal. Their eldest daughter, Maria, married her Austrian cousin, future emperor Maximilian II (ruled 1564–1576). Their youngest, Joanna, married the prince of Portugal. Maria, Maximilian, and Joanna served as regents in Spain. Charles acknowledged two bastards. The first, Margaret (1522–1586), eventually married the duke of Parma, grandson of Pope Paul III (1534–1549). Both she and her son Alexander Farnese served as regents in the Low Countries, as did Charles’s natural son, John of Austria (1547–1578), who also commanded Spain’s Mediterranean fleet. Male bastards, potential threats to the legitimate line, did not marry.
Charles’s heir, Philip II of Spain (ruled 1556–1598), married successively Maria Manuela of Portugal, mother of the unfortunate Don Carlos (1545–1568); childless Mary Tudor of England; Elisabeth de Valois of France; and his niece Ana of Austria, who mothered Philip III (1598–1621). Philip’s eldest daughter by Elisabeth, named Isabel, married her cousin Archduke Albert. Philip endowed them with the Low Countries, but when Albert died childless, title reverted to Spain, while Isabel continued as regent. Her sister Catalina (1567–1597) married Charles Emmanuel I of Savoy (1580–1630).
Philip brought four of Maximilian II’s sons to Spain for their education. Private instructions penned by him and Charles V became part of the family heritage. His monastery-palace, El Escorial, remains Spain’s enduring monument to the Habsburg dynasty.
Europe’s division between Catholic and Protestant limited Spain’s Habsburgs to marriages with consanguineous Catholic dynasties, primarily Austria and France. (Portugal ceased being an option while annexed to Spain [1580–1640].) Philip II considered marriage to Elizabeth I of England (ruled 1558–1603) for himself or an Austrian archduke if she became Catholic. In the early 1620s, Spanish diplomats dangled the prospect of marriage to an infanta, or princess, before Protestant Charles Stuart (ruled 1625–1649), who, as prince of Wales, traveled to Madrid only to be rejected.
Philip III married his second cousin Margaret of Austria. His heir, Philip IV (ruled 1621–1665), married French princess Elisabeth de Bourbon, but only a daughter, Maria Teresa (1638–1683), survived to marry Louis XIV of France (ruled 1643–1715), son of Louis XIII (ruled 1610–1643) and Philip IV’s sister Anne of Austria (1601–1666). Another sister married Emperor Ferdinand III (1637–1657), whose daughter Mariana married Philip after Elisabeth’s death. Mariana bore Charles II (ruled 1665–1700), and Margarita, who married her uncle Emperor Leopold I (ruled 1658–1705).
Philip IV embellished his court with the art of the Spanish painter Velázquez (1599–1660). He also sired bastards. One, Juan José de Austria (1629–1679; also known as John Joseph of Austria) served in military and viceregal offices for his father, and as minister to Charles II. Because Charles was sickly from birth, Juan José hinted that he should marry Margarita and reign if Charles died, outraging Philip. Charles first married Marie Louise d’Orléans, niece of Louis XIV, then Mariana of Neuburg, daughter of the elector palatine and sister of Leopold’s second wife, Eleanor.
Philip IV and Charles continued to employ brothers and Austrian relations as viceroys and regents, particularly in the Spanish Netherlands. Charles’s last representative there, Elector Max Emmanuel of Bavaria, married Maria Antonia, daughter of Margarita and Leopold.
Charles did not conceive an heir. Some thought him bewitched and tried exorcisms as a cure. Questions remain about his genes; his parents were uncle and niece, his grandparents cousins, his great-grandparents, all but one, Habsburgs. Austrian Leopold took charge of Habsburg fortunes, irritating Madrid, anxious about Spain’s future. Leopold considered the Spanish monarchy Habsburg patrimony, and promoted his second son by Eleanor, Archduke Charles, to succeed Charles. Louis XIV promoted his and Maria Teresa’s grandson Philip, duke of Anjou. Outside Spain and Austria, most favored a partitioned inheritance, with the son of Max Emanuel and Maria Antonia, Joseph Ferdinand, receiving Spain and the Indies, while Philip and Charles divided the rest. Charles accepted Joseph Ferdinand but not partition.
In 1699 Joseph Ferdinand died. Pressured by his council of state, Charles willed his inheritance to the Bourbon Philip of Anjou. When Charles died on 1 November 1700, the Spanish Habsburg dynasty became extinct. Spain’s fundamental law of female succession validated Philip V’s (ruled 1700–1724, 1724–1746) descent from Philip IV through Maria Teresa, regardless of her renunciation, toppling Leopold’s claim that Habsburg possessions passed only through the male line.
See also Anne of Austria; Charles I (England); Charles II (Spain); Charles V (Holy Roman Empire); Holy Roman Empire; Isabel Clara Eugenia and Albert of Habsburg; Joanna I, “the Mad” (Spain); Juan de Austria, Don; Leopold I (Holy Roman Empire); Louis XIV (France); Maximilian I (Holy Roman Empire); Maximilian II (Holy Roman Empire); Netherlands, Southern; Parma, Alexander Farnese, duke of; Philip II (Spain); Philip III (Spain); Philip IV (Spain); Spain; Spanish Succession, War of the (1701–1714).
BIBLIOGRAPHY
Brown, Jonathan, and John H. Elliott. *A Palace for a King: The Buen Retiro and the Court of Philip IV*. New Haven, 1980.
Elliott, John H. “The Court of the Spanish Habsburgs: A Peculiar Institution?” In *Spain and Its World, 1500–1700: Selected Essays*, pp. 142–161. New Haven, 1989.
Koenigsberger, Helmut G. *The Habsburgs and Europe, 1516–1660*. Ithaca, 1971.
Martínez Millán, José, ed. *La corte de Felipe II*. Madrid, 1994.
Redworth, Glyn, and Fernando Checa. “The Courts of the Spanish Habsburgs.” In *The Princely Courts of Europe*, edited by John Adamson, pp. 43–65. London, 1999.
Tanner, Marie. *Last Descendant of Aeneas: The Habsburgs and the Mythic Image of the Emperor*. New Haven, 1993.
Wheatcroft, Andrew. *The Habsburgs: Embodying Empire*. London, and New York, 1995.
PETER PIERSON
HABSBURG TERRITORIES. The Habsburg territories of central Europe were a diverse and far-flung assortment of lands ruled by the Austrian line of the House of Habsburg. Sometimes dubbed the Habsburg Monarchy by historians, this collection comprised an informal dynastic union of the Austrian Habsburg hereditary lands, or *Erblande* (acquired by the house in 1278), and the independent crownlands of both the Bohemian and the Hungarian Monarchies (added to its holdings in 1526). Less a state than a political agglutination occasioned by marriage alliances and international pressures, the Habsburg Monarchy was unlike any other.
LANDS AND PEOPLES
The medieval core of the Habsburg Monarchy, the Austrian hereditary lands, consisted of several large principalities and related smaller territories. Situated along the Danube River, “Austria” proper included the duchies of Upper and Lower Austria. To the south, “Inner Austria” included the nearby duchies of Styria, Carinthia, and Carniola, while the smaller principalities of Gorizia, Istria, and Trieste extended the realm to the Adriatic. Located far to the west were the county of Tyrol and “Further Austria,” or the *Vorlande*, consisting of the county of Vorarlberg (in the east), the Sundgau, the Breisgau, and Freiburg (in the west), and approximately one hundred scattered enclaves ruled by the Habsburgs in Swabia (in between), which included the oldest ancestral lands. Though largely German, the hereditary lands were by no means linguistically or ethnically homogeneous. To the west and south, segments of the population spoke various Romance languages: Ladin in Vorarlberg, Romansch in western Tyrol, and Italian in Trieste and southern Tyrol. Some areas to the south contained significant Slavic populations: Slovene was spoken in Carniola, as well as parts of Styria, Carinthia, and Gorizia, while Croatian was spoken in Istria. More significant, the Habsburgs ruled each of these territories individually, rather than collectively, and despite some grander pretensions, at times showed little interest in doing otherwise in the face of resistance—a pattern they would repeat elsewhere.
The five Bohemian crownlands had existed independent of Habsburg rule for close to five hundred years. They, like the Austrian lands, were politically diverse. Located to the north of the Austrian lands, they consisted of the largely Slavic kingdom of Bohemia and margravate of Moravia, in the south, and the largely German duchy of Silesia and margravates of Upper and Lower Lusatia, in the north. Nonetheless, each territory was linguistically and ethnically mixed. Bohemia and Moravia were predominantly Czech-speaking, with German-speaking minorities in some urban areas and along the western and northern periphery. Nearly all of the nobles and much of the populace in Lusatia and Silesia spoke German, although the Lusatian margravates contained significant numbers of Sorbs, Europe’s smallest Slavic ethnic group, and Silesia was home to a large Polish minority, as well as a smaller Czech one.
Like the Bohemian lands, Hungary had a long history as a medieval kingdom before Habsburg rule. The crownlands consisted of the central kingdom on the Danubian plain, mountainous Upper Hungary (Slovakia) to the north along the Carpathians, and Transylvania to the east. Closely associated with Hungary through a centuries-long personal union were the southwestern kingdoms of Croatia and Slavonia. Each territory was quite distinct from the others, with its own estates, laws, and linguistic or ethnic groups. Magyars (Hungarians) predominated in the Danubian plain, while Slavs did elsewhere. Regardless of their ethnic identity or location, political elites usually adopted Magyar speech and customs (less so in Croatia than elsewhere). In contrast, outside of the central kingdom, the peasantry spoke Slovak and Ruthene in the Carpathians; Croatian in to the southwest; and Romanian in Transylvania, where Magyars, Magyar-speaking Szekels, and “Saxon” Germans were also found. In addition, German-speakers could predominate in more urban areas throughout Hungary, and Serbs entered Croatian territory in increasing numbers as the Ottoman Turkish threat increased in 1529.
**POLITICS AND GOVERNMENT**
The Habsburg Monarchy of the early modern period had humble roots in the reign of Rudolf I (ruled 1273–1291), whose election as emperor of Germany signaled the slow rise of a minor noble house, and whose acquisition of Austria provided the core of his successors’ hereditary dominions. Although subsequent Habsburgs obtained the imperial title, few dramatic changes in the dynasty’s fortunes occurred until political marriages arranged by Emperor Maximilian I (ruled 1493–1519) began to bear fruit. In 1482 his son Philip I (ruled 1482–1506) inherited the Burgundian territories in the Low Countries from his mother. In 1516 Maximilian’s grandson Charles V (ruled 1519–1556)—who would inherit the Austrian territories and become emperor in 1519—added his mother’s Spanish kingdoms (along with their Italian and overseas possessions) to his father’s Burgundian holdings. In 1526 another grandson of Maximilian, Ferdinand I (ruled 1558–1564), to whom Charles had ceded the Austrian territories in 1521, secured his own elections to the Bohemian and Hungarian crowns when his brother-in-law King Louis II of Bohemia (ruled 1516–1526) died without an heir in battle with the Turks. Ferdinand would later become German emperor upon his brother’s abdication in 1556. It thus came to pass that the House of Habsburg had become divided into two lines, the Spanish and the Austrian, ruling lands far in excess of Maximilian’s late-fifteenth-century dreams.
Yet, the central feature of Habsburg rule over these territories was that it proceeded from a different constitutional basis in each one. For this reason, it is important to distinguish the central European Habsburg territories from the Spanish and Burgundian territories and from the German Holy Roman Empire. The successors of Charles V in Spain never ruled the central European lands, despite continuing family alliances, and the empire was a separate political entity that never became a Habsburg possession, even though the Austrian line provided it with a string of elected emperors. They played an important role in German affairs, and since portions of the central European lands belonged to the empire, they were simultaneously territorial princes within it, but the Habsburg Monarchy was not the same as the Holy Roman Empire of the German Nation. Instead, it was a wildly heterogeneous group of politically independent territories owing allegiance to the Habsburg dynasty.
Remarkably, the house managed to rule each land through traditional rather than centralized institutions, bringing each into a dynastic union with the others only by virtue of providing them with monarchs. Although this union created a limited
sense of shared purpose, the individual lands preserved their own identities, political forms, and administrative practices. Thus, in most cases, each land had a system of estates and a territorial diet, along with its own laws, privileges, and customs, all confirmed by succeeding Habsburg rulers.
In the Austrian hereditary lands, governors nominated by the estates and appointed by the prince served as the heads of territorial governments. Yet, greater power lay with the executive councils (*die Verordneten*) appointed by the estates of each land to oversee affairs whenever the diets were not in session. Ultimately, even more important to the functioning of government were local nobles, who were charged with implementing governmental decrees within their jurisdiction (*Herrschaft*), and who protected this responsibility as a right.
Rule in the Bohemian and Hungarian crownlands followed a similar pattern, with the diets enjoying even greater control over taxation, the appointment of officials, and the implementation of policy. The Bohemian Court Chancery, an estates’ institution staffed by Czech nobles, remained the
chief governmental organ of the kingdom. In Hungary, where significant noble privileges limited the scope of Habsburg initiatives, the diet retained control over the implementation of policy. Of course, in both kingdoms, the diets had the right to elect the monarch, although the so-called Renewed Constitution of 1627 abrogated this right in Bohemia, and the Hungarian Diet suspended it for as long as the House of Habsburg could produce a male heir. As was the case in the Austrian lands, the Habsburgs seldom challenged noble power in the estates (excepting Bohemia during the Thirty Years’ War), let alone at the local level, until well into the eighteenth century.
Other than the Habsburg court itself, the monarchy simply lacked transterritorial institutions, let alone a general assembly for all its lands. In the sixteenth century, Ferdinand I made a limited attempt to establish a more centralized government in Vienna when he created a Privy Council for policy, a Court Chamber for finance, and Court War Council for defense. In practice, however, only the Privy Council was truly transterritorial, but it was a consultative organ, lacking the power to enforce its decrees. Finance and defense were issues too entangled with territorial privileges for the Court Chamber and Court War Council to have any real effect; their authority in these areas could only be shared with their territorial counterparts. Complicating matters further, of course, were similar institutions in the German empire. In attempting to centralize, Habsburg rulers really had no choice but to create an additional level of administration—the household—to complement the imperial and territorial institutions already in place. Ferdinand’s successors did so, but structural realities always constrained their effectiveness. In any case, Ferdinand himself undermined hopes for lasting change when he divided his territories among his three sons in 1564, passing Bohemia and Hungary (along with the imperial title) to Maximilian II (ruled 1564–1576), Tyrol and Further Austria to Ferdinand, and the Inner Austrian territories to Charles. Only in 1619 would the territories again be united in personal union under Charles’s son Ferdinand II (ruled 1619–1637).
Nevertheless, despite the centrifugal forces at work, several centripetal forces contributed to the monarchy’s perseverance, not the least of which were the needs of international politics and the dynasty’s own attempts to foster a shared political culture around its own court. The Habsburg territories provided a bulwark against growing French power in the west and against a persistent threat from the Ottoman Turks in the southeast. The fact that the monarchy was decentralized only increased its appeal to its external allies and its internal nobility, since this status ensured that it would not become a greater threat to the status quo or territorial prerogatives. In fact, early attempts to centralize and consolidate Further Austria into a Swabian duchy by Maximilian I were thwarted, as were later attempts by Charles V and Ferdinand II to increase Habsburg authority in the German empire. Given this state of affairs, Habsburg rulers eventually forged an imperial ideology within their own territories by allying themselves with the Catholic Church and their landed nobility, fostering the interests of a universal church and the territorial estates (following the suppression of Protestantism) in order to secure the dynasty’s own interests. The result was a gradual increase in central authority, achieved through existing political institutions and increased reliance upon the court’s prestige. As R. J. W. Evans has argued in *The Making of the Habsburg Monarchy*, this alliance of crown, church, and estates facilitated the processes of Habsburg state building, even if the resulting polity little resembled the more homogeneous nation-states to the west.
**AUSTRIAN PIETY AND ENLIGHTENED ABSOLUTISM**
Habsburg attempts to consolidate authority proceeded in fits and starts, always limited by difficult political realities. In the sixteenth and early seventeenth centuries, Charles V, Ferdinand I, Maximilian II, Rudolf II (ruled 1576–1612), and Matthias (ruled 1612–1619) were all constrained by the Reformation in Germany. Nominally Catholic, each sought to support the Catholic Church against Protestantism, but each did so in ways that took into account not only genuine desires for compromise, but also their own reliance upon Protestant nobility in the empire and in the monarchy to turn back the Turkish threat.
Only Matthias’s successor, his cousin Ferdinand II, threw his unrestrained support behind the Catholic cause when religious affairs in the empire
had reached a point of crisis at the outbreak of the Thirty Years’ War (1618–1648), and Habsburg rule in Bohemia was threatened by a rival claimant to the throne. Pursuing harsh measures against the Bohemian rebels, Ferdinand also sought to secure Habsburg authority within the German empire. Although his attempts in the empire eventually fell short, measures against Protestant nobility in the Austrian hereditary lands and Bohemia proved lasting—a feat that makes him one of the most influential rulers in Austrian history. By the mid-seventeenth century, his son Ferdinand III (ruled 1637–1657) had effectively eliminated the Protestant threat in the Habsburg domains. Although noble privileges remained secure throughout the territories, they were enjoyed by nobles markedly different from the recalcitrant Protestants of the late sixteenth century.
From the crucible of religious antagonisms emerged a Catholic baroque culture that was integral to Habsburg absolutism. Still a bulwark against both France and the Ottoman Empire, the Habsburg Monarchy experienced both successes and failures, but the threat of internal dissent decreased with the consolidation of an invigorated imperial ideology. For during the reigns of Ferdinand II, Ferdinand III, Leopold I (ruled 1658–1705), Joseph I (ruled 1705–1711), and Charles VI (ruled 1711–1740), the Catholic piety of the Habsburg Monarch was turned into a public cult. Catholicism thus provided the language and form of state ritual and served to legitimate Habsburg rule within existing political structures. By creating a governmental ethos, “Austrian Piety” provided a model of religious and political practice to be emulated at court, bound the populace to the cause of Catholic baroque imperialism, and secured the foundations of the Habsburg state.
Ironically, from this context of Catholic ideology and traditional hierarchies emerged the top-down reforms of enlightened absolutism during the second half of the eighteenth century. During the reigns of Maria Theresa (ruled 1740–1780) and her son Joseph II (ruled 1780–1790), the ideas and institutions of baroque absolutism proved old and weak in comparison to new programs and structures in place elsewhere in Europe. Yet, neither Maria Theresa nor the bolder Joseph eliminated the traditional forms of Habsburg rule. Instead, they adapted them to increase their rationality, efficiency, and effectiveness. In maintaining the dynasty’s alliance with the Catholic Church and the estates, they preserved territorial autonomy and relied upon the prestige of the imperial court. With greater or lesser success, they transformed absolutism from a conservative force to a progressive one. Viewed from the nineteenth century, their actions were clearly not enough, but it is easy to underestimate their contemporary successes. Their reforms went both too far and not far enough. It should surprise no one that they were undermined not only by a resurgent traditionalism but also by an advancing modernism.
**THE MYTH OF CRISIS AND DECAY**
Confronted with the extreme diversity of the Habsburg Monarchy and its failure to embody western European political paradigms, some historians choose to depict it as doomed to unceasing crisis and decay. Yet, the monarchy not only withstood the difficulties confronting it during the sixteenth, seventeenth, and eighteenth centuries, weathering
the storms of Turkish invasions, religious discord, internal dissent, and continental wars, but also thrived, introducing political, social, and economic reforms and leaving a lasting cultural legacy. The monarchy’s problems were real enough, but it offered practical solutions in a part of the world accustomed to uniformity and largely unwilling to pursue it.
Despite enjoying less wealth and facing greater problems than other states, by the second half of the eighteenth century, the monarchy was still expanding its reach, fielded Europe’s largest army, posHABSBURG-VALOIS WARS. The Habsburg-Valois Wars of 1494–1559 were for a long time crucially intertwined with the Italian Wars. The latter arose from the instability of the Italian peninsula, which was divided among a number of vulnerable powers, but also from a new willingness of outside rulers to intervene. Initially, the most important was Charles VIII of France (ruled 1483–1498), who invaded Italy in 1494, capturing Naples the following March. Charles’s artillery particularly impressed contemporaries. Mounted on wheeled carriages, his cannon used iron shot, allowing smaller projectiles to achieve the same destructive impact as larger stone shot. This permitted smaller, lighter, and thus more maneuverable cannon.
Charles’s initial success aroused opposition both in Italy and from two powerful rulers who had their own ambitions to pursue: Maximilian I (ruled 1493–1519), the Holy Roman emperor, who ruled Austria and the other Habsburg territories, and Ferdinand of Aragón (ruled Sicily 1468–1516; Aragon 1479–1516; Naples as Ferdinand III 1504–1516; Castile, with Isabella, 1474–1504). Ultimately, Maximilian’s grandson, Emperor Charles V (ruled 1519–1558; ruled Spain 1516–1556 as Charles II), was to succeed to the Habsburg, Burgundian, Aragonese, and Castilian inheritances, creating a formidable rival to the Valois dynasty of France and ensuring that the wars are known as the Habsburg-Valois wars.
Ferdinand’s forces intervened in southern Italy in 1495, while Charles VIII was forced by Italian opposition to retreat, although an attempt to cut off his retreat failed at Fornovo (6 July 1495); the Italian forces of the League of St. Mark had numerical superiority but were poorly coordinated. Charles VIII’s successor, Louis XII (ruled 1498–1515), in turn invaded the Duchy of Milan in northern Italy in 1499, claiming it on the grounds that his grandmother had been a Visconti. Disaffection with French rule led to a rallying of support to Ludovico Sforza (1451–1508), but Louis was able to reimpose his power in Milan and to partition the
kingdom of Naples with Ferdinand in 1500. They fell out in 1502, and the French tried to take the entire kingdom, only to be defeated by the Spaniards at Cerignola (28 April 1503). The French-held positions were then captured, and Louis XII renounced his claims to Naples by the Treaty of Blois of 12 October 1505.
Cerignola was the first in a series of battles in which a variety of weapons, weapon systems, and tactics were tested in the search for a clear margin of military superiority. The state of flux in weaponry entailed a process of improvisation in the adoption and adaptation of weapons and tactics. In addition, perceived “national” differences were linked to fighting methods. The Swiss and Germans were noted as pikemen, equally formidable in offense and defense, but vulnerable to firearms. The French put their emphasis on heavy cavalry and preferred to hire foreign pikemen.
Italy was increasingly dominated by France and/or Spain, the only powers with the resources to support a major military effort. In contrast, other powers, especially Venice, defeated by Louis XII, Milan, the Swiss, and the papacy, took less important and independent roles. Pope Julius II (ruled 1503–1513) had formed the League of Cambrai in 1508 to attack Venice, but it was France’s role that was decisive in that war. The French defeated the Venetians at Agnadello (14 May 1509) and then overran much of the Venetian mainland. Italian rulers lacked the resources to match French or Spanish armies readily in battle. Instead, they adapted to the foreign invaders and sought to employ them to serve their own ends. Thus, there was no inherent conflict between these local rulers and foreign powers. Instead, the latter were able to find local allies.
At the same time, weaker powers could help affect the relationship between France and Spain. In 1511, Pope Julius II’s role in the formation of the Holy League with Spain, Venice, and England to drive the French from Italy led to a resumption of Franco-Spanish hostilities. The French beat the Spaniards at Ravenna on 11 April 1512, but opposition to the French in Genoa and Milan helped the Spaniards to regain the initiative, as did Swiss intervention against France. The French retreated across the Alps, while Ferdinand of Aragón conquered the kingdom of Navarre, which was to be a permanent gain.
In 1513, the French invaded again, only to be defeated by the Swiss at Novara on 6 June; the advancing Swiss pikemen took heavy casualties from the French artillery before overrunning the poorly entrenched French position. Left without protection, the French harquebusiers were routed.
Soon after coming to the French throne, the vigorous Francis I (ruled 1515–1547) invaded anew. He was victorious at Marignano (13–14 September 1515), the French cannon, crossbows, harquebusiers, cavalry, and pikemen between them defeating the Swiss pikemen, and occupied Milan until 1521, reaching a settlement with the future Emperor Charles V at Noyon in 1516.
However, the election of Charles as Holy Roman emperor in 1519 seemed to confirm the worst French fears of Habsburg hegemony, and in 1521 Francis declared war. The main theater of conflict was again northern Italy, although there was also fighting in the Low Countries and the Pyrenees. After their defeat at Bicocca (27 April 1522), the French position in northern Italy collapsed. In 1523 Venice felt that it had to ally with Charles. That year, however, invasion attempts on France from Spain, Germany, and England all failed to make an impact. In turn, Francis sent an army into northern Italy, which unsuccessfully besieged Milan before being driven out in early 1524 by the Habsburg forces.
In 1524 Charles again attempted to mount a concerted invasion of France with Henry VIII (ruled 1509–1547) of England and Charles, duke of Bourbon (1490–1527), a rebel against France. Such concerted invasions reflected the ambitious scope of strategic planning in the period although their lack of adequate coordination and failure testified to the limitations of operational execution.
In response, Francis invaded Italy again in October 1524, captured Milan, and besieged Pavia. The arrival of a Spanish relief army, however, led to the battle of Pavia (24 February 1525), in which the French were defeated and Francis captured. This was a battle decided by the combination of pikemen and harquebusiers, although it is not easy to use Pavia to make definitive statements about the effectiveness of particular arms. Even more than most
battles, it was confused, thanks to the effects of heavy early morning fog; in addition, many of the advances were both small-unit and uncoordinated, and the surviving sources contain discrepancies. As in most battles of the period, it would be misleading to emphasize the possibilities for, and extent of, central direction. Nevertheless, Spanish success in defeating repeated attacks by the French cavalry was crucial. Francis had attacked in a way that enabled the Spaniards to use their army to maximum advantage.
The captured Francis signed the Treaty of Madrid (14 January 1526) on Charles’s terms, enabling Charles to invest his ally Francesco Sforza (1495–1535) with the Duchy of Milan. Nevertheless, once released, Francis claimed that his agreement had been extorted, repudiated the terms, agreed with Pope Clement VII (ruled 1523–1534), Sforza, Venice, and Florence to establish the league of Cognac (22 May 1526), and resumed the war. This led to the sack of Rome by Charles’s unpaid troops in 1527, but repeated French defeats, especially at Landriano (20 June 1529), led Francis to accept the Treaty of Cambrai (3 August 1529), abandoning his Italian pretensions. Francesco Sforza was restored to Milan, but with the right to garrison the citadel reserved to Charles. The high rate of battles in this period in part reflected the effectiveness of siege artillery.
War that resumed after the death of Sforza in November 1535 led to a disputed succession in Milan. Francis invaded Italy in 1536, conquering Savoy and Piedmont in order to clear the route into northern Italy. However, the inability of either side to secure particular advantage led to an armistice in 1537, which became a ten-year truce in 1538. As this was on the basis of *uti possidetis* (‘retaining what was held’), Francis was left in control of Savoy, while in 1540 Charles invested his son (later Philip II of Spain) with the Duchy of Milan.
The rivalry between Francis and Charles continued and was stirred by Charles’s suspicion of links between Francis and the Ottomans. Francis, in turn, was encouraged by the failure of Charles’s expedition against Algiers in late 1541. Francis attacked northern Italy the following year, beginning a new bout of campaigning. The French defeated the Spaniards at Ceresole in Piedmont (11 April 1544). As at Pavia, any summary of the battle underplays its confused variety. As a result of both the hilly topography and the distinct formations, the battle involved a number of struggles. Each side revealed innovation in deployment in the form of interspersed harquebusiers and pikemen, the resulting square formations designed to be both self-sustaining and mutually supporting, although it is probable that, as yet, this system had not attained the checkerboard regularity seen later in the century. Bringing harquebusiers into the pike formations drove up the casualties when they clashed. The French cavalry played a key role in Francis’s victory.
Combined arms tactics are far easier to outline in theory than to execute under the strain of battle. The contrasting fighting characteristics of the individual arms operated very differently in particular circumstances, and this posed added problems for coordination. So also did the limited extent to which many generals and officers understood these characteristics and problems. The warfare of the period was characterized by military adaptation rather than the revolution that is sometimes discerned.
However, after Ceresole, a lack of pay made Francis’s Swiss mercenaries unwilling to fight for Milan. Indeed, the Spaniards retained their fortified positions in Lombardy. Instead, the decisive campaigning, although without a battle, took place north of the Alps. An invasion of eastern France by Charles V led Francis to accept the Peace of Crépy in September 1544. This success, and a truce with the Ottomans in October 1545, enabled Charles to turn on and defeat the German Protestants in 1546–1547. In this he was helped by French neutrality, a consequence of the secret terms of the Peace of Crépy.
However, Charles was unable to produce a lasting religious settlement and this led to a French-supported rising in Germany in 1552. Francis I’s successor, Henry II (ruled 1547–1559), exploited the situation to overrun Lorraine, while campaigning began in Italy. A truce negotiated in 1556 was short-lived, and conflict resumed in both Italy and the Low Countries in 1557. Spanish victories in the latter part of 1557 and 1558 at St. Quentin (10 August 1557) and Gravelines (13 July 1558) led Henry to accept the Treaty of Cateau-Cambrésis in
1559, which left Spain and her allies dominant in Italy. The Habsburgs had won the Italian Wars.
As in earlier periods, the wars of the 1550s in Italy saw not only a clash between major powers, but also related struggles involving others. Thus, Spain fought Pope Paul IV (ruled 1555–1559), and also supported Florence in attacking the republic of Siena in 1554; after a ten-month siege, Siena surrendered, to be annexed by Florence. This was an example of the extent to which divisions within Italy had interacted with those between the major powers; in 1552, Siena had rebelled against Spanish control and, in cooperation with France, seized the citadel from the Spaniards. Florence under the Medicis was, from the late 1520s, an ally of the Habsburgs.
The significance of the wars cannot be captured by a brief rendition of the fighting. The wars were more important for their political and cultural significance. They underlined the centrality of conflict in European culture and society and also helped ensure that Europe would have a “multipolar” character, with no one power dominant. The Habsburgs won, but France was not crushed. Thus Europe was not to be like China under the Ming and, later, the Manchu, or India under the Moguls.
See also Charles V (Holy Roman Empire); Charles VIII (France); Francis I (France); Habsburg Dynasty; Habsburg Territories; Italian Wars (1494–1559); Louis XII (France); Naples, Kingdom of; Valois Dynasty (France).
BIBLIOGRAPHY
Abulafia, David, ed. *The French Descent into Renaissance Italy, 1494–95: Antecedents and Effects*. Aldershot, U.K., and Brookfield, Vt., 1995.
Black, Jeremy. *European Warfare, 1494–1660*. New York, 2002.
Jeremy Black
HAGIOGRAPHY. In the wake of the Protestant and Catholic Reformations, when attitudes to the cult of saints provided one of the clearest boundaries marking the confessional divide for the people of early modern Europe, hagiographers were forced to refurbish and discipline their skills. However, the external spur of Protestant polemic (expressed most brilliantly and influentially perhaps in John Calvin’s *Traicté des reliques* [Treatise on relics] of 1543) was not alone responsible for this development. Far more significant than even the humanist critique by Juan Luis Vives (1492–1540) and other medieval collections of saints’ lives such as the *Golden Legend* (1265) was Roman Catholic liturgical reform. This principally took the form of an extensive pruning of the calendar of saints and lay at the center of the revision of service books such as the Roman Breviary (1568), the missal (1570), and the Roman Martyrology (1584). This was accompanied by extensive rewriting, in the spirit of concision and greater chronological precision, of the short Latin accounts of saints’ deeds read out at matins and by the more centralized control of the cult of saints.
Supervised jointly by the two papal standing committees of cardinals, the Congregation of the Holy Office (founded 1542) and the Congregation of Rites and Ceremonies, the reform of sanctity centered on the tightening up of canonization procedure and the closely related imposition of a clear hierarchy of devotion between “saints,” who could be universally venerated, and the “blessed,” who were only permitted local or regional public veneration. Whereas central regulation had previously been focused primarily on universal cults, particular devotions were now also subject to careful control. This compelled local churches (and religious orders) throughout the Roman Catholic world to account for their cults and devotions.
They did so for the most part by adopting a polemical weapon that had initially been unsheathed by the Protestants—history. The years 1552–1559 saw the publication of four major Protestant martyrologies by Ludwig Rabus, Jean Crespin, Adriaen van Haemstede, and John Foxe. All of them attempted to make sense of the persecution of their fellow coreligionists by inserting their experience in a firmly historical interpretative template. In the case of Foxe (1516–1587), his first English edition of the *Actes and Monuments* (1563) traced the contemporary Roman Catholic persecution of true believers back from the reign of “Bloody Mary”—Queen Mary Tudor (ruled 1553–1558)—to 1000 C.E.
Similarly, to evoke and justify the antiquity of their devotions, regional and local Catholic counterparts to Foxe and his colleagues deployed not just straightforward saints’ lives but also the full range of historico-literary conventions, which contemporaries grouped together under the umbrella term *historia sacra* (sacred history). Written in both Latin and the vernacular, these included civic chronicle, episcopal calendar, collective biography, sacred drama (both spoken and sung), and topographical description as well as individual saints’ lives (which not uncommonly appeared together with hagiographical readings from the relevant office—the religious service chanted or read by monks, nuns, and priests—by way of an appendix).
This renaissance in local or regional hagiography had its universal counterpart in the massive Jesuit initiative that is the ongoing *Acta sanctorum* (1643ff.; Deeds of the saints). The origins of this work lie with Héribert Rosweyde (1569–1629), in whose regional survey of holy men and women of his native Belgium (at that time ruled as the Southern Netherlands by the Spanish Habsburgs), the *Fasti sanctorum quorum vitae in belgicis bibliotecis manuscriptae* (1607; Deeds of saints whose manuscript lives are in Belgian libraries), he outlined his idea for what became the *Acta sanctorum*.
Proceeding according to the calendar year beginning on 1 January, the *Acta sanctorum*, under the direction of Jean de Bolland (1596–1665), sought to provide its users with the most authentic, philologically accurate (multiple) accounts of the lives of the saints treated (1,170 for January alone). Each account was prefaced by a historical commentary and followed by exhaustive explanatory notes. However, the very scale and learning of this project (fifty-three volumes from 1643 to 1794, providing coverage down to 14 October) should not detract from its utilitarian, down-to-earth purpose. Rosweyde sought to reassert the Roman Catholic identity of the southern provinces, which were then a “frontier” zone bordering the Calvinist northern provinces controlled by Holland, through the celebration of their saintly heritage. What he sought to achieve for Belgium in the *Fasti*, he hoped to achieve for the entire Christian world (including, by implication, those areas that had recently been lost to the Protestant heretics) in the *Acta*.
Robert Bellarmine (1542–1621), the leading Catholic controversialist of his age, criticized Rosweyde’s plan on the grounds that the *Acta*, through their very comprehensiveness, would provide too many hostages to fortune for the benefit of Protestant polemicists. Bellarmine held up as models the more selective, if still substantial, saints’ life collections by Luigi Lippomano (1500–1559) and Laurentius Surius (1522–1578). The former’s eight-volume *Sanctorum priscorum patrum vitae* (1551–1560; Lives of ancient and holy fathers) provided the basis for the latter’s even larger *De probatis sanctorum historiis* (1570–1573; Proven histories of the saints). Significantly, both authors had been intimately involved with combating Protestantism; Lippomano as papal nuncio to Germany (1548–1550) and Surius as a convert from Lutheranism. Each volume of Lippomano’s work contained an index relating particular passages to Roman Catholic dogma, while Surius sought to reclaim for Roman Catholicism its monopoly on the miraculous. Accordingly, the 699 lives he collected included accounts of no fewer than 6,538 miracles.
The latest scholarship has clearly demonstrated the protean role played by hagiography in early modern Europe as a focus of local, regional, or national pride as well as of confessional distinctiveness and spiritual food. To do justice to the very variety of the cultural work it carried out, it is more helpful to consider hagiography as a cluster of related literary genres than as a single one. Similarly, during this (or any earlier or later) period, the writing of saints’ lives is more easily defined by its content than its forms, which were as various as its uses. Rather than ask what it was, it is more helpful to ask what hagiography did in early modern Europe (and beyond).
*See also* Bellarmine, Robert; Biography and Autobiography; Martyrs and Martyrology; Reformation, Catholic.
**Bibliography**
Cochrane, Eric W. *Historians and Historiography in the Italian Renaissance*. Chicago, 1981. See especially Chapter 16, “Sacred History.”
Ditchfield, Simon. *Liturgy, Sanctity and History in Tridentine Italy*. Cambridge, U.K., 1995.
Gregory, Brad S. *Salvation at Stake: Christian Martyrdom in Early Modern Europe*. Cambridge, Mass., 1999.
HALLER, ALBRECHT VON (1708–1777), Swiss physician, anatomist, and poet. Haller was born in Bern, Switzerland, the youngest son of a lawyer. He began his medical studies in Tübingen in 1724, then moved to Leiden to continue his training under the famed Herman Boerhaave (1668–1738). After receiving his degree in 1727, Haller traveled in England, where he was enormously impressed with English science and literature; Paris, which he left in haste when pursued by authorities for dissecting cadavers in his rooms; and Basel, where he sojourned for two years, studying mathematics with the renowned Johann Bernoulli I (1667–1748) and teaching anatomy. Haller returned to Bern to practice medicine, but he was unsuccessful in obtaining an academic position and served as a librarian in the state library. During these early years Haller journeyed frequently through the Alps, collecting botanical specimens that led later to several publications on Swiss botany. Another result was Haller’s most well-known poem, “Die Alpen” (1728), which was published in 1732 in Versuch Schweizerischer Gedichte, a collection of his poems that went through several editions.
When the University of Göttingen opened its doors in 1736, Haller was selected as professor of anatomy, surgery, and medicine. He remained at Göttingen for seventeen years, during which he published his most significant work in physiology, proposing the concept of muscular “irritability,” in 1753. He developed one of the leading medical centers of Europe in Göttingen, was first president of its scientific society, and served as editor of an academic journal, in which he published some nine thousand book reviews.
One of Haller’s greatest ambitions was to be elected to the ruling governing council (the “small council”) in Bern, which would have catapulted him into the aristocracy. In 1753 he abruptly resigned his post in Göttingen to accept a minor administrative position in Bern. Named director of the saltworks in Roche five years later, Haller busied himself with public service but never advanced any further up the political scale.
Haller’s scientific work continued to advance, however, particularly through his observations on chick development. These led in 1758 to his conversion to the theory of preexistence of germs (the idea that God had created all future organisms at once). Haller had previously supported the opposing theory of epigenesis (the theory of gradual development at each instance of reproduction). Over the next few years Haller published his masterful eight-volume Elementa physiologiae corporis humani (1757–1766; Elements of the physiology of the human body), which furthered his program of uniting anatomy and physiology under anatomia animata (living anatomy).
Haller has been characterized as “the last universal scholar” of the Enlightenment. As a scientist he contributed to medicine, physiology, anatomy, embryology, and botany. He wrote articles for over thirty academic journals and published poetry, three political novels, and works on political theory and religious apologetics. Never one to shy away from controversy, he was involved in numerous disputes in science and philosophy. Throughout his life Haller held fast to a Newtonian vision of nature deeply rooted in morality and religion and rejected the more radical facets of Enlightenment thought.
See also Anatomy and Physiology; Boerhaave, Herman; Enlightenment; Scientific Revolution.
BIBLIOGRAPHY
Primary Source
Haller, Albrecht von. The Natural Philosophy of Albrecht von Haller. Edited by Shirley A. Roe. New York, 1981. Collection of primary and secondary sources.
Secondary Sources
Toellner, Richard. Albrecht von Haller: Über die Einheit im Denken des letzten Universalgelehrten. Sudhoffs Archive Beihefte, no. 10. Wiesbaden, 1971.
Wiswall, Dorothy Roller. A Comparison of Selected Poetic and Scientific Works of Albrecht von Haller. Bern, 1981.
SHIRLEY A. ROE
HALS, FRANS (c. 1581/85–1666), Dutch painter. Born in Antwerp, Hals emigrated to Haarlem with his family before 1591. There, he
learned his trade from the painter, theorist, and historian Karel van Mander (1548–1606) prior to van Mander’s death in 1606. As Hals did not enter the painters’ guild in Haarlem until 1610, it is possible that he trained with, or worked as a journeyman for, an additional master in the interim. Shortly before joining the guild, Hals married Anneke Harmensdochter, but was widowed in 1615. Two years later, Hals wedded Lysbeth Reyniers, with whom he raised fourteen children from both marriages. Perhaps in part to ease the strain of supporting his large family, Hals taught an unusually large number of pupils, many of whom went on to enjoy accomplished careers. Yet despite painting actively until the end of his life, Hals required subsistence from the Old Men’s Almshouse in Haarlem, whose regents he painted in 1664, before dying destitute in 1666.
During his long career Hals painted individual portraits, primarily of the Haarlem elite; group portraits of the local militia officers and regents of charitable institutions; and single figure genre paintings. In the 1610s and 1620s, Hals produced genre imagery and portraits concurrently. His portraits from this period were highly finished and crafted in fine detail, while his genre images were much more roughly executed. Hals’s pendants of Jacob Pietersz Olijcan and Aletta Hanemans from 1625 show precisely rendered embroidered damask patterning and elegantly transcribed lace borders at both the cuff and the collar. In contrast, the allegorical representation of hearing, *Boy Holding a Flute (Hearing)*, (1626–1628; Staatliches Museum, Schwerin) displays a summary description of the youth’s garments. Here, Hals employed broad sweeps rather than delicate lines to mark the white cuff, and the left shoulder between collar and jerkin is so roughly painted that the anatomical structure blurs into a series of juxtaposed swatches of color. When he devoted himself entirely to portraiture (from the late 1630s onward), Hals increasingly favored constructing his paintings from assemblages of unblended brushstrokes. In *Claes Duyst van Voorhout* (c. 1638; Metropolitan Museum, New York) Hals captured the play of light on the sitter’s gray jacket by layering short horizontal jabs of white and light yellow pigments rather than blending his brushwork to craft supple color gradations, as he had in his earlier portraits. By the 1660s, Hals’s
*Portrait of a Man* (Museum of Fine Arts, Boston) presents the sitter’s red kimono as a nearly flat surface of frenetic brushwork that shows little concern for the delineation of the body beneath it. Though not as rough as the sleeve, Hals composed the man’s face as a patchwork of largely unmodulated color on which shadow and highlight are set side by side but not blended together, leaving each individual touch exposed. Unlike the works of his contemporaries that exhibited meticulous surfaces of seamlessly woven brushwork, Hals’s late portraits recall the sketchy appearance of his earlier genre paintings.
Hals offered his viewers a naturalistic yet artful manner. As the historian Theodorus Schrevelius wrote in 1648, “His paintings are imbued with such force and vitality that he seems to surpass nature herself with his brush. This is seen in all his portraits . . . which are colored in such a way that they seem to live and breathe” (Schrevelius, p. 383). Hals’s distinct manner, seen, for example, in his sketchy contours, heightened the sense of the sitters’ activity, capturing not only his subjects’ appearance but also their vivacity. In his group portraits, such as *The*
Officers of the St. Hadrian Civic Guard from 1627 (Frans Halsmuseum, Haarlem), Hals further activated these pieces by dispersing the bustle across the canvas through a series of uniquely posed and engaged sitters. In both his group and individual portraits Hals’s unblended, broad strokes also exhibited the artist’s masterful facility in handling paint. It is highly likely that seventeenth-century audiences perceived Hals’s flourishes as marks of his virtuosity. In this way, Hals’s paintings could have been appreciated both as representations of individuals and as objects of art.
Regard for Hals’s paintings plummeted throughout the eighteenth century as his rough manner clashed with the period’s more refined aesthetic. It was not until the late nineteenth century that appreciation for Hals’s work was resurrected. At that time, painters like Manet and Van Gogh perceived Hals’s style to be highly individualized and thus modeled their own approaches upon his direct relationship to his sitters and admired his visible, bravura brushwork. This emulation of Hals by pioneering artists demonstrates the important role that Hals played in the construction of modern conceptions of art and artistry.
See also Netherlands, Art in the.
BIBLIOGRAPHY
Grimm, Claus. Frans Hals: The Complete Work. Translated by Jürgen Riehle. New York, 1990.
Schrevelius, Theodorus. Harleminas ofte, om beter te seggen, de eerste stichtinghe der stadt Haerlem. Haarlem, 1648.
Slive, Seymour. Frans Hals. 3 vols. Washington, D.C., 1970–1974.
Slive, Seymour, ed. Frans Hals. Exh. cat. Munich and New York, 1989.
CHRISTOPHER D. M. ATKINS
HAMBURG. Located along the Elbe River in northern Germany, Hamburg developed into one of the largest cities of the Holy Roman Empire. Between the latter half of the fifteenth century and the era of the Thirty Years’ War (1618–1648), it grew from about 10,000 to 50,000 inhabitants. In the early eighteenth century that number had risen to 75,000. By 1787 it reached 100,000, and in the era of French expansion, 130,000. The growth was not steady; for example, the plague years 1712 and 1713 cost many thousands of lives.
The city was a largely independent republic governed by a council of citizens, predominantly merchants and lawyers by profession. Since 1483 the right of political participation had been granted to eligible property-owning male inhabitants who swore an oath of citizenship. The year 1528 marked the successful and peaceful establishment of Lutheranism as the city’s official religion, after which only Lutherans enjoyed full political privileges. The reformer Johann Bugenhagen (1485–1558) composed a church ordinance for Hamburg, which was adopted in 1529. That year the city also underwent a major constitutional reform. Thereafter, the government was composed of a council (Rat or Senat) of twenty-four members and a college (Kollegium) of 144 citizens’ representatives, who came in equal numbers from the four parish districts of St. Jacobi, St. Nikolai, St. Petri, and St. Katarinen. With the addition in 1685 of a fifth district, St. Michaelis, the citizens’ college grew to 180 members.
Constitutional tensions grew throughout the seventeenth century because some factions of the citizenry felt the council wielded power autocratically. A major crisis came in 1699 when the traditional constitutional order was suspended under pressure from the guilds. The period of political experimentation ended in 1708 when imperial troops arrived to reestablish the old order. The result was the constitutional recess of 1712, in which council and citizens’ college were declared equal partners in Hamburg’s governance. This arrangement lasted until 1806.
Since the late fifteenth century the Danish monarchy had had hopes of forcing Hamburg to submit to its authority, and Danish forces even laid siege to the city unsuccessfully in 1686. The 1626 completion of the city’s modern fortress walls proved an advantage against Danish challenges, as well as against the conflicts of the Thirty Years’ War, during which Hamburg remained neutral and unscathed. Although Hamburg was ostensibly in the imperial orbit for most of the early modern era, it was not until 1768, when Denmark recognized the city’s independence, that it officially joined the ranks of the imperial free cities. Throughout its history Hamburg has been a major commercial port. Until
the Hansa dissolved in the seventeenth century, Hamburg was one of the long-standing members of the loose economic and political alliance. In 1558 it opened its stock exchange, the first in a German territory, and in 1619 its first merchant bank was founded. The city’s merchants shipped goods all across Europe, and by the end of the eighteenth century destinations included ports worldwide. Other major economic activities included whaling, insurance, sugar refining, textile production, and tobacco preparation.
By the seventeenth century confessional outsiders made up a significant minority of the city’s population, and non-Lutherans contributed in important ways to the city’s economy. For political and economic reasons the council allowed members of the best established of non-Lutheran communities (Calvinists, Catholics, Jews, and Mennonites) to settle in Hamburg. Nonetheless, because of pressure from Lutheran clergymen, religious minority communities were denied the privilege of practicing religious rites publicly in the city; non-Lutheran religious services were usually held in nearby Altona. This restriction on public worship was removed in 1785 for Calvinists and Catholics only. Non-Lutheran Christians could become citizens, albeit with limited rights of political participation. Probably the city’s best-known non-Lutheran resident was the Jewish diarist Glueckel von Hameln (1646–1724).
Among the city’s cultural leaders were Gerhard Schott (1641–1702), founder of the first public opera in the German territories; the organ builder Arp Schnitger (1648–1719); and the composers Georg Philipp Telemann (1681–1767) and Carl Philipp Emanuel Bach (1714–1788). Founded in 1765, the Hamburger Gesellschaft zur Beförderung der Künste und nützlichen Gewerbe (Hamburg society for the encouragement of the arts and useful crafts; also known as the Patriotische Gesellschaft or Patriotic Society) stands out among many institutions of
Enlightenment-era public life. Its founding members included the mathematics professor Johann Georg Büsch (1728–1800), the philosopher Hermann Samuel Reimarus (1694–1768), and the architect Ernst Georg Sonnin (1713–1794). The literary masters Gotthold Ephraim Lessing (1729–1781) and Friedrich Gottlieb Klopstock (1724–1803) both spent time in Hamburg. Philipp Otto Runge (1777–1810) is one of Hamburg’s best-known painters.
See also Free and Imperial Cities; Hansa; Holy Roman Empire; Lutheranism.
BIBLIOGRAPHY
Jochmann, Werner, and Hans-Dieter Loose, eds. *Hamburg: Geschichte der Stadt und ihrer Bewohner*. 2 vols. Hamburg, 1982.
Kopitzsch, Franklin. *Grundzüge einer Sozialgeschichte der Aufklärung in Hamburg und Altona*. Hamburg, 1982. Reprint, 1990.
Kopitzsch, Franklin, and Daniel Tilgner, eds. *Hamburg-Lexikon*. Hamburg, 1998. Reprint, 2000.
Lindemann, Mary. *Patriots and Paupers: Hamburg, 1712–1830*. New York, 1990.
Whaley, Joachim. *Religious Toleration and Social Change in Hamburg, 1529–1819*. Cambridge, U.K., 1985. Reprint, 2002.
*Zeitschrift des Vereins für Hamburgische Geschichte*. 1841–.
MICHAEL D. DRIEDGER
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**HANDEL, GEORGE FRIDERIC**
(1685–1759), German-born musician eventually hailed as “England’s national composer.” He was the first great composer who broke free of church and court patronage and earned a living directly from the public; England was perhaps the only country that could provide such support in his time.
Born Georg Friedrich Händel at Halle, Lower Saxony, on 23 February 1685, he was the son of a sixty-three-year-old barber-surgeon. His early talents persuaded his father to let him study music as well as law, and he took lessons from the local organist, Friedrich Wilhelm Zachau (1663–1712). After a year as organist of the Calvinist Domkirche (cathedral), he traveled to Hamburg, where he gained his first experience of opera, playing violin and harpsichord under the distinguished composer Reinhardt Keiser (1673–1739) and later composing operas and concertos. He then traveled to the fountainhead of music, Italy, where he stayed for nearly four years (1706–1710), dividing his time between Florence, Rome, Venice, and Naples. There he composed and performed music in many forms, developing the extroverted, cosmopolitan manner that so clearly distinguishes him from his contemporary Johann Sebastian Bach (1685–1750).
In January 1710 he took up an appointment as *Kapellmeister* (director of music) at the court of George, elector of Hanover (soon to become George I of England). In that year he paid his first visit to London, where he was commissioned to write an opera, *Rinaldo*, for the Queen’s Theatre in the Haymarket.
In the spring of 1712 Handel left Hanover for England, which was to be his home for the rest of his life, despite frequent visits to the Continent. He rapidly became the most sought-after composer in London. *Rinaldo* had been an astonishing success, and was decisive in the establishment of Italian opera as the chief entertainment of the British aristocracy. His *Te Deum*, performed on 7 July 1713, to celebrate the Peace of Utrecht, at once displaced Henry Purcell’s as the standard piece for royal and national celebrations. After a period as private musician to the earl of Carnarvon, later duke of Chandos (1717–1718), at Cannons, his recently built mansion at Edgware, Handel was engaged as the chief composer in a series of London opera schemes. The most brilliant was the Royal Academy of Music (1719–1727), which sponsored several of his greatest operas, including *Giulio Cesare* (1724) and *Rodelinda* (1725). He enjoyed the strong support of King George II and Queen Caroline, but became a political pawn in the running feud between the king’s Whig administration and the rival faction surrounding Frederick, Prince of Wales. He continued to produce operas until 1741, composing forty-two in all, but with fitful success.
Looking for a more stable source of support, Handel chanced on the oratorio. A pirated version of his *Esther*, written for Cannons in 1718, was mounted at a London tavern in 1733. Always a keen businessman, Handel competed, putting on a rival performance at the opera house with additional mumonuments of the religious sublime, playing down the subtle interplay of human character that had always been an important inspiration of his greatest dramatic music.
Handel’s ceremonial music epitomizes the grandeur and brilliance of the baroque. The *Royal Fireworks Music* and *Water Music* have proved to be the most durable occasional music ever written. He also contributed fine orchestral concertos, chamber works, keyboard music, and organ voluntaries, and was responsible for a new form, the organ concerto, originally played between the acts of his oratorios.
*See also Music; Opera.*
**BIBLIOGRAPHY**
Dean, Winton. *Handel’s Dramatic Masques and Oratorios.* London, 1959.
Lang, Paul Henry. *George Frideric Handel.* New York, 1966.
Smith, Ruth. *Handel’s Oratorios and Eighteenth-Century Thought.* Cambridge, U.K., 1995.
Nicholas Temperley
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**HANOVER.** Hanover was one of the most important territories in the Holy Roman Empire, situated in the Lower Saxon region (*Kreis*) of northern Germany. It was ruled from the twelfth century by the Guelphs (Welfen), a once-powerful family that declined through frequent dynastic partitions. There were generally two major lines, designated by their principal duchies in Lüneburg and Wolfenbüttel. The latter was initially more important and became more generally known as Brunswick (Braunschweig) by the eighteenth century. Both lines frequently subdivided, with the Lüneburg branch splitting into the duchies of Celle and Calenberg in 1641. Hanover developed from the latter, taking its name from its principal town where the ruling branch set up residence in 1636. The entire area was flat and primarily agrarian, particularly with the decline of the Lüneburg salt springs and the mining region bordering the Harz Mountains after the sixteenth century.
The introduction of the Reformation was violently opposed by Duke Henry of Brunswick-Wolfenbüttel (ruled 1514–1568) until he was defeated by the Protestant Schmalkaldic League bebetween 1542 and 1547. Thereafter, the Guelphs were solidly Lutheran and hoped to extend their regional influence by secularizing the neighboring prince bishoprics of Hildesheim, Osnabrück, and Paderborn. These ambitions drove them to ally first with Denmark, 1625–1629, and then with Sweden after 1631 during the Thirty Years’ War, but they lacked the strength for a truly independent policy and shared the local defeats of their allies. Forced to make peace with the emperor in 1641, the Hanoverians had to be satisfied with partial control of Osnabrück, where their rule alternated with that of a local Catholic bishop.
The groundwork for Hanover’s subsequent rise was laid by Duke John Frederick (1625–1679), who seized control of the duchy from his relations in 1665 and initiated a ruthless policy of military expansion, hiring troops to Venice, France, Spain, England, the Dutch Republic, and the emperor. His brother, Ernst August (1629–1698), continued this strategy after 1679, culminating in an alliance with Holy Roman emperor Leopold I. In return for substantial financial and military support against the Ottomans, Leopold made Ernst August an elector (*Kurfürst*), greatly increasing his prestige and influence within the empire. The ensuing controversy dominated imperial politics into the 1720s when an agreement was reached with the Wolfenbüttel line allowing them to inherit the new title if the Hanoverians died out. The other princes formally recognized it in 1708. Leopold also confirmed Ernst August’s introduction of primogeniture, paving the way for his successor, George Louis (1660–1727), to inherit Celle when that line died out in 1705, doubling his territory. Within ten years, the new elector, whose mother was the granddaughter of James I of England, was catapulted into the front rank of European royalty when he inherited the British crown as George I with the backing of the English Parliament in 1714. He continued to pursue a primarily Hanoverian policy, joining the war against Sweden to capture its German possessions of Bremen and Verden in 1715. With the acquisition of the tiny county of Bentheim in 1752, Hanover reached its maximum extent of 10,214 square miles (26,455 square kilometers), and its population climbed slowly to 800,000 by 1803.
While the king-electors still visited Hanover, they became progressively more British than German, leaving government to the local nobles, who had a strong sense of responsibility, self-esteem, and corporate identity. Their rule was slow, orderly and mild. Although the new university at Göttingen, founded in 1734 and opened in 1737, rapidly became a model of enlightened learning, government remained conservative. Hanover remained a strategic liability for Britain until it was seized by France in 1803. The connection to Britain was severed in 1837 when Hanover became an independent kingdom until its annexation by Prussia in 1866.
*See also* George I (England); Hanoverian Dynasty (England); Saxony.
**BIBLIOGRAPHY**
Birke, Adolf M., and Kurt Kluxen, eds. *England und Hannover = England and Hanover*. Munich, 1986.
Chance, John Frederick. *George I and the Northern War. A Study of British-Hanoverian Policy in the North of Europe in the Years 1709 to 1720*. London, 1909.
Dann, Uriel. *Hanover and Britain 1740–1760: Diplomacy and Survival*. Leicester, U.K., and Irvington, N.Y., 1991.
Hatton, Ragnhild. *George I: Elector and King*. Cambridge, Mass., 1978.
Hodgskin, Thomas. *Travels in the North of Germany: Describing the Present State of the Social and Political Institutions . . . 2 vols*. Reprint. New York, 1969. Originally published Edinburgh, 1820.
Schnath, Georg. *Geschichte Hannovers im Zeitalter der neunten Kur und der englischen Sukzession 1674–1714*. 5 vols. Hildesheim, 1938–1982.
Peter H. Wilson
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**HANOVERIAN DYNASTY (GREAT BRITAIN).** Under the terms of the 1701 Act of Settlement, on the death of Queen Anne on 1 August 1714 the joint crowns of England and Scotland fell to George Ludwig, elector of Hanover, a north German territory of medium size and power. He was the son of Sophie, the granddaughter of James I of England. George I, as he was styled in Britain, spoke no English and throughout his reign remained more attached to his native land (to which he frequently returned) than to his adopted kingdom, which he ruled until his death in 1727. He was succeeded by his son George II (ruled 1727–1760), now chiefly remembered for his military
valor. He became the last British monarch to lead his troops into battle in person, but at home he also had to fend off a serious challenge to his rule in the uprising led by Charles Edward Stuart ("Bonnie Prince Charlie") in 1745. George II's eldest son, Frederick, Prince of Wales, predeceased him, leaving the king's 22-year-old grandson to succeed him as George III. George was the first of the Hanoverians to be born in England, and he was to enjoy an exceptionally long reign of sixty years, which was, however, punctuated by crises overseas such as the loss of the American colonies in 1783 and the outbreak of the French Revolution in 1789. George III was followed on the throne by two of his sons (George IV [ruled 1820–1830] and William IV [1830–1837]) and his granddaughter (Victoria [1837–1901]), making the Hanoverian dynasty one of the most enduring in British history. Despite uprisings seeking the restoration of the male line of the house of Stuart in 1715 and 1745, the Hanoverian age marked a long period of relative domestic stability, which allowed Britain to become a major imperial power.
See also Anne (England); George I (Great Britain); George II (Great Britain); George III (Great Britain); Jacobitism.
BIBLIOGRAPHY
Ayling, Stanley. *George the Third*. London, 1972.
Brooke, John. *King George III*. London, 1972.
Hatton, Ragnhild. *George I: Elector and King*. London, 1978.
Newman, Gerald, ed. *Britain in the Hanoverian Age, 1714–1837*. New York, 1997.
Owen, John B. "George II Reconsidered." In *Statesmen, Scholars and Merchants*, edited by Anne Whiteman, John S. Bromley, and Peter G. M. Dickson, pp. 113–134. Oxford, 1973.
Trench, Charles Pocklington Chenevix. *George II*. London, 1973.
HANSA. The Hansa was a league of northern European cities that emerged in the fourteenth century. Along with other town leagues that predate the Hansa, such urban leagues became a common means for townspeople to extend their influence and establish favorable trading conditions at a time when broader state authority was generally too weak to provide needed assistance. The extremely loose Hanseatic confederation was made up largely of towns in the Holy Roman Empire, which enjoyed a great deal of political autonomy. The Hansa acted in concert to protect and promote the commercial position of the members. Lübeck was the leader and often the site of meetings of the assembly of town representatives, the *Hansetag*. It began to take joint action certainly by the late thirteenth century, gaining concessions in Flanders and Norway. The league developed its enduring organization during the 1367–1370 war against Denmark. After that it was a major political force in the Baltic and North Seas. A tax voted by the towns on their trade paid for a fleet, which brought naval victory and, with the subsequent Peace of Stralsund, special trading rights in Danish markets. The Hansa had "factories" (trading centers) in Bruges, London, Bergen, and Novgorod. Merchants from member towns could trade and live there, enjoying immunity from local taxes and laws, important concessions won by the Hansa. In the fifteenth century internal divisions became clear as the towns of the Rhine Valley led by Cologne and the Prussian towns led by Gdańsk (Danzig) did not always find their commercial and political interests coinciding with those of the Wendish towns in northeastern Germany and especially with the most powerful one, Lübeck. Wars against the dukes of Burgundy, ending in peace in 1441, and against England, ending in peace in 1474, illustrated these divisions as many towns refused to follow the lead of Lübeck. Conscious of the disadvantages to domestic merchants and to their own incomes from concessions forced on them by the Hansa, sixteenth-century centralizing monarchs from England to Russia and everywhere in between worked to undermine the power of the confederation. The factories were closed, tariff advantages were rescinded, and then the naval power of the Hansa—which meant that of Lübeck and a few nearby towns—was broken as the navies of Denmark and Sweden became much more powerful. The Hansa shrank in numbers, and its political influence declined. Though most Hanseatic towns were Lutheran, the league played little role in the religious wars and could not form a consistent policy. The prosperity of the Hansa was based on the export of a limited range of primary goods, grain but also forest products and salted herring from the
Baltic to western Europe in exchange for manufactures and for silver. Already by 1400 western Europeans were gradually supplanting production of beer, a major export of Bremen and Hamburg, and production of salted herring, a major export from Scania in southern Sweden. As western Europeans found themselves able to meet their own needs for food grains in the second half of the seventeenth century, the economic advantages of the Hanseatic towns were further eroded. After a hiatus of thirty-nine years, the last meeting of the Hansetag was held in 1668. It ended indecisively and after that the Hansa in effect no longer existed. Despite the end of its political influence, the towns that belonged or had belonged to the Hansa still enjoyed in the eighteenth century a level of prosperity as great as or greater than in the past.
See also Commerce and Markets; Hamburg; Lübeck; Shipping.
BIBLIOGRAPHY
Dollinger, Philippe. *The German Hansa*. Translated and edited by D. S. Ault and S. H. Steinberg. Stanford, 1970.
Glete, Jan. *Warfare at Sea 1500–1650: Maritime Conflicts and the Transformation of Europe*. London, 2000.
Hammel-Kiesow, Rolf. *Die Hanse*. Munich, 2000.
Unger, Richard W. *Ships and Shipping in the North Sea and Atlantic, 1400–1800*. Aldershot, U.K., 1997.
RICHARD W. UNGER
HANSEATIC LEAGUE. See Hansa.
HAREM. The Arabic term *harem* means a forbidden and sacred space that describes inviolable sanctuaries like the holy cities of Mecca and Medina (*haremeyn-i sharifeyn*) and the Muslim household, which were off limits to outsiders who were non-Muslims in the former case and unrelated men in the latter. In the ordinary meaning of the word *harem* usually refers to the extended household and may or may not refer to a polygamous household. Ruling-class harems, however, were usually polygamous and contained several servants and slaves in addition to close relatives.
The institution of the imperial harem can be traced back to the ancient Near East. It became firmly established under the Abbasid caliphs of Baghdad (750–1258) and became associated in the West with the Ottoman (1300–1923), Mamluk (1250–1517), Safavid (1501–1732), and Mughal (1526–1739) imperial and ruling-class households during the early modern period.
The notions of Muslim sexuality and harem life were exaggerated if not completely inaccurate in western artistic and literary representations. European artists like Jean-Auguste-Dominique Ingres (*La grande odalisque* and *The Turkish Bath*), John Fredrick Lewis (*Life in the Harem*), Jean-Leon Gérôme (*The Bath*), and Anton Ignaz Melling (*Interior of the Palace of Hatice Sultana* and *The Royal Harem*) depicted the harem life in numerous paintings in the eighteenth and nineteenth centuries. Ottoman images of harem life by indigenous artists like Levni, Buhari, and Enderunî Fazil Bey, on the other hand, were more realistic and less obsessed with nudity and overt sexuality than the European artists. Sexuality and reproduction were only one aspect of harem life in the Muslim East. Some Ottoman sultans displayed an insatiable appetite for women, but even they had to follow the rigid rules of conduct associated with the imperial harem. The *valide-sultan* ('queen mother') set these rules and wielded great power as the head of the harem hierarchy. She chose the sexual partners for her sons and was in charge of training all the women. The chief black eunuch (*kızlar ağası*) guarded the harem and worked closely with the *valide-sultan*. He was also in charge of all imperial religious and charitable foundations and became an important personality in harem politics. He represented the link between the imperial harem and the outside world. However, not all palace women remained completely confined to the harem. Some women graduated from their palace training and were manumitted and married to high dignitaries in the empire. They maintained their ties with the palace and played an important role in Ottoman politics. In the eighteenth century Ottoman princesses were able to move out of the Topkapi Palace harem and set up private mansions along the Bosphorus. Although not really independent of the sultan, they had large retinues and held enormous wealth as tax farmers and landowners.
Slavery and polygamy were the backbone of this institution, which received sanction in Islamic practice. The Koran allowed Muslim men to marry four legal wives and have an unlimited number of concubines. The prophet Mohammed himself had eleven legal wives and several concubines. Despite this Koranic injunction, only 2 to 3 percent of Muslim men practiced polygamy in the Ottoman Empire. However, concubinage was probably more widespread, at least in the cities, due to the ready availability of female slaves. Many households in Istanbul contained at least one female slave who performed household duties. Slaves had limited legal rights but could move to better positions once they converted to Islam and bore children. The Koran encouraged Muslim men to marry their slaves (Sura 24:30). Muslim men were permitted to marry non-Muslim women, including their concubines, while Muslim women could not marry anyone but free Muslim men. Moreover, Muslim women were forbidden from having more than one husband at the same time. The Koran considered the children of concubines legitimate and equal in rights to children born to free women. It also banned the prostitution of female slaves by their master and promoted their fair treatment and manumission. However, these proscriptions could not always be enforced.
The institution of the imperial harem as it developed in the Ottoman Empire was an abrogation of Islamic principles although it received religious sanction from the Hanafi ‘ulema’ ('scholars'). The Koran encouraged the manumission of slaves and discouraged concubinage. The Ottoman sultans fully adopted this institution when the empire became centralized in the fifteenth century. The flow
of male and female slaves increased with military victories in the Balkans. The sultan claimed one-fifth of the war booty, which included male and female slaves. The palace also purchased slaves from the slave market. A good proportion of the population of Istanbul was of servile background during the early modern period. The Ottomans incorporated many male slaves into the military system, while female slaves ended up in domestic households, with the youngest and most beautiful entering the royal household. These women received training in various skills and a salary depending on their rank within the harem.
Some of the women attracted the attention of the sultan and became his *haseki*, or favorite concubine (see Peirce). If a haseki bore the sultan a son, she moved up in the hierarchy and ultimately could become the *valide-sultan* if her son inherited the Ottoman throne. The Ottoman sultans adopted a “one concubine, one son” policy to avoid the concentration of power in the hands of one concubine and to prevent succession crises, which had become endemic to the empire. Supposedly the sultan stopped sleeping with a concubine once she bore him a son.
The *haseki* played an important role in ensuring succession for her son. Some favorites like Hürrem, Nurbanu, and Kösem, who became valide-sultans, wielded enormous power and prestige in the harem and even shaped the direction of Ottoman politics. They formed networks of power with their sons, daughters, and sons-in-law within and outside the palace. Sometimes, this led to intense rivalry and political tensions that could end up in the murder of the *valide-sultan* if her faction lost out. The *valide-sultans* received the highest salary in the harem and amassed great fortunes. They set up numerous charitable foundations all over the empire that carried their name and imperial legacy. Because of the *valide-sultans’* influence over the sultans and their active role in politics, they received bad reputations in Ottoman chronicles.
The Ottoman princesses, blood relatives of the dynasts, fared better and became repositories of Ottoman legitimacy and prestige. Many married grand viziers and high officials and set up their own households outside the Topkapi palace. Their husbands were required to give up their polygamous households before the marriage to an Ottoman princess could take place. They also had to provide a rich bride price and support the opulent lifestyle of their princess-wives. The Ottoman princesses lived in elaborate mansions and had their own female retinue made up of slaves. Lady Mary Montagu, the wife of the English ambassador to the Ottoman Empire, visited the young Fatma Sultan, the daughter of Ahmed III (1703–1730) in Edirne and was impressed by her charming hostess in 1717. She became a regular visitor to the harem of great ladies and tried to correct the distorted view of her compatriots in her letters to her friends and relatives in London. She commented about the status of Muslim women and the great prestige and freedom enjoyed by upper class Ottoman women. The western image of oppressed and confined Muslim women, however, gained more currency in the writings of Enlightenment philosophers and European travelers.
HARLEY, ROBERT (1661–1724), British politician. Robert Harley headed the Tory ministry from 1710 to 1714. Although by background a Whig and dissenter, he eventually changed his political affiliation, becoming leader of the Tory and Anglican governing regime.
Born in London on 5 December 1661, the eldest son of Sir Edward Harley and Abigail Harley, daughter of Nathaniel Stephens, Robert Harley received a private education and was admitted to the Inner Temple on 18 March 1682, though never called to the bar. During the Glorious Revolution of 1688 he assisted his father in raising a regiment of cavalry and took part in capturing the city of Worcester on behalf of William III (ruled 1689–1702). In March 1689 Harley was appointed high sheriff of Herefordshire and was elected to Parliament for the borough of Tregoney until 1690, when he became member of Parliament for New Radnor, a seat he retained until his elevation to a peerage. In this position he advanced numerous legislative measures, including the Triennial Bill, which provided that elections be held at intervals no longer than three years, the National Land Bank, and the reduction in army strength following the Treaty of Ryswick (1697). Harley was speaker of the commons between 1701 and 1705 and served as secretary of state from 1704 to 1708, when, due to political intrigues, he was forced to resign.
With the collapse of the Marlborough-Godolphin coalition in 1710, Harley returned to office as chancellor of the exchequer. After the Tory election landslide of 1710, he became head of a reconstructed administration and in 1711 was elevated to an earldom (Oxford). He launched the South Sea Company in 1711 and initiated the complex deliberation with France that resulted in the Treaties (or Peace) of Utrecht of 1713, which laid the foundation of Britain’s imperial hegemony. Harley played a key role not only in the initial negotiations of the Treaty of Utrecht but also in the concluding stages until October 1712. These initiatives brought him into conflict with his colleague Henry St. John, first viscount Bolingbroke (1678–1751), whose ambition for supreme office was fanned by Harley’s growing alienation from Queen Anne (ruled 1702–1714) and declining support within Tory ranks. Harley’s tenuous political position was further eroded by increasing apathy, excessive drinking, and his questionable (if not treasonous) correspondence with the Jacobite Old Pretender James Edward (1688–1766). Dismissed on 27 July 1714 and excluded from power, Harley’s influence ended with the Hanoverian succession (August 1714). He was impeached for corruption, sedition, and other misdemeanors and languished for two years in the Tower of London pending trial. For lack of evidence he was eventually acquitted. Harley spent his last years banished from court but attending the House of Lords, speaking in opposition to the Mutiny Bill in 1718 and protesting the Peerage Bill the following year.
Harley died at his home on Albermarle Street in London on 21 May 1724. He was buried at Brampton Bryan, Herefordshire, where a memorial was erected to his memory.
Excelling at political intrigue and manipulation, Harley was an intelligent, moderate, and pragmatic minister with the ability to attract and conciliate followers from both the Whig and the Tory ranks. His positive achievement lay in promoting measures of the highest national importance while providing the resourceful leadership required to steer them
through Parliament during a time of chronic partisan divisions. Committed to political independence, Harley invariably strove to maintain an administration that functioned autonomously, free from dictation by parties and party leaders. So secretive was his nature and political strategy that they ultimately became a liability, confirming a reputation for deviousness and bad faith that cost him the support of vital Whig political groupings that distrusted his intentions.
Appreciating the influence of the press in contemporary politics, Harley recruited many notable pamphleteers, including Daniel Defoe (1660–1731), Jonathan Swift (1667–1745), and Charles Davenant (1656–1714) to manipulate national opinion on his ministry’s behalf. He also had broad literary and cultural interests. Over the years he assembled a sizable collection of books and manuscripts that form the nucleus of the Harleian Collection in the British Library.
See also Anne (England); Churchill, John, duke of Marlborough; Defoe, Daniel; Glorious Revolution (Britain); Parliament; Swift, Jonathan; Utrecht, Peace of (1713); William and Mary.
BIBLIOGRAPHY
Biddle, Sheila. *Bolingbroke and Harley*. New York, 1974.
Dickinson, William Calvin. *Sidney Godolphin, Lord Treasurer, 1702–1710*. Lewiston, N.Y., 1990.
Gregg, Edward. *Queen Anne*. London, 1980.
Hill, Brian. “Oxford, Bolingbroke, and the Peace of Utrecht.” *Historical Journal* 16 (1973): 241–263.
———. *Robert Harley: Speaker, Secretary of State, and Premier Minister*. New Haven, 1988.
Karl W. Schweizer
HARRINGTON, JAMES (1611–1677), English political theorist. James Harrington was born at Upton, Northamptonshire, the eldest son of Sir Sapcote Harrington and his first wife Jane (née Samuel). Most of our knowledge about Harrington’s life comes from three seventeenth-century sources: John Aubrey’s *Brief Lives*, Anthony Wood’s *Athenae Oxonienses*, and John Toland’s “Life of James Harrington,” which served as an introduction to his edition of Harrington’s works. Since Wood drew on Aubrey, and Toland drew on Wood, there is some overlap between these three sources.
Harrington entered Trinity College, Oxford, as a gentleman commoner in 1629 but did not take his degree. Instead he traveled extensively on the Continent. There is little evidence about Harrington’s involvement during the first Civil War (1642–1646), though Wood claims that he sided with the Presbyterians and tried, unsuccessfully, to win a seat in Parliament. In May 1647, however, he was appointed Gentleman of the Bedchamber to Charles I, who was being held at Holdenby House. The ambiguity of Harrington’s position—employed by Parliament to serve the king—perhaps explains the ambiguity of his political views, particularly his attitude toward the king. Despite the republican tone of Harrington’s works, it was said that he got on well with Charles and that the latter’s execution, on 30 January 1649, affected him profoundly.
Harrington’s major work, *The Commonwealth of Oceana* (1656), was written and published under the Protectorship of Oliver Cromwell. The work was dedicated to Cromwell, but the sincerity of that dedication is questionable. The work can be divided into two main parts: “The Preliminaries,” in which Harrington set out his political theory, and “The Model of the Commonwealth,” in which that theory was applied in the context of Oceana (England). The first part of the preliminaries deals with what Harrington called “Ancient Prudence”—the politics of the ancient world or “the [government] of laws, and not of men.” The second part concerns “Modern Prudence”—the politics of the period since the fall of the Roman Empire, or “the [government] of men, and not of laws.” The aim of the work as a whole was to show how to bring about a return to “Ancient Prudence” in the modern world. On the basis of his theory of the economic underpinnings of political power, Harrington argued that the time was ripe for such a revival in England.
“The Model of the Commonwealth” consists of a series of “orders” by which the new regime was to be established. At the national level Harrington advocated a variation on the conventional mixed system of government, with the magistrate (the one) executing the laws, the senate (the few) debating the laws, and the popular assembly (the many) voting on the laws. The system also involved
rotation of office, a complex balloting process based on the Venetian model, and a network of assemblies running from the parish to the national level to ensure that the whole country would be governed effectively.
Harrington’s subsequent works are less well-known than *Oceana*. They were aimed either at responding to critics of that work or at restating the theory presented there. But Harrington’s ideas were of practical as well as theoretical interest. In July 1659 a petition was submitted to Parliament which proposed that certain of Harrington’s ideas be adopted there. And in the autumn and winter of 1659–1660 Harrington and his friends formed the Rota Club, which met at Miles’s Coffee House in New Palace Yard, Westminster. There Harrington’s ideas were discussed and his system of balloting practiced. At the Restoration, the ambiguity of Harrington’s position again brought him under scrutiny. He was arrested, interrogated, and finally sent to the Tower, later being transferred elsewhere. Though eventually released, his mind had been affected by his imprisonment, and he did not fully recover before his death in 1677.
Harrington’s ideas continued to be influential after his death. During the eighteenth century they had an impact on such diverse figures as Thomas Gordon, David Hume, and Thomas Spence. Moreover, through the influence of men like Thomas Hollis, Harrington’s works also found their way to America, where they influenced the revolutionary generation, and to France, where a model constitution based on *Oceana* appeared in 1792 and translations of Harrington’s works in 1795. Harrington seems to have faded from view during the nineteenth century, but he became popular again in the twentieth century through the uses made of his works by R. H. Tawney in the debate over the rise of the gentry and by Caroline Robbins and J. G. A. Pocock in their accounts of eighteenth-century Commonwealthmen and neo-Harringtonians.
*See also* Constitutionalism; English Civil War and Interregnum; Political Philosophy.
**BIBLIOGRAPHY**
*Primary Sources*
Aubrey, John. *Brief Lives: A Modern English Version*. Edited by Richard Barber. Woodbridge, U.K., 1982.
Harrington, James. *The Political Works of James Harrington*. Edited by J. G. A. Pocock. Cambridge, U.K., and New York, 1977. Pocock’s introduction provides further details concerning the sources on Harrington’s life and works, as well as providing the most detailed recent account.
Toland, John. “The Life of James Harrington.” In *The Oceana of James Harrington and His Other Works*. Edited by John Toland. London, 1700. Reprinted in *James Harrington and the Notion of a Commonwealth*. Edited by Luc Borot. Collection “Astraea,” 6. Montpellier, France, 1998.
Wood, Anthony. *Athenae Oxonienses: An Exact History of All the Writers and Bishops Who Have Had Their Education in the University of Oxford*. Edited by P. Bliss. 4 vols. London, 1967.
*Secondary Sources*
Pocock, J. G. A. *The Machiavellian Moment: Florentine Political Thought and the Atlantic Republican Tradition*. Princeton, 1975.
Robbins, Caroline. *The Eighteenth-Century Commonwealthman: Studies in the Transmission, Development, and Circumstance of English Liberal Thought from the Restoration of Charles II until the War with the Thirteen Colonies*. Cambridge, Mass., 1959.
Russell Smith, H. F. *Harrington and His Oceana: A Study of a Seventeenth-Century Utopia and Its Influence on America*. Cambridge, U.K., 1914. Good on Harrington’s posthumous influence in America and France.
Worden, Blair. “James Harrington and ‘The Commonwealth of Oceana,’ 1650” and “Harrington’s ‘Oceana’: Origins and Aftermath, 1651–1660.” In *Republicanism, Liberty, and Commercial Society, 1649–1776*. Edited by David Wootton. Stanford, 1994.
RACHEL HAMMERSLEY
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**HARTLIB, SAMUEL** (Samuel Hartlieb; c. 1600–1662), English reformer. Samuel Hartlib was a scientific “intelligencer” who helped to place England on the map of the emerging Republic of Letters. He was born at Elbing (Elblag) in Poland around 1600 into a distinguished mercantile family, and received an extensive education in Germany and at Cambridge (1625–1626) under John Preston (1587–1628), master of Emmanuel College. He retreated to London in 1628 as the Habsburg armies advanced toward the Baltic coast and, after 1630, spent the rest of his life there.
Hartlib began to cultivate his international network of correspondents, assisted by his friend John
Dury (1596–1672), a Calvinist minister whom he had met at Elbing. Together they shared the vision of reconciling Protestant divisions and consorting with a fraternity whose goal was to establish a model Protestant religious community. Hartlib’s manuscript diary delineates his obsession for the processes of learning that had already led him to admire and reflect on the works of Francis Bacon. His correspondence with the Czech educational philosopher Jan Amos Comenius (1592–1670) had begun in 1632, and one of Hartlib’s earliest publications was a sketch of *pansophy* (or encyclopedic learning) that Comenius had sent him. His second, expanded edition of this work (*Pansophia Prodromus*, 1639), became a prospectus for Comenius in England.
This involvement with Comenius established Hartlib’s reputation as an agent of learning. Hartlib believed that Christian solidarity arose out of relations of exchange. God had given all humans a “talent” that should not be “hidden under a bushel” but distributed for the common good. These talents would best be released by a reformation of learning (or *Reformation of Schooles* as Hartlib entitled his translation of Comenius’s *Prodromus* in 1642). In October 1641, Hartlib published a small utopian treatise entitled *Macaria* (after an offshore island in Thomas More’s *Utopia*, 1515). Its authorship used to be ascribed to him, but it was evidently written by Gabriel Plattles (1600–1655). It described a commonwealth in which government and people collaborated in prosperity generated by the practical application of diffused knowledge. Pansophy’s ultimate goal was a millennial recovery of the knowledge that humanity had lost after Eden. In a pact signed by Comenius, Hartlib, and Dury on 13 March 1642, they committed themselves to a secret fraternity for the advancement of religious pacification, education, and the reformation of learning. This delineated Hartlib’s goals for the rest of his life.
During the English Civil War (1642–1649), Hartlib stayed in London, acting as an agent for the parliamentary cause. His proposed reformation of learning induced John Milton (1608–1674) to write his treatise *On Education* (1644), which he dedicated to Hartlib. Following the parliamentary victory in 1646, Hartlib devoted himself to establishing an “Office of Address” with elements borrowed from a similar agency established in Paris. It was designed as a labor exchange and a means of spreading knowledge on “matters of religion, of learning, and ingenuities.” Although never officially instituted, Hartlib was voted an annual pension by the Commonwealth and became “a conduit pipe towards the Publick. . . .” He employed scriveners and translators to copy letters and treatises to others. What is sometimes now called the “Hartlib Circle” was a diverse group of enthusiasts who shared interests in the possibilities of technical change. His surviving papers, rediscovered in London in 1933, testify to the extent of Hartlib’s network, although his influence remained mostly behind the scenes. His most visible impact lay in the numerous pamphlets that he published. Their greatest effect was in agriculture, where the advantages of planting new leguminous crops, experimenting with fertilizers and manures, using seed drills and new plows, and advocating the possibilities of apiculture (raising bees) and silk cultivation (in Virginia) were advocated. It is difficult to determine Hartlib’s overall impact, because he readily adopted the dominant ideas and language of others and his agenda evolved over time, but his adoption of other people’s ideas also involved the perception that, by spreading knowledge, the public good would be served and the coming of the millennium achieved. His commitment to that goal was distinctive, even though it would eventually be carried forward in very different ways after his death by the Royal Society of London.
*See also* Agriculture; Bacon, Francis; Comenius, Jan Amos; Education; English Civil War and Interregnum; English Civil War Radicalism; Milton, John; More, Thomas; Republic of Letters; Utopia.
**Bibliography**
Greengrass, M. “Samuel Hartlib and the Commonwealth of Learning.” In *The Cambridge History of the Book in Britain*, edited by John Barnard and D. F. McKenzie. Vol. 4, pp. 304–322. Cambridge, U.K., 2002.
Greengrass, M., and M. P. Leslie, eds. *The Hartlib Papers on CD-ROM*. 2nd ed. Sheffield, U.K., 2002.
Leslie, Michael, and Timothy Raylor. *Culture and Cultivation in Early Modern England: Writing and the Land*. Leicester, U.K., 1992.
Turnbull, G. H. *Hartlib, Dury, and Comenius: Gleanings from Hartlib’s Papers*. Liverpool, U.K., 1947.
Webster, Charles. *The Great Instauration: Science, Medicine, and Reform, 1626–1660*. London, 1975.
HARVEY, WILLIAM (1578–1657), English physician and anatomist. William Harvey was born at Folkestone, on the south coast of England. He matriculated at Gonville and Caius College, Cambridge, in 1593 and studied anatomy in Padua under Girolamo Fabrizi d’Aquapendente. Harvey received his degree as doctor of medicine in 1602. Returning to England, he settled in London, where he started a medical practice. In 1607 he became a fellow of the College of Physicians and was formally appointed physician to St. Bartholomew’s Hospital in 1609. In 1613 he was elected censor in the College and in 1615 Lumleian Lecturer of Surgery with the principal duties of giving a series of lectures on set texts and performing an annual public anatomy in the hall of the College. Some of the anatomical lecture notes survive and have been edited by the College of Physicians (1886); by C. D. O’Malley, F. N. L. Poynter, and K. F. Russell (1961); and by G. Whitteridge (1964).
In 1618 Harvey was appointed court physician to James I and later to Charles I (1625), and as a member of the royal entourage, he was involved in a number of political and diplomatic activities. In 1629 he attended the duke of Lennox in his travels abroad on the orders of Charles I. On several occasions (in 1633, 1639, 1640, and 1641) he was asked to accompany the king to Scotland. In 1635 he traveled with the earl of Arundel on a diplomatic mission to the Emperor Ferdinand II’s court at Regensburg. After the Battle of Edgehill (1642), Harvey followed Charles I to Oxford. He remained there for three years and was made warden of Merton College in 1643. During the Civil War, his lodgings at Whitehall were plundered by Parliamentary troops, and he lost all his notes on the generation of insects and natural history. In 1646, when the city surrendered to Parliament, Harvey returned to London, where he lived in learned retirement. He died in 1657, at the age of seventy-nine.
THEORIES OF CIRCULATION
In the *Exercitatio Anatomica de Motu Cordis et Sanguinis in Animalibus* (Anatomical study on the motion of the heart and blood in animals), published in Frankfurt in 1628, Harvey announced his epoch-making discovery of the circulation of the blood. According to the old view, as it had been systematized by Galen in the second century c.e., blood originated in the liver from the assimilation and transformation of food and then ebbed and flowed through the veins in order to nourish the various parts of the body. A part of the venous blood was thought to seep through the interventricular septum of the heart (considered to be porous) and, upon arrival in the left ventricle, was supposed to undergo further elaboration as a result of being mixed with air coming from the lungs. Galen believed that the veins and the arteries were separate systems that carried fluids of different natures: thick, nutritive blood in the former, and spirituous, energizing blood in the latter. By means of a series of close arguments and experimental proofs, Harvey demonstrated that the blood was continuously and rapidly transmitted from the veins to the arteries, was driven into every part of the body in a far greater quantity than was needed for nourishment, and was finally drawn from the periphery to the heart to start the same cycle again.
A long and complex genealogy of anatomical findings and physiological speculations underlies Harvey’s discovery. Realdo Colombo (1516?–1559) discovered pulmonary circulation, but failed to put it in the wider context of systemic circulation; Andrea Cesalpino (1519–1603) caught a glimpse of the capillaries, but by circulation he meant a series of distillations occurring in the blood; Girolamo Fabrizi (1537–1619) detected the venous valves but did not understand their role in the centripetal venous flow. Unlike his predecessors, who reached only partial conclusions and remained entangled in the theoretical constraints of older accounts, Harvey managed to find an elegant and consistent solution for a whole series of interrelated problems: the correct interpretation of the systole and diastole of the heart (the former viewed as an active contraction, the latter as a passive distension), the clear demonstration of the pulmonary transit of the blood (from the right to the left ventricle by way of the pulmonary artery, the lungs, and the pulmonary vein), the understanding of the actual role of the venous valves (which serve to prevent the blood driven into the veins from being regurgitated back
into the arteries). The experimental demonstration of circulation rested on the correct understanding of two key insights: the uses of ligatures of varying tightness and the calculation of the rate of blood passing through the heart at each beat.
**THEORETICAL ELABORATIONS, ANATOMY, AND SPIRIT**
In *Exercitationes Anatomicae Duae de Circulatione Sanguinis* (1649; Two anatomical exercitations on the circulation of the blood), written in response to some objections put forward by Jean Riolan, he distanced himself from René Descartes’s explanation of the heartbeat. In addition, Harvey took the opportunity to define his idea of spirit as an inherent and material component of blood. In so doing, he rejected Jean Fernel’s belief in the existence of transcendent and immaterial spirits governing the vital functions of the body.
The theory presented in *De Motu Cordis* and *De Circulatione* offered an alternative and revolutionary account of the anatomy and physiology of the human body. By disentangling the function of respiration from the motion of the heart and arteries and by separating the purpose of the circulation from the processes of concoction and nutrition, Harvey initiated a process of conceptual and factual reorganization in which the respiratory, digestive, and nervous apparatuses began to assume the characteristic features that they still have today. Inevitably, though, Harvey’s model was also confronted with a crucial objection: why had the blood to circulate rapidly and incessantly throughout the body if nourishment of the parts was not one of the functions of that circulation and if no exchange of vital properties contained in the inhaled air took place in the lungs? The ultimate purpose of circulation and the difference between arterial and venous blood remained two unsolved points in Harvey’s system.
In *Exercitationes de Generatione Animalium* (1651; Anatomical exercitations concerning the generation of living creatures), Harvey addressed the question of the generation of oviparous and viviparous animals. In embryology he advanced the theory that the parts of higher animals were successively formed out of the undifferentiated matter of the egg (a process he called “epigenesis”). Harvey’s main concern in the treatise was the explanation of the origin and mechanism of conception. Unable to observe the initial stages of pregnancy in dissected hinds and does, he failed to understand the part played by the male’s semen in fecundating the female. He argued that the process of fertilization could be compared to a transmission of vital energy at a distance.
In *De Generatione* Harvey also argued in favor of the preeminence of the blood, as an inherently animate matter, over the other parts of the body. His theory of epigenesis demonstrated the original nature of the blood. Its intrinsically spirituous substance confirmed the existence of a vital matter endowed with the ability to move, perceive, and respond to external stimuli. Harvey went so far as to identify the soul with the blood. His interest in the responsive nature of living matter dated back to the beginnings of his natural investigations. An unfinished treatise entitled “De Motu Locali Animalium” (On the local motion of the animals) testifies to his interest in studying the difference between voluntary and involuntary motions and the interplay of muscles, nerves, and the organs involved in locomotion and sensation.
The first to accept the circulatory model was Harvey’s friend and colleague at the College of Physicians, Robert Fludd (1574–1637), who looked at the discovery of circulation as a confirmation of his speculations on the correspondence of microcosm and macrocosm. René Descartes (1596–1650) accepted Harvey’s discovery of the circulation of the blood but disagreed with his explanation of the movement of the heart. Whereas Harvey maintained that the movement was the result of a vital contraction, Descartes explained it as a mechanical impulse determined by the ebullition and consequent rarefaction of the blood. Thomas Willis (1621–1675) and Richard Lower (1631–1691) refined and supplemented Harvey’s circulatory model. Both mechanical anatomists like Marcello Malpighi (1628–1694) and chemical physiologists like Franciscus de la Boë (called Sylvius; 1614–1672) made Harvey’s discovery an integral part of their physiological schemes. Francis Glisson (1597–1677) took the Harveian thesis of the inherently active and sentient nature of the blood as the starting point for a comprehensive theory of irritability.
*See also* Anatomy and Physiology; Biology; Descartes, René; Matter, Theories of; Medicine; Scientific Method.
HASKALAH (JEWISH ENLIGHTENMENT). “Haskalah” is the Hebrew term for the Enlightenment movement and ideology that began in European Jewish society in the 1770s and continued until the 1880s. A proponent of the Haskalah was known as a maskil (‘an enlightened Jew’; pl. maskilim). The Haskalah shared many aspects of the European Enlightenments, but as a national variant of the general movement it also addressed specific Jewish concerns of the period. The Haskalah was a feature of Ashkenazic Jewish society, the branch of world Jewry with origins in medieval French and German lands whose descendents inhabited German lands, the Polish-Lithuanian Commonwealth, and the partitioned lands of Poland. Beginning in Prussia, and spreading eastward to Austrian Galicia and tsarist Russia, the Haskalah, like the European Enlightenment, was an optimistic, self-conscious intellectual movement that urged European Jews to dare to liberate themselves from their past and fashion their own lives, in the spirit of Immanuel Kant’s well-known answer to the question, “Was ist Aufklärung?”; in the Jewish case, maskilim exhorted their brethren to unfetter themselves from and transform the culture of early modern Ashkenazic Judaism. Maskilim, like other European enlighteners, turned back to a classical era in search of an unbenighted rational past free of superstition and religious intolerance. But, in contrast to philosophers and Aufklärer, who, in Peter Gay’s interpretation, found their model in the ancient Greco-Roman world, Jewish enlighteners favored the “golden age” of medieval Iberian-Jewish culture, seeking to remake early modern Ashkenazic Jewish culture in its image.
THE CRITIQUE OF EARLY MODERN ASHKENAZIC JEWISH SOCIETY AND CULTURE
Contemporary European Jewish society, in the minds of the maskilim, had become insular, valorizing the study of Talmud and its commentaries to the exclusion of the Hebrew Bible, biblical grammar, Hebrew poetry, and humanistic subjects, such as mathematics, geography, natural science, and history, that were indispensable to modern European life. According to the maskilim’s critique, the ideal of the Torah Sage (talmid hakham), together with the exclusionary legislation of the non-Jewish political authorities, had resulted in a distorted Jewish economic profile concentrated solely in trade and other “unproductive” professions. Moreover, early modern Ashkenazic Jewry’s attachment to minhag (religious custom), in addition to its observance of traditional Jewish law, had deepened its parochialism, leading to an explosion of new Jewish rituals that hindered participation in broader European society. Maskilim resoundingly judged Yiddish, Ashkenazic Jewry’s capacious vernacular composed of German, Hebrew, Slavic, and Romance-language components, as incapable of elevating Jewish culture and unsuitable for expressing the values of modern Jewish life. Perforce, the Haskalah was decidedly male, for early modern Jewish life was gendered, and only Jewish men received the requisite education in traditional Jewish languages and texts for a full-scale enlightened critique of their culture.
Marked by a didactic commitment to regenerate and revitalize Ashkenazic Jewish culture as a means of preserving Jewish life in the modern world, the Haskalah gave voice to a new kind of
European Jew, a secular *intelligent*. The worldview of the *maskilim*, individuals in the process of “enlightening” themselves, was shaped by an ideology of creative tension between the worlds of traditional Jewish culture and European society and values, what the Prussian *maskil* Naphtali Herz Wessely (1725–1805) called *Torat ba-Adam* (secular knowledge) and *Torat ha-Elohim* (sacred knowledge) in his programmatic educational pamphlet, *Divrei Shalom ve-Eme* (Words of peace and truth, 1782). In contrast to activists in the European Enlightenment who were already Europeans, the *maskilim* not only waged a self-conscious battle to regenerate Ashkenazic Jewish culture, but also struggled to justify Jewish participation in European society as men, like all other men, endowed with the universal faculty of reason. The Haskalah, in its defense of Jewish particularism, qualified the universalism of the Enlightenment.
The figure of Moses Mendelssohn (1729–1786), son of a poor Jewish scribe from Dessau who settled in Berlin, the center of the Prussian Enlightenment, epitomized the new type of European Jew. Mendelssohn remained devout throughout his life, yet acquired a vast reservoir of secular and non-Jewish knowledge that he applied to philosophical, political, and exegetical writings, penned in both flawless German and impeccable Hebrew. His *Jerusalem, or on Religious Power and Judaism* (1783), a philosophic defense of the compatibility of the observance of Jewish law with the ideals of Enlightenment natural religion, expressed the Haskalah’s conservative attitude toward revelation and inherited traditions, a posture characteristic of the moderate German *Aufklärung*’s debt to the philosophy of Christian Wolff. Shaped in the Prussian context, the Haskalah lacked the anticlericalism and critique of the religious establishment that motivated the French philosophe’s conception of Enlightenment.
The generation of Prussian *maskilim* after Mendelssohn institutionalized the movement by establishing periodicals (*Ha-Me’assef/the Gatherer*), publishing houses (Hevrat Hinnukh Ne’arim/Society for the Education of the Youth), reading circles (Hevrat Dorshei Leshon Ever/The Society for the Promotion of the Hebrew Language, 1782, Königsberg), and schools (Jüdische Freischule/Jewish Elementary School, 1778), with new textbooks (*Lesebuch für jüdische Kinder/Reader for Jewish children, 1779*), activities supported by the *maskilim* and a small group of economically elite Jews with privileges to live in Prussia’s cities. By the 1790s, the Haskalah in Prussia encountered the political demands of the centralizing absolutist state, which sought to dissolve all premodern corporations, including the Jewish communal authority (*kahal*), and the acculturating aspirations of the rising Jewish bourgeoisie, resulting in its radicalization. Prussian Jewish intellectuals soon focused their efforts on political emancipation and cultural acceptance, rather than on inner reform, embodied by the *maskil* David Friedländer’s 1799 letter to Pastor Teller asserting his willingness to convert to Christianity with the provision that he not accept the divinity of Christ. The shift in emphasis was tellingly marked by the failure of Hebrew periodical literature to sustain itself in Prussian lands, giving way to new German periodicals (*Sulamith*) focused on the struggle for political rights.
**THE EASTWARD TURN OF THE HASKALAH**
The social and political environment of central and eastern Europe, with their demographically rich Ashkenazic Jewish populations and laggard state-building multiethnic empires, became fertile ground for the dissemination of the Jewish Enlightenment. Although subject to the centralizing political demands of absolutist Austria and Russia to integrate the Jewish community into the life of the state, the quest for political emancipation and religious reform was largely absent among *maskilim* in the East. Rather, the Haskalah in Austrian Galicia and Russia focused on communal regeneration, particularly as it faced the entrenchment of traditional Jewish culture by Hasidism, the extraordinarily successful Jewish spiritual movement that, born in the mid-eighteenth century, had transformed eastern European Jewry. Using the didactic tools of the general Enlightenment (periodical literature, satire, ethical anthologies, curriculum reform), the battle of east European *maskilim*, such as Mendel Lefin (1749–1826), Joseph Perl (1773–1839), Nachman Krochmal (1785–1840), and Isaac Baer Levinsohn (1788–1860), against Hasidism gave birth to modern secular Hebrew and Yiddish prose literature, new forms of Bible commentary, and historical writing.
Although always a self-selected intellectual minority within Ashkenazic Jewry, the *maskilim* represented a radical break with traditional patterns of Jewish life and engendered sharp opposition from traditional rabbinic authorities in central and eastern Europe. Nonetheless, recent scholarly interpretations of the Jewish Enlightenment emphasize its conservatism in comparison with the other responses of European Jewry to modernity (that is, Jewish nationalism, socialism, revolution, migration, political emancipation, and communal self-liquidation/assimilation). Flowering almost a full century after the European Enlightenments, the Haskalah’s Hebraism and religious moderation laid the foundation for contemporary constructions of liberal Jewish identity.
*See also* Enlightenment; Jews and Judaism; Mendelssohn, Moses; Philosophes; Prussia.
**BIBLIOGRAPHY**
Breuer, Edward. *The Limits of Enlightenment: Jews, Germans and the Study of Scripture in the Eighteenth Century*. Cambridge, Mass., and London, 1996.
Feiner, Shmuel. *Haskalah and History: The Emergence of a Modern Jewish Historical Consciousness*. Translated by Chaya Naor and Sondra Silverston. Oxford and Portland, Ore., 2002.
Feiner, Shmuel, and David Sorkin, eds. *New Perspectives on the Haskalah*. Oxford, 2001.
Katz, Jacob, ed. *Toward Modernity: The European Jewish Model*. New York and Oxford, 1987.
Mahler, Raphael. *Hasidism and the Jewish Enlightenment: Their Confrontation in Galicia and Poland in the First Half of the Nineteenth Century*. Philadelphia and New York, 1985.
Sorkin, David. *Moses Mendelssohn and the Religious Enlightenment*. Berkeley, 1996.
Stanislawski, Michael F. *For Whom Do I Toil?: Judah Leib Gordon and the Crisis of Russian Jewry*. New York, 1988.
NANCY SINKOFF
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**HASTINGS, WARREN** (1732–1818), first governor-general of India. Warren Hastings was a competent, honorable, and farsighted administrator whose policies, some controversial, decisively shaped and stabilized future Anglo-Indian relations. The controversy surrounding his administration made him the subject of impeachment and trial in Great Britain.
Warren Hastings was born at Daylesford, Worcestershire, on 6 December 1732, the son of a country solicitor whose family had fallen into poverty. When his mother, Hester Warren, died soon after his birth, his father departed for the West Indies. Warren was raised by an uncle who sent him to school, first at Newington and then to Westminster, where he became the first king’s scholar of his year in 1747.
In October 1750, Hastings entered service as a clerk in the East India Company. Able and ambitious, he advanced rapidly, becoming the company’s resident (1757). From 1761 to 1764, he served on the Calcutta Council, the chief governing body in Bengal. During this period he attempted to reform abuses in the transit system, specifically the practice whereby British officials passed private consignments free of duty, resulting in disproportionate fiscal burdens on the Mughul nabob Mir Kasim and his subjects. Hastings’s compromise proposal proved ineffectual and a brief war erupted, ending in the defeat of Mir Kasim and restoration of the former nabob, Mir Jaffier.
In 1764 Hastings returned to England, but financial need forced him to seek reemployment with the Company, which, in 1769, appointed him to the Council of Madras. Two years later he was promoted to the governorship of Bengal.
From 1772 to 1774, Hastings consolidated British control over native authorities, restored order to the province’s judicial system, abolished the pension that Lord Clive had paid to the Mughul, and created a new, more efficient procedure for collecting the land revenues, a major source of the company’s financial solvency. The English collectors, being inexperienced and extortionate, were removed and replaced with native officers of proven knowledge and ability. Six divisions were created by grouping the districts and subordinating them to provincial councils under the control of non-Indian administrators. This arrangement, like so many of Hastings’s ideas, was to become an enduring part of the British ruling tradition in India.
Lord North’s Regulating Act of 1773 placed India under three presidencies, with one governor-general, a position held by Hastings from 1774 to
1784, assisted by a newly created council of five, three of whom—strangers to India—were hostile to his policies. Given only a single vote, Hastings frequently found himself overruled in his efforts to curb further corruption and introduce reforms. Eventually his fellow councillors, led by Sir Phillip Francis, conspired against him, fabricating charges of corruption and cruelty that were to culminate in his impeachment. Despite such obstructionism, Hastings launched military expeditions to defeat the Mahrattas conspiracy that threatened Britain’s imperial governance, quelled provincial revolts, continued his financial reforms, and founded the Asiatic Society of Bengal and the Calcutta Madrisa, a vital center of Muslim culture. He also had to confront the danger posed by the sultanate of Haidar Ali, who (with the connivance of the French and Dutch) plotted insurrection against British rule. On his own authority, Hastings removed the incompetent governor of Madras and replaced him with the veteran militarist Sir Eyre Coote, who defeated Ali’s forces at Porto Novo. Parallel naval action drove the rebels out of the Carnatic (a region in southeastern India). On the death of Haidar Ali in 1782, Hastings negotiated the treaty of Salbai, which acknowledged British supremacy throughout India and calmed the situation in Madras.
Hastings resigned his office in December 1784 and returned to England on 13 June the following year. In 1787 he faced impeachment charges initiated by Edmund Burke (working with Hastings’s enemies), whose outrageous conduct evoked numerous rebukes from the House of Lords. The lengthy trial, beginning in 1788 and lasting until 1795, ended in Hastings’s acquittal, but severely compromised his reputation, ruined his health, and cost him £50,000.
In his later years, Hastings campaigned for a peerage and a parliamentary reversal of the impeachment, neither of which ever materialized. He received a doctorate of civil law from Oxford in 1813, was sworn privy councillor in May 1814, and died, a rural recluse, on 22 August 1818.
Although Hastings’s conduct of affairs tended at times to be high-handed, if not unscrupulous, his motives were invariably patriotic, not self-interested. He expanded the territorial scope of British dominion in India, honored and preserved indigenous cultures, and introduced many needed and lasting reforms. The prince regent (the future George IV) put it best when, in 1814, he called Hastings “the most deserving yet also one of the worst used men in the empire.”
See also British Colonies: India; Burke, Edmund; Colonialism; George II (Great Britain); George III (Great Britain); Mercantilism; Trading Companies.
BIBLIOGRAPHY
Bowen, H. V. Revenue and Reform: The Indian Problem in British Politics, 1757–1773. Cambridge, U.K., and New York, 1991.
Feiling, K. Warren Hastings. London and New York, 1954.
Forrest, G. W. India under Hastings. New Delhi, 1984.
Marshall, P. J. The Impeachment of Warren Hastings. London, 1965.
Turnbull, P. Warren Hastings. London, 1975.
KARL W. SCHWEIZER
HAYDN, FRANZ JOSEPH (1732–1809), Austrian composer considered the founder of Vienna classicism. Born in modest circumstances as the son of a wheelwright in the Lower Austrian town of Rohrau, Haydn was by 1800 the most celebrated composer in Europe. He is sometimes called the father of both the symphony and the string quartet.
Haydn was raised in a devoutly Catholic household and his parents had hopes of his entering the clergy. He showed an early aptitude for music, which was noticed by a visiting schoolmaster who convinced his parents to send the six-year-old Joseph to a parish school in the neighboring town of Hainburg. Catholic parish schools had traditionally emphasized music (the schoolmaster usually doubled as the church organist) since pupils were needed to sing or perform in the parish’s annual cycle of regular masses, baptisms, funerals, and processions. Haydn acquired his first formal training in music at the Hainburg school, and at the age of eight left to continue his musical education as a pupil at the choir school of St. Stephen’s Cathedral in Vienna. He remained a pupil at St. Stephen’s for almost ten years until he was forced to leave around 1749—not, as legend has it, to escape castration but because his voice broke.
Haydn’s early years as a composer and musician illustrate the crucial importance of aristocratic musical patronage in eighteenth-century Europe. After struggling for several years as a teacher, freelance musician, and occasional composer for the popular Viennese stage, Haydn finally obtained a measure of financial security when Count Karl Joseph Franz Morzin took him into his household as music director around 1757. Haydn’s first symphonies as well as his earliest string quartets date from this period. Decisive for his career was his entry a few years later (1761) into the service of Prince Paul Anton Esterházy, scion of the wealthiest magnate family in Hungary. Haydn, in his capacity as Vice-Kapellmeister (1761–1765) and later Kapellmeister (1761–1790), was in charge of supervising, if not composing, the music performed at the prince’s palace at Esterháza. There Haydn was responsible for providing both vocal and instrumental music, including operas performed in the prince’s lavish theater. Although Haydn’s operas are today the least regarded part of his musical oeuvre—perhaps because they would soon be so overshadowed by Mozart’s—Haydn devoted much of his musical energy in the years between 1766 and 1783 to operatic compositions. Best known today are his comic (or buffa) operas, such as those based on librettos by the eighteenth-century Italian playwright Carlo Goldoni (*Lo speziale* [1768]), *Le pescatrici* [1769–1770], and *Il mondo della luna* [1777]). But they also included dramatic pieces like *Armida* (1783), adapted from the late-humanist poet Torquato Tasso, which was the last opera Haydn produced. In the meantime Haydn continued to experiment with the symphonic form, moving from the syncopated eccentricities of his Sturm und Drang (‘storm and stress’) phase (1768–1772) to the exquisite sublimity of his later symphonies. During Haydn’s years at Esterháza his string quartets also acquired the quintessentially conversational style that would be their hallmark, evoking the atmosphere of the Enlightenment salons he frequented during visits to Vienna in the 1770s and 1780s.
By the 1780s Haydn had begun to free himself financially from dependence on his Esterházy patrons. He did this partly by successfully marketing his compositions to publishing houses in Vienna, London, and Paris, and partly through commissions like *Die sieben letzten Worte unseres Erlösers am Kreuze* (1785–1786; Seven last words of our Redeemer on the cross), an oratorio composed for the cathedral of Cádiz in southern Spain for performance during Holy Week. But it was above all the financial success of Haydn’s triumphal London tours (1791–1792, 1794–1795) that sealed his economic independence. Haydn skillfully exploited the opportunities for performance and composition offered by the city’s commercialized musical culture with its theaters, subscription concerts, and public pleasure gardens. All in all, Haydn’s London visits earned him some 24,000 gulden, the equivalent of twenty years’ salary at Esterháza. His “London symphonies” (nos. 93–104) achieved particular success in the British capital. His succeeding years in Vienna, where he spent the remainder of his life, won him popular acclaim as well. *Die Schöpfung* (1797; The creation) and *Die Jahreszeiten* (1801; The seasons), oratorios that remain two of his most beloved compositions today, served especially to crown his broad popularity in the Austrian capital.
In this respect Haydn’s career epitomized the transition from aristocratic patronage to public performance that had begun to characterize the social
history of music during his day. The legend of “Papa Haydn,” the good-natured and self-effacing figure known for his generous encouragement of Mozart and Beethoven, can obscure the attention Haydn devoted to promoting the public reception of his own music. Commercially savvy, Haydn was keenly attuned to the tastes of his public. He often incorporated folk themes into his music, and the playful and mischievous qualities that came to be a hallmark of many of Haydn’s compositions doubtless contributed to his broad appeal. As his “Surprise” Symphony (no. 94) or “Joke” Quartet (op. 33, no. 2) illustrate, Haydn loved musical gags, sudden reversals of tempo, the injection of a humorous moment into an ostensibly serious one. Critics of his day sometimes attacked this aspect of Haydn’s music, noting his penchant for shifting unexpectedly between refinement and coarseness, the elevated and the vulgar. Yet Haydn’s success in blurring the boundaries between high and low was a key element of his popularity, attesting to his ability to appeal to a wide audience.
See also Goldoni, Carlo; Mozart, Wolfgang Amadeus; Music; Vienna.
BIBLIOGRAPHY
Gotwals, Vernon. *Haydn: Two Contemporary Portraits*. Madison, Wis., 1963.
Landon, H. C. Robbins. *Haydn: Chronicle and Works*. 5 vols. London, 1976–1980.
Landon, H. C. Robbins, and David Wyn Jones. *Haydn: His Life and Music*. London and Bloomington, Ind., 1988.
Webster, James. “Haydn, (Franz) Joseph.” In *The New Grove Dictionary of Music and Musicians*, edited by Stanley Sadie, vol. 11, pp. 171–271. London and New York, 2001.
James Van Horn Melton
HELMONT, JEAN BAPTISTE VAN (1579–1644; also known as Johannes von Helmont), Flemish chemist. Born at Brussels, Helmont studied at the University of Louvain, where dissatisfaction with the curriculum in philosophy led him to pursue medicine. He obtained a medical degree in 1599 but soon grew critical as well of ancient medical authorities. After seven years of travel and independent study he emerged as an iatrochemist, mixing chemistry with natural philosophy and medicine. In this regard Helmont followed in the tradition of Paracelsus, although with notable differences. He rejected symbolic analogies linking the macrocosm with the microcosm and considered that the Paracelsian first principles (sulfur, salt, and mercury) were created through chemical processes rather than being preexistent in material substances. While accepting the existence of sympathies in nature, he believed these to occur naturally and not as a result of supernatural forces. This last view brought him into an already raging controversy concerning the so-called weapon salve (an ointment that supposedly cured wounds after being applied not to the wound itself but to the weapon that had caused it). Although disparaging magical or diabolic explanations, Helmont thought that a certain magnetic sympathy nevertheless existed not between the weapon and the wound, but between the wound and the blood left on the weapon that had caused it. The same type of magnetic sympathy, he believed, also accounted for the effects of sacred relics. “Propositions” such as this led to his condemnation by the Spanish Inquisition and, thereafter, to his imprisonment. His collected works came to light after his death, edited and published (1648) by his son, Franciscus Mercurius (1614?–1699; also known as Francisco Mercurio van Helmont).
Much of Helmont’s medical philosophy was concerned with the activity of a vital spirit in nature. All things in nature, he believed, arose from spiritual seeds planted into the medium of elementary water. By means of a ferment, which determined the form, function, and direction of all animals, vegetables, and minerals, the seed mingled with water to become an individual entity. To find the invisible seeds of bodies he studied the chemical nature of smoke arising from combusted solids and fluids. It was this “specific smoke” that he termed *gas*, a name that for Helmont carried spiritual and religious connotations within a vitalist cosmology. Another term, *blas*, represented a universal motive power, present in nature and in every human being.
Like Paracelsus, Helmont believed that the key to understanding nature was to be found in chemistry, and a good deal of his attention was given to techniques of quantification and to determining the weights of substances in chemical reactions. In his famous tree experiment he compared the weight of water given to a growing tree with respect to the
weight of the tree itself. Against Aristotle, and on the basis of observations of a burning candle surrounded by a glass container resting in water, he argued that air could be diminished or contracted, thus making possible the existence of a vacuum in nature. He also advanced techniques for various chemical preparations, especially chemical medicines involving mercury, and advocated a corpuscularian, or particulate, view of matter. Following upon earlier suggestions, Helmont determined that acid was the digestive agent of the stomach and defended the Paracelsian idea of a medicinal liquor alkahest, which, it was claimed, could reduce every body into its first matter.
See also Alchemy; Chemistry; Medicine; Paracelsus.
BIBLIOGRAPHY
Primary Source
Helmont, Johannes von. *Ortus Medicinae*. Edited by Francisco Mercurio van Helmont. Amsterdam, 1648. Reprint. Brussels, 1966.
Secondary Sources
Clericuzio, Antonio. “From van Helmont to Boyle . . . ,” *British Journal for the History of Science* 26 (1993): 303–343.
Debus, Allen. *The Chemical Philosophy*. New York, 1977. Reprint. Mineola, N.Y., 2002, pp. 295–343.
Pagel, Walter. *Joan Baptista van Helmont: Reformer of Science and Medicine*. Cambridge, U.K., and New York, 1982.
Bruce T. Moran
HELVÉTIUS, CLAUDE-ADRIEN (1715–1771), French philosopher. Claude-Adrien Helvétius was one of the most audacious writers of the French Enlightenment. The uproar surrounding the publication of his first book, *De l’esprit* (1758), was so sensational that he was forced to recant three times. Only the conflict between the parlements and the court over control of censorship, along with his ties at court to Madame de Pompadour and the duc de Choiseul, saved him, and he decided that his second book, *De l’homme* (1773), would not be released until after his death.
Helvétius had an uncanny knack for taking thoughts common to all the philosophes and presenting them in a scandalous form that provoked all-out counterattacks from the Catholic Church. Philosophical empiricism and hedonism, denials of original sin, repudiations of the repressive ethics of Christianity—these were doctrines not of Helvétius alone but of almost all members of “the party of humanity.” But whereas other philosophes asserted the aforesaid views without calling down upon their movement the full-blown wrath of the church, Helvétius sparked a controversy that almost led to the suppression of the *Encyclopédie*—the great collective enterprise in research and propaganda undertaken by Denis Diderot (1713–1784), Jean Le Rond d’Alembert (1717–1783), and the “society of men of letters.”
Both in his empiricism and in his hedonism, Helvétius vigorously argued for a position that the exasperated philosophes regarded as impolitic, needlessly inflammatory, and a reductio ad absurdum of their own philosophy. Virtually all the philosophes agreed with Helvétius that, under cover of the Cartesian notion of innate ideas, the church had conspired to place its dogmatic assertions above criticism. The philosophes in general borrowed John Locke’s notion that our ideas are acquired rather than given, that they are the result of the interaction of the human senses with the external world, and that a supposedly innate idea is simply one whose origins in early childhood have been lost to human memory.
Helvétius went further than his comrades, however, in his dogmatic assertions that the human mind is completely passive and absolutely determined by the environment. He maintained that we are what our surroundings have made us, nothing more. The upshot of his thought was that the only difference between a genius and a fool was one of environment, which led Diderot to remark that Helvétius apparently believed his kennelman could have written *De l’esprit*. Equally disturbing, the doctrine of natural rights, so central to the Enlightenment, obviously could not survive Helvétius’s claim that there is no such thing as human nature. The final embarrassment was that Helvétius seemed to have vindicated the church’s claim that the philosophes were the champions of an uncompromising philosophical materialism.
Another charge that the church regularly lodged against the philosophes was that they were
proponents of free love and enemies of the family; and here again Helvétius—to the consternation of his comrades—seemed to prove the clergy correct. It was one thing for the philosophes to contend that the search for pleasure is an inevitable and legitimate human quest; it was quite another for Helvétius to suggest that all pleasures are bodily joys, sexual in nature. An admirer of ancient Sparta, Helvétius held that Lycurgus had utilized the sexual favors of women to transform ordinary men into heroic beings. Young Spartan females danced naked in front of the soldiers, praising the brave men, and shaming the cowards. If Helvétius had not existed, the church would have had to invent him.
Diderot, too, had dreamed of a sexual paradise, but he placed it in Tahiti rather than Europe, and refrained from publishing his tantalizing thoughts. The official Diderot was the author of *Le fils naturel* (1757; The natural son) and *Le père de famille* (1758; The father of the family), two plays that praised conventional familial ideals in exclamatory language. Helvétius, by contrast, failed to understand that discretion is sometimes the better part of enlightened valor.
Although the philosophes distanced themselves from Helvétius, some among their numbers learned to take seriously his thoughts on the arts. What Helvétius added to their discussions was the recognition that the study of culture must be linked to the study of politics. Under monarchies comedy is the most flourishing genre because the public, excluded from public affairs, is frivolous and desperate for laughter. Under republics there is a genuine public, attentive to public affairs and hungry for the ennobling passions of tragedy. England, despite its monarch, is a modern republic, the one country where an author can write for an enlightened audience.
Diderot and Paul Thiry, baron d’Holbach (1723–1789) were two of the most prominent of the philosophes who learned from Helvétius that “the dignity of the republic of letters” would remain an empty expression unless France, like England, evolved in a more republican direction. Helvétius played a crucial role in politicizing the Enlightenment.
*See also Atheism; Holbach, Paul Thiry, baron d’; Diderot, Denis; Locke, John; Mechanism; Philosophes.*
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**BIBLIOGRAPHY**
*Primary Sources*
Helvétius, Claude-Adrien. *De l’esprit*. Paris, 1988.
———. *De l’Homme*. 2 vols. Paris, 1989. The English translations dating from the eighteenth century are unreliable.
*Secondary Sources*
Andlau, Beatrix. *Helvétius, Seigneur de Voré*. Paris, 1939. For information about his life and family.
Smith, D.W. *Bibliography of the Writings of Helvétius*. Ferney, 2001.
———. *Helvétius, a Study in Persecution*. Oxford, 1965. For the politics of censorship.
MARK HULLIUNG
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**HENRY VII (ENGLAND)** (1457–1509; ruled 1485–1509), king of England. Henry Tudor, later earl of Richmond, was born in Pembroke Castle, Wales, on 28 January 1457, the son of Edmund Tudor and Margaret Beaufort. He was directly related to the Lancastrian royal family through both his mother and his father and, as such, became a key figure in the dynastic struggles of the Wars of the Roses. In 1471, with his uncle Jasper, he was forced to flee to the Continent when the Yorkist Edward IV (ruled 1461–1470; 1471–1483) recaptured the throne from Henry VI (ruled 1422–1461; 1470–1471). The next fourteen years of his life were spent in exile, first in Brittany, then in France, before he set sail at the head of a small band of English exiles and French mercenaries in August 1485 to capture the English throne. On 22 August he defeated Richard III at the Battle of Bosworth Field and was crowned king of England.
On 18 January 1486 Henry married Elizabeth of York, daughter of Edward IV, to fulfill a promise made in exile to unite the warring houses of York and Lancaster. Despite this, Henry still faced challenges to his rule from disaffected Yorkists. The first serious rebellion came in 1487 when Lambert Simnel, claiming to be the Yorkist earl of Warwick, was crowned king of England in Dublin. Henry defeated Simnel and his followers at the Battle of Stoke in June. A more serious challenge came in the person of Perkin Warbeck, who claimed to be Edward IV’s youngest son, Richard. Aided by Margaret, dowager duchess of Burgundy, and the Scottish
king, James IV (ruled 1488–1513), Warbeck attempted invasions of England in 1495 and 1497 but was eventually captured and imprisoned in the Tower. The Tudor succession was, however, further threatened in April 1502 by the death of Henry’s eldest son, Arthur (born 19 September 1486), and by a continuation of Yorkist claims in the person of Edmund de la Pole, earl of Suffolk. Most of the diplomatic efforts of the latter part of Henry’s reign were designed to secure the succession: first, by ensuring that foreign princes did not support his dynastic opponents, and second, by arranging a marriage between his second son, Henry, and Arthur’s widow, Catherine of Aragon.
Traditionally, the reign of Henry VII has been seen as the end of the Middle Ages in England and the beginning of the “New Monarchy” of the Tudors. In three ways the monarchy of Henry VII was seen to be significantly new. First, Henry was alleged to have broken the power of the “overmighty” nobility, largely responsible for the Wars of the Roses. Second, he introduced “modern” bureaucratic methods of government, rescuing the crown from the financial crisis of the mid-fifteenth century and putting the monarchy on a secure fiscal base. Finally, Henry rejected the traditional belligeriosity of English kings and sought to strengthen England’s position in Europe through diplomatic and trading alliances. More recent accounts, however, have stressed the continuity of Henry’s reign, especially with his Yorkist predecessor, Edward IV. His continued reliance on his nobility as the essential link between the crown and the localities has been stressed, while the novelty of his financial policies has been downplayed. Moreover, by invading France in 1492 and waging war with Scotland in 1496, Henry could be seen to be continuing the traditional policies of English medieval kings.
Nevertheless, Henry’s policies represented, in some respects, a significant break from the past. He used the crown’s landed patrimony, augmented through forfeitures and dynastic accident in the fifteenth century, to build up the crown’s military and political strength in the localities, at times riding roughshod over local sensibilities. Henry’s willingness to tax his subjects led to rebellion in 1489 and 1497, and his use of suspended financial penalties ensured that most of the nobility and much of the wider political nation were bound to the king by the early 1500s. At his death Henry had amassed a fortune, probably in excess of one million pounds. While these policies may have caused resentment and unrest in certain parts of the realm, there were no significant plots or rebellions within England after 1499.
Henry died on 22 April 1509, although his death was kept secret while his unpopular ministers, Empson and Dudley, were deposed in a palace coup. A measure of his success in establishing a new dynasty on the English throne must be that he was the first English king since Henry V (ruled 1413–1422) to pass the throne undisputed to his son and heir, who was to reign as Henry VIII (ruled 1509–1547).
See also Henry VIII (England); Tudor Dynasty (England).
BIBLIOGRAPHY
Carpenter, Christine. “Henry VII and the End of the Wars.” In *The Wars of the Roses: Politics and the Constitution c. 1437–1509*, edited by Christine Carpenter. Cambridge, U.K., and New York, 1997. Hostile analysis of Henry’s reign.
Chrimes, S. B. *Henry VII*. New Haven and London, 1999. Standard biography of Henry, strong on administration but lacking in analysis of politics.
Condon, Margaret. “Ruling Elites in the Reign of Henry VII.” In *The Tudor Monarchy*, edited by John Guy. London, 1997.
Cunningham, S. “Henry VII and Rebellion in North-Eastern England, 1485–1492: Bonds of Allegiance and the Establishment of Tudor Authority.” *Northern History* 32 (1996): 42–74.
Grummitt, David. “‘For the Surety of the Towne and Marches’: Early Tudor Policy towards Calais 1485–1509.” *Nottingham Medieval Studies* 44 (2000): 184–203.
———. “Henry VII, ‘Chamber Finance and the New Monarchy’: Some New Evidence.” *Historical Research* 72 (1999): 229–243.
Gunn, S. J. “The Accession of Henry VIII.” *Bulletin of the Institute of Historical Research* 64 (1991): 278–288.
———. “The Courtiers of Henry VII.” *English Historical Review* 108 (1993): 23–49; reprinted in *The Tudor Monarchy*, edited by John Guy (1997).
———. “Sir Thomas Lovell (c. 1449–1524): A New Man in a New Monarchy?” In *The End of the Middle Ages*, edited by John L. Watts, pp. 117–153. Stroud, U.K., 1998.
HENRY VIII (ENGLAND) (1491–1547; ruled 1509–1547), king of England. Henry VIII has a good claim to be regarded as England’s most important monarch. It was he who initiated and pushed through the seminal event in the nation’s history, the break with the church of Rome. Though historians have long debated the king’s motivations and the depth of his control over the policy-making process, few would question his fundamental importance to the English Reformation; nor indeed that of the English Reformation to the subsequent historical development of England, Britain, and the British Empire.
Born at Greenwich Palace on 28 June 1491, the child of Henry VII (Henry Tudor; ruled 1485–1509) and Elizabeth of York, Henry was second in line to the throne. He became heir apparent after his elder brother, Arthur, died of consumption in 1502. On 22 April 1509 Henry’s respected but unloved father died; the young prince ascended the throne amid popular rejoicing, the first uncontested succession in over half a century.
The new king quickly disposed of his father’s chief ministers, Richard Empson and Edmund Dudley (both executed for constructive treason in 1510). Their place was taken by the brilliant and ostentatious commoner Thomas Wolsey (c. 1475–1530). Henry ruled through Wolsey, who became his lord chancellor, from 1514 to 1529, making him the principal influence on the formulation of royal policy and giving him authority over the day-to-day affairs of government. The main focus of policy during the first half of the reign was foreign affairs. The early years were taken up by war with France and Scotland (1511–1514). In France, Henry achieved his first success on the field of battle (the Battle of the Spurs, 1513); in the same year King James IV of Scotland (ruled 1488–1513) was defeated and killed at the head of an invading army at Flodden. Glorious though it might be, war was a drain on the nation’s finances. Wolsey had a more realistic appreciation than his master of England’s limited resources and inferior status to the Continent’s leading powers; instead of war he pursued diplomacy as a cost-effective means of retaining the place of the king at the forefront of European relations, largely through acting as a peace broker in the conflicts between France, Spain, and the Holy Roman Empire. Henry tired of the passive role in the early 1520s, invading France once again in 1523. This invasion was an ignominious failure, ending in retreat and a severe depletion of the crown treasury; it would be the last such enterprise for almost two decades.
THE DIVORCE
On 11 June 1509, Henry married Arthur’s widow, Catherine of Aragón (1485–1536). The marriage failed to provide Henry with a male heir; only a girl born in 1516, the future Queen Mary, survived beyond infancy. For a long time a sequence of renewed pregnancies and the distractions of Wolsey’s diplomatic schemes concealed the problem, but the unhappy cycle of miscarriages and stillborn infants would not cease, aging Catherine prematurely and turning Henry increasingly suspicious of the marriage. Henry’s concerns were not idle: as a child of the Wars of the Roses he was acutely aware of the danger to the stability of the nation that a contested succession could bring; and as the child of the founder of the Tudor dynasty he knew that posterity would compare him with his father principally by his success in perpetuating the line. A male heir would certainly have saved the marriage, but by the early 1520s it was clear that Catherine could become pregnant no more.
Around mid-decade the substantial concerns over the succession combined with two related developments: the king’s infatuation with a clever and desirable lady of the court named Anne Boleyn (1507?–1536) and his discovery of two texts in the Book of Leviticus that cast doubt on the theological probity of a marriage to a dead brother’s wife. Henry soon decided that his marriage to Catherine was cursed by God and must be annulled forthwith; he would then marry Anne Boleyn, who would provide him with a son. Had Catherine been English, the papal dissolution of the marriage would have been granted immediately. But Catherine was the aunt of the Holy Roman Emperor Charles V (ruled 1519–1556), whose army had recently sacked and occupied Rome (1527); under the circumstances the pope could not help the king.
**THE BREAK WITH ROME**
Yet the king would not be deflected. Wolsey, unable to advance the matter sufficiently and detested by Anne, was discarded and died on his way to a final reckoning with his master in 1529. The cardinal’s place was taken by new men sympathetic to Anne’s cause and, like the woman who would be queen herself, attracted to the incipient Protestant ideas that had emanated from Germany over the previous decade. Chief among them were Wolsey’s erstwhile assistant Thomas Cromwell (1485?–1540), soon to replace his lord as the king’s minister, and Thomas Cranmer (1489–1556), appointed archbishop of Canterbury in 1533. These two worked with the king and his mistress on a radical solution to the great matter: if the pope would not dissolve the marriage and allow Henry to marry Anne, then the king would follow his chosen course independently of Rome. The king was determined that the process should have the appearance of legitimacy; thus it was that Parliament was called into service to provide the legal apparatus that permitted Henry to have his way.
The Parliament that sat from 1529 to 1536 is rightly known to history as the Reformation Parliament. Though it had no program at the outset for making the break with Rome and establishing an independent Church of England, that is what it did. A succession of legislative instruments deprived Rome of its authority over the English spiritual estate, redirected its finances and property to the crown, and established the king as the supreme head of the English Church. At the same time, Henry was provided with his divorce and married to Anne in 1533; a child followed the same year, though to Henry’s chagrin it was a daughter (the future Queen Elizabeth) rather than the expected son. By the middle of the decade Henry might have wondered if it had all been necessary: early in 1536 Catherine died of natural causes, and later the same year Anne, transformed from the enchanting mistress of the early days to a shrew of a wife, was executed on trumped-up charges of adultery and witchcraft, almost certainly the result of a contest between court factions seeking to make the best out of the king’s growing dislike for his second marriage.
But by now the soap opera–like succession of events had been overtaken by a much greater story. Though the king was and remained for the rest of his life conservative in his theological beliefs (with some idiosyncratic exceptions), the repudiation of the authority of Rome provided the opportunity for those of more reformist belief to make the newly established church one whose theology owed more to the emerging Protestant faith than to that of the Roman Church. During the 1530s Cromwell and Cranmer urged the king not to stop at assuming the supreme headship of the church and subsuming the institution into the state, but to appoint Protestants to key clerical positions, to issue the first officially sanctioned English Bible (published in 1539), and even to adopt a Protestant theological code for the church.
**CONSERVATISM**
Yet the advances came at a price. Henry’s innate conservatism asserted itself more strongly in the wake of Anne’s execution, as he married the religiously conventional Jane Seymour (1509?–1537) and soon after faced a huge popular rebellion, known as the Pilgrimage of Grace, against the religious changes in the north of England. Though the rebellion was extinguished in 1537, Henry’s concern at the pace of religious change became plain thereafter, and the momentum of reform slowed. Jane provided Henry with the much-desired son, the future Edward VI, in 1537, but she died days after giving birth.
As reform stagnated, Cromwell saw an opportunity to restore the initiative by pursuing the marriage of Henry to a German duchess with Protestant connections, Anne of Cleves (1515–1557). However, the plan backfired when the king set eyes on Anne for the first time just before the wedding in early 1540 and found her repulsive. Though the diplomatic situation was such that Henry had to go ahead with the marriage, Cromwell’s position was fatally compromised: his enemies persuaded the king that he was disloyal, and he was executed in the summer of 1540.
The remainder of the reign saw few developments to match those of the 1530s, as the king put a stop to further doctrinal innovation and refocused his kingship on the pastime of his younger days, foreign policy. Henry ruled in the closing years without a minister, executing policy instead through a small body of elite advisors, the Privy Council. Foreign affairs were dominated by wars with Scotland and France. Scotland was invaded in 1542 and France in 1544; though both conflicts were concluded honorably (the Treaty of Greenwich with Scotland in 1543 and the Treaty of Ardres with France in 1546), there was little in the way of diplomatic compensation for the ruinous expenses incurred. All the while the king’s marital adventures continued. In July 1540 Henry divorced Anne; less than three weeks later (on the same day as Cromwell’s execution) he married Catherine Howard (1520?–1542). Accused of adultery, she was beheaded in 1542. Henry married Catherine Parr (1512–1548), his sixth and last wife, in 1543. The oldest of Henry’s brides and previously married herself, she proved adept at managing the failing and increasingly irascible king in his dotage, not only to her own profit, but also to that of the Protestant cause, restraining the persecution of reformers and ensuring that the young prince Edward was educated by men of reformed views. King Henry VIII died on 28 January 1547, leaving behind him an independent English church, a son and regency council who would over the next five-and-a-half years put England on a course of radical religious reform, and a daughter in Elizabeth who would consolidate and defend the national church and associated national identity that her father had done so much to establish.
*See also* Church of England; Cromwell, Thomas; Divorce; Edward VI (England); Elizabeth I (England); Julius II (pope); Mary I (England); More, Thomas; Reformation, Protestant; Tudor Dynasty (England).
**BIBLIOGRAPHY**
*Primary Source*
*Letters and Papers, Foreign and Domestic, of the Reign of Henry VIII, 1509–1547.* Edited by J. S. Brewer, J. Gairdner, and R. H. Brodie. London, 1862–1910.
*Secondary Sources*
Elton, Geoffrey R. *Reform and Reformation: England, 1509–1558.* London, 1977.
Guy, John. *Tudor England.* Oxford, 1988.
MacCulloch, Diarmaid. *Thomas Cranmer: A Life.* New Haven, 1996.
McEntegart, Rory. *Henry VIII, the League of Schmalkalden, and the English Reformation.* Woodbridge, U.K., and Rochester, N.Y., 2002.
HENRY II (FRANCE) (1519–1559; ruled 1547–1559), king of France. The second son of Francis I (ruled 1515–1547) and Claude of France, Henry was born on 31 March 1519. He was seven years old when he and his older brother Francis were sent to Spain as hostages for their father, who had been captured at Pavia in February 1525. Henry felt that the Spanish mistreated him during the four years he was a prisoner and bore a lifelong grudge against both his father and Emperor Charles V (ruled 1519–1556). In October 1533 he wedded Catherine de Médicis (1519–1589) as part of an alliance with the Medici pope, Clement VII (reigned 1523–1534). The pope soon died, ending the political value of the marriage, which also came under strain because of the lack of children for the first ten years. Henry and Catherine eventually had seven children who survived childhood. Henry’s love for Diane de Poitiers further strained the marriage. Henry first met Diane when he returned from Spain in 1530, and he loved her until his death, although she was twenty years his senior.
When his older brother died in 1536, Henry became dauphin, and he ascended the throne on 31 March 1547 at the death of his father. He already had a cadre of close advisers—the constable Anne, duke of Montmorency (1493–1567); François de Lorraine, duke of Guise (1519–1563), and his brother, Charles de Lorraine, cardinal of Lorraine (1524–1574); and Marshal Jacques D’Albion de Saint-André—who now dominated the royal council. Diane also wielded broad influence over her royal lover. In government Henry largely carried on trends begun under his father; his major innovation was creating the offices of the four secretaries of state, each having responsibility for a different area of administration. The selling of royal offices was already an important source of royal revenue, but Henry greatly increased the number of venal offices.
The war against the Habsburgs continued during Henry’s reign, and he allied with the German Lutherans and the Ottoman Turks against them. With the approval of the Lutheran princes, he occupied the three bishoprics of Lorraine, and in cooperation with the Ottoman fleet, he seized Corsica from Charles V’s ally Genoa in 1553. Henry’s alliance with the Lutherans prevented him from being as severe on the French Protestants as he wished, but he took seriously his oath to protect the Catholic Church. Shortly after becoming king, he created a new chamber in the Parlement of Paris to deal with heresy. Called the chambre ardente (“zealous chamber”) for its zealous pursuit of Protestants, it condemned thirty-seven persons to death in three years. The Catholic hierarchy’s objections to its loss of jurisdiction over heresy persuaded him to close it down in 1550. The rivalry between the parlement and the episcopate over heresy prosecution rendered ineffective such harsh edicts against heresy as the Edict of Châteaubriand in 1551. This problem and Henry’s perception that heresy was lower-class sedition led him to overlook Protestantism in the French elite, and it flourished despite his resolve to rid his realm of religious dissent.
Like his father, Henry was a patron of Renaissance culture, although he preferred to patronize French talent. He completed several projects begun by Francis, including the château of Fontainebleau and the reconstruction of the Louvre, while putting his own stamp on them. The major building project under Henry was the château of Anet, done for Diane de Poitiers by Philibert Delorme (de L’Orme; 1515?–1570). In literature, Henry’s reign saw a reaction against the emphasis on using Latin and a greater effort to use French, as Joachim Du Bellay (c. 1522–1560) argued in his *Defense and Illustration of the French Language* (1549). Du Bellay was a member of the Pléiade, a group of poets who wrote in French. The most famous among them was Pierre de Ronsard (1524–1585).
The end of Henry’s reign was shadowed by economic problems, a huge royal debt amounting to 2.5 times the annual royal revenues, an upsurge in religious dissent, and continued war with the Habsburgs. When he sent an army under the duke of Guise to Italy to reclaim Naples and Milan at the urging of Pope Paul IV, Philip II (ruled 1556–1598) invaded northern France and defeated Montmorency at Saint-Quentin in August 1557. When Philip failed to push his forces on to attack Paris, Henry sent the army assembled for defending the city to take Calais in January 1558. With the fortunes of war balanced, both rulers agreed to the Peace of Cateau-Cambrésis in 1559. Henry, jousting in a tournament celebrating the peace and the marriage by proxy of his daughter Elisabeth to Philip, was fatally wounded when his opponent’s shattered lance struck him in the face. He died on 10 July 1559, leaving his fifteen-year-old son Francis II (ruled 1559–1560) a realm beset with problems, the most serious of which was the religious division.
See also Cateau-Cambrésis (1559); Renaissance.
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**BIBLIOGRAPHY**
**Primary Source**
Baudouin-Matussek, M. N., and Anne Merlin-Chazelas, eds. *Catalogue des actes de Henri II*. 6 vols. Paris, 1979–2002.
**Secondary Sources**
Baumgartner, Frederic J. *Henry II, King of France, 1547–1559*. Durham, N.C., 1988. Scholarly biography, only recent one in English.
Cloulas, Ivan. *Henri II*. Paris, 1985. Especially strong on Henry’s patronage of art and culture.
Frederic J. Baumgartner
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**HENRY III (FRANCE)** (1551–1589), king of France. Henry III was the last of the Valois dynasty and has claim to be the only intellectual to have ruled France. Unfortunately he had the double misfortune of ruling at time of prolonged civil war and of failing to produce an heir, ensuring that during his reign monarchical authority plumbed new depths of impotence. He was the sixth child and the third surviving son of Henry II (ruled 1547–1559) and Catherine de Médicis (1519–1589). His political role began early with the death of his eldest brother Francis II (1544–1560) in 1560 and the accession of Charles IX (ruled 1560–1574), making him next in line to the throne. In 1566 he became duke of Anjou and entered the royal council, where he soon made his mark as a champion of the Ultra-Catholic faction and an enemy of the prince of Condé (1530–1569), leader of the Protestant party.
Henry was a more talented and cultured man than King Charles and was less interested than his brother in traditional aristocratic pursuits such as hunting. He was the favorite son of Catherine de Médicis, and when the Wars of Religion broke out once more in 1567, she secured his appointment as commander in chief of the royal armies. Aided by a council of experienced captains, his tenure was initially successful, defeating the Protestants at Jarnac (March 1569) and Moncontour (October 1569). These victories sealed his reputation as the youthful hero of renascent Catholicism. But otherwise outright victory remained elusive, and the war ended in a compromise peace. Henry’s Ultra-Catholic sensibilities in this period gave him a vengeful streak. He transgressed chivalric convention in 1569 by ordering the murder of Condé, who had been captured at Jarnac. His role in the Massacre of Saint Bartholomew (24 August 1572) is obscure, but he was deeply implicated in the conspiracy to eliminate the Protestant leadership.
Henry’s sojourn as king of Poland in the winter of 1573–1574 and his extensive travels on his return to France to claim the throne on the death of his brother (May 1574) were a turning point. Henry now believed that Protestantism would never be defeated militarily and that civil war merely served to weaken royal authority. The fortunes of the monarchy had reached their lowest ebb, and only thoroughgoing reforms of church and state could rebuild its power. Crucial to this project were the favorites, or *mignons*, who had shared his exile and who were rewarded with royal patronage; they were a valuable core of support at a time of political instability. Henry embarked on a series of reforms of the court, of royal administration, and of finances, and by the early 1580s he had succeeded in reestablishing royal authority and balancing the books. His devout Catholicism was now redirected to combating the threat posed by the Catholic League by promoting Counter-Reformation piety within his administration and to combating schism by winning lost souls back to the faith. A supporter of the new religious orders, he encouraged his subjects to greater piety through extravagant displays of public devotion and encouraged his nobles through the foundation of the Order of the Holy Spirit.
Henry was a controversial figure in his own lifetime. He improved royal finances through the unpopular practices of selling offices and by interfering in provincial administration. Henry’s baroque piety was seen as undignified for a king, and many aristocrats were alienated by the favoritism shown to his *mignons*. Opposition would have remained marginal and Henry’s private life the subject of harmless gossip had he not been childless. In 1584 his younger brother and heir died, leaving the Protestant Henry of Navarre (1553–1610) as his successor. Henry III believed he could outmaneuver the revived Catholic League as he had before, but support for the movement led by Henry, duke of Guise, and his brother Cardinal Louis II melded intense popular religiosity with the defense of the traditional rights under attack from the rejuvenated monarchy. Particular vituperation was reserved for Henry’s beloved *mignons* the duke of Epernon and Joyeuse. Henry’s lukewarm support for war against the Protestants led to an uprising in Paris (May 1588), which left the king at the mercy of the Guise brothers and their supporters in the Catholic League. In December 1588 Henry had the Guise brothers murdered and joined forces with Navarre, ensuring that most of northern France rebelled against him. Henry was assassinated by a Catholic fanatic while besieging Paris in August 1589.
Henry III was largely dismissed in the centuries after his death as too pious, too ineffectual, and responsible for the collapse of royal authority. However, his reputation has been revived by historians who see his reforming zeal as a precursor to the religious and political changes of the seventeenth century, and as a complex and intelligent man struggling against forces beyond his control.
*See also* Condé Family; Guise Family; Valois Dynasty (France); Wars of Religion, French.
HENRY IV (FRANCE) (1553–1610, ruled 1589–1610), king of France and Navarre. Henry IV helped to end the Wars of Religion and established the foundation for France’s emergence as a major power in early modern Europe. He was the first of the Bourbon kings, and his family ruled until the French Revolution of 1789 and again during the Restoration (1815–1830). Much admired by contemporaries for his bravery and his gallantry, Henry IV was known as the Gallic Hercules and endures to this day as one of France’s most popular rulers.
FAMILY AND EARLY LIFE (1553–1572)
Henry was born 14 December 1553 at the château of Pau in Béarn. His father, Antoine de Bourbon, the duke of Vendôme (1518–1562), was a prince of the blood and headed the powerful Bourbon-Vendôme household, whose vast domains stretched from central to southwestern France. The Bourbons’ lineage went back to Robert, count of Clermont (1256–1318), the sixth son of Louis IX (ruled 1226–1270). This remote royal ancestry assumed huge significance as Henry II’s (ruled 1547–1559) sons each failed to sire an heir to continue the Valois dynasty. Henry IV’s mother, Jeanne d’Albret, queen of Navarre (ruled 1555–1572), ruled a tiny kingdom straddling the Pyrenees. Her public embrace of Calvinism in 1555 soon introduced her young son and her daughter, Catherine, to the faith. Members of the Condé branch of the Bourbon-Vendôme family also converted, most notably Louis, Prince of Condé, who led the Huguenot movement until his violent death in 1569. Henry received his formal education from Pierre Victor Palma-Cayet and François de La Gaucherie, who reinforced his Calvinist upbringing in what was otherwise a typical Renaissance curriculum that combined book learning with training in horsemanship and the handling of arms. He also frequented the royal court, which schooled him in the ways of intrigue and gallantry. Although not intellectually inclined, Henry matured to become a keen judge of character and prone to decisive, frequently impulsive acts of will to overcome the many obstacles that he faced during his eventful life. These qualities served him well as the country slipped into the chaos of the Wars of Religion (1562–1598).
HUGUENOT LEADER AND HEIR TO THE THRONE (1572–1589)
In a bid to end factional strife, the queen mother, Catherine de Médicis (1510–1589), arranged a marriage between her daughter, Marguerite of Valois (1553–1615), and Henry on 17 August 1572. The wedding, which was held in Paris, instead led to the St. Bartholomew’s Day Massacre, during which thousands of Huguenots died, including the movement’s leader, Gaspard de Coligny (1519–1572), admiral of France. Henry escaped death by renouncing his Calvinist faith and becoming a prisoner at the Valois court until his escape in February 1576. After recanting his forced conversion, Henry consolidated his leadership of the Huguenots during the course of the three wars that broke out over the next eight years. Henry’s status dramatically changed when, according to the Salic law of succession, he became heir presumptive to the French throne as a result of the death on 10 June 1584 of Francis, Duke of Alençon (1555–1584). The specter of a Huguenot succession caused a clash between the rules governing a hereditary succession and the monarchy’s long and close affiliation with Catholicism. As a result, the question of Henry of Navarre’s confessional allegiances became the central issue of the day. Militant Catholics rallied to the Holy League revived in 1584 by Henry of Lorraine, duke of Guise (1550–1589), especially after Pope Sixtus V (ruled 1585–1590) excommunicated Navarre the next year. The inability of Henry III (ruled 1574–1589) to maintain order following his humiliating expulsion from Paris on the Day of the Barricades (12 May 1588)
culminated in his calamitous decision on 24 December 1588 to order the murders of Henry, duke of Guise, and his brother, Louis, the cardinal of Guise. Rather than restore royal authority, the move sparked a general insurrection across the kingdom that eventually resulted in the king’s own assassination at the hands of a fanatical monk on 1 August 1589. The regicide brought Henry of Navarre to the
throne as Henry IV, though it was five years before he was able to command the obedience of his rebellious Catholic subjects.
WINNING THE KINGDOM (1589–1598)
Henry IV’s promise in the Declaration of St. Cloud (4 August 1589) to consider in the near future a possible Catholic conversion, coupled with decisive military victories at Arques (21 September 1589) and Ivry (14 March 1590), shored up public support for him. The grueling siege of Paris (summer 1590) demonstrated that Catholic League resistance could not be overcome by sheer force, however. Three years later, while an Estates-General met in Leaguer Paris to contemplate the election of a new French ruler, Henry IV finally decided to convert to Catholicism amidst much fanfare on 25 July 1593 at St. Denis. The advice of Maximilien de Béthune, baron of Rosny and duke of Sully (1559–1641), himself a Protestant, and of Henry IV’s Catholic mistress, Gabrielle d’Estrées (1573?–1599), are thought to have heavily influenced the king’s decision to make this “perilous leap.” The famous phrase “Paris is worth a Mass” actually came from Catholics who wanted to impugn the sincerity of Henry IV’s conversion. Crowned in accordance with Catholic ceremony on 27 February 1594 at Chartres, Henry IV triumphantly entered Paris on 24 March 1594. In 1595, Pope Clement VIII affirmed the converted king’s standing as a Catholic by bestowing a papal absolution upon him. Assassination attempts came close to ending Henry IV’s life on several occasions and eventually resulted in the expulsion of the Jesuits from the kingdom in 1595. Over the next three years, Henry IV gradually pacified the kingdom more by kindness than by force, winning the allegiance of former Catholic Leaguers through generous peace accords and allaying Huguenot fears in 1598 with the royal guarantees enshrined in the celebrated Edict of Nantes. The year 1598 also saw the signing of the Treaty of Vervins, which brought to a favorable conclusion France’s long war with Spain.
RECOVERY AND RENEWAL (1598–1610)
With peace finally at hand, Henry IV initiated a program to restore the kingdom’s well-being and the monarchy’s authority. First he had to secure his dynasty’s future. Against the better judgment of his advisors, Henry IV actively pursued the possibility of making Gabrielle his queen after the pope annulled his marriage to Marguerite of Valois in February 1599. Gabrielle had borne the king three children, all of whom he had legitimized by acts of the parlement. They were César, duke of Vendôme (1594–1665), Catherine-Henriette (1596–1663), and Alexandre, later grand prior of France (1598–1629). Gabrielle’s death in childbirth on 10 April 1599, however, dashed Henry’s hopes of marrying the woman he most adored and had come to rely upon during the early years of his reign. The king instead married Marie de Médicis (1573–1642), daughter of the Duke of Tuscany, in October 1600. On 27 September 1601, she bore him the future Louis XIII (d. 1643), who continued the Bourbon line.
Henry IV’s military successes and dashing manner won him strong admiration from the nobility, whose support was crucial in pacifying the country. With the aid of Sully, who served as *surintendant* of finances, the king put the crown’s fiscal house back in order through prudent expenditures, an overhaul of municipal finance, and the consolidation of the state’s debt. By 1608, Sully estimated that the royal treasury had accumulated reserves totaling 32.5 million livres. Henry IV also introduced a ministerial style of government that restricted the judicial prerogatives claimed by the parlements and provincial privileges claimed by local representative assemblies. In 1604, Henry IV regularized the heritable nature of venal offices by the payment of a special fee known as the Paulette. He also cultivated close relations with the old nobility by showering them with pensions and titles; those aristocrats who conspired against him felt his full wrath, however, as demonstrated by the execution of Charles, duke of Biron (1562–1602). Henry IV also encouraged the beginnings of Catholic reform among both churchmen and the lay public, working hard at the same time to uphold the protections recently granted to the Huguenots. On the economic front, the king entrusted to Barthélemy de Laffemas (c. 1545–1611) the execution of innovative measures to restore commerce and living standards—a campaign reflected in the contemporary slogan of a “chicken in every pot” (*la poule au pot*).
Henry also initiated a major urban renewal project in Paris with the building of the Pont-Neuf, the Place Royale (now Place des Vosges), the Place Dauphine, a new Hôtel de Ville, the great gallery of
the Louvre, and the completion of the Tuileries garden. During his reign, the eclecticism of the late French Renaissance gradually gave way to the more grandiose, royally inspired movement known as Classicism. Militarily, the king secured territorial gains for France in the southeast at the expense of the Duchy of Savoy; with Sully’s help, he also substantially upgraded the country’s armaments industry and invested heavily in fortification construction along the frontiers in the north and east.
As France became more unified and strengthened under his leadership, Henry thought it increasingly necessary to challenge Habsburg hegemony in Europe. An occasion to do so arose in 1609 in the lower Rhineland over the disputed succession to Jülich-Clèves. On the eve of his planned invasion, 14 May 1610, however, the king was struck down in the streets of Paris by the blade of a fanatical Roman Catholic assassin. He died a martyr in the eyes of his subjects and of later writers, such as Voltaire and Jules Michelet, who came to identify Henry IV as the very embodiment of what was best about the French. The style of rule and policy directions introduced by Henry IV led to France’s rise under his successors as Europe’s preeminent power during the next century.
See also Absolutism; Bourbon Dynasty (France); Catherine de Médicis; France; Huguenots; Marie de Médicis; Nantes, Edict of; St. Bartholomew’s Day Massacre; Wars of Religion (France).
BIBLIOGRAPHY
Buissaret, David. *Henry IV*. London and Boston, 1984. An excellent biography that traces the course of Henry IV’s life and contributions.
Finley-Crowshite, S. Annette. *Henry IV and the Towns: The Pursuit of Legitimacy in French Urban Society, 1589–1610*. Cambridge, U.K., and New York, 1999. Studies the problems and eventual solutions shaping Henry IV’s relations with urban elites during times of war and peace.
Greengrass, Mark. *France in the Age of Henri IV: The Struggle for Stability*. 2nd ed. London and New York, 1995. A brilliant analysis of France’s evolution under the first Bourbon king.
Love, Ronald. *Blood and Religion: The Conscience of Henry IV, 1553–1593*. Montreal and Ithaca, N.Y., 2001. A sensitive study that argues Henry IV remained a lifelong Calvinist even after 1593.
Wolfe, Michael. *The Conversion of Henri IV: Politics, Power, and Religious Belief in Early Modern France*. Cambridge, Mass., 1993. Examines the struggles sparked by the issue of Henry IV’s religion during the 1580s and 1590s.
MICHAEL WOLFE
HERALDRY. “Heraldry” is a term that was coined in the late sixteenth century to designate the profession of the heralds of arms, a profession that originated in the twelfth century, reached the height of its prestige and influence in the fifteenth and sixteenth, declined slowly in the seventeenth, and reached its historical nadir in the eighteenth century. The heralds have been aptly described as the priesthood of the secular religion of chivalry. Their duties included a knowledge of the emblems, identity, ancestry, dignities, precedence, and deeds of all of the members of the nobility of their district or “march of arms” (usually corresponding to a large province or a small kingdom), and of the rituals to be observed not only in knightly sports, but in the investiture of new knights, barons, princes, and kings, and in all other forms of secular ritual involving members of the noble order, especially funerals. By the early fourteenth century, the heralds had come to be permanently attached to the households of kings and princes, and divided into the ascending grades of pursuivant, herald, and king of arms. Those of the last grade—the senior heralds of kings and sovereign princes—had also been given jurisdiction over particular marches. Between 1415 and about 1520, these marches were increasingly grouped into regnal or comparable jurisdictions under a “principal king of arms,” usually attached to the corresponding order of knighthood (the Garter in England, St. Michael in France, the Golden Fleece in the Burgundian lands), and the heralds placed under the authority of a principal king might also be incorporated in a college under his presidency.
Of course, the field with which the heralds were most closely identified throughout their history was that concerned with the family of iconic emblems (two-dimensional identity signs) employed exclusively (in countries including those of Britain and Iberia) or primarily (in all other countries) by nobles and noble corporations. This field came to be
known in English by 1489 as “armory,” since the original and always essential species of emblem used in this way—a formal design of fixed elements in fixed numbers, colors, attitudes, and arrangements most commonly displayed covering the surface of a shield (though also displayed on flags and surcoats)—had been given the name “arms,” and the other species that came gradually to be formally associated with it came to be referred to by 1567 as “armorial bearings.” Persons and corporations endowed with arms were now called “armigers” and described as “armigerous.”
Down to about 1350 the science of armory seems to have been passed on orally, but from about that date forward, armory came to be the subject of brief treatises, composed both by heralds and by “heraldists” learned in the lore of heraldry. Such works were very rare before 1390, but from about that date they were produced in growing numbers in a growing number of countries, and they increased significantly in length and sophistication after 1520. These treatises were at first aimed primarily at heralds, but from about 1450 they were aimed at an audience that also included noblemen of all ranks, lawyers, court officials, and artisans who might need to paint arms on shields and flags. From about 1410 the treatises on armory were joined in many manuscripts by similar treatises on other aspects of heraldry, which soon included the imagined historical origins of the heralds and their profession (placed on the field before Troy), the qualities and knowledge ideally required of the three ranks of herald, the rights and duties of the heralds in particular ceremonies, the ranks of the nobility and how they could be acquired, the current holders of each of the higher ranks of lordly status and their arms, and the like. The heralds who composed these works were at pains to promote the dignity of their office and mystery, and in order to assimilate the latter to the growing Renaissance interest in esoteric symbolism and allegory, either borrowed or invented a vast array of symbolic implications and associations for the figures and colors of existing arms, which previously had borne little or no symbolic meaning. These fantastic ideas were only finally put to rest in the later seventeenth century, when learned antiquarians demonstrated their falsity.
Although the arms remained central to the mystery of armory, from the later fifteenth century the heralds took a steadily growing interest in the other types of armorial bearing—which included both secondary emblems and insignia (signs of nature, status, and rank)—that had come to be formally associated with the arms in the compound emblem known in English by 1548 as the “armorial achievement.” Distinct emblematic and insignial forms of achievement evolved in a largely separate fashion in the fourteenth and fifteenth centuries. The former gradually attracted to it the more important emblems of the paraheraldic system that had emerged in the 1360s (livery colors, livery badges of several types, ciphers, mottoes, and combinations of the motto and badge now called “devices”), while the insignial form incorporated the more distinctive forms of headgear, staves, and collars introduced to indicate status and rank in both the ecclesiastical and nobiliary hierarchies. The period from 1500 to 1700 saw the full fusion of the insignial and emblematic types of achievement, the completion and generalization of national systems of coronets and a universal system of clerical hats, and the assignment of insignial significance to the form, metal, and orientation of the helmet. After about 1520, achievements increasingly displaced arms from their traditional places of display, including flags and the surcoats (or “tabards”) of heralds.
Not surprisingly, both the conceptual design of armorial bearings and the artistic styles in which they were represented underwent considerable change during the course of the three centuries after 1480. The simple, generally dichromatic designs of classic armory gradually gave way to more complex, polychromatic designs involving numerous different forms of charge often set on partitions and geometrical subfields, the number of which multiplied steadily. The new forms of charge included many new monsters and figures drawn from both Christian and classical mythology. In keeping with the artistic trend of the period, all such figures were increasingly represented in natural forms and natural colors, and this contributed to the sharp decline in the standards of both design and representation characteristic of the period after 1660.
The armorial functions of the heralds in a number of countries (including those of the British Isles) were both increased and institutionalized in the fifHeraldry. Pedigree roll of Anne Harle of Brompton by Thomas Jones, 1593, showing her lineage and the coats of arms of her ancestors. The Art Archive/National Library of Wales/The Art Archive
teenth and sixteenth centuries in order to maintain some royal control over admission to the nobility. Royal or princely edicts forbidding non-armigers to assume new arms (the principal mark of nobiliary status in many countries) were followed by letters conferring on the kings of arms the right to register existing arms and to confer new arms and other bearings on those they deemed worthy, making them the gatekeepers of the noble order. The earliest letters patent making grants of this sort date from the middle years of the fifteenth century, and they become steadily more numerous over the next century or so, marking very clearly the upward social mobility characteristic of that period. At some point, the heralds of some of these countries were also ordered to make visitations of the houses of all those living nobly, and of all armigerous corporations, to determine their right to arms; in England the recorded visitations began in 1530 and continued to 1687. Both heraldry and armory followed very different paths in other countries, however. In France, for example, the heralds were never given the right to grant or record arms or establish rules for usage, and no comparable authority was established until 1615, when the office of Juge d’armes (Judge of Arms) was created outside the College of Heralds—which as a result lost all connection to armory.
The value of armorial bearings in the eyes of all ranks of society throughout the Renaissance period is clear from the extent to which those who lacked them sought them and those who had them flaunted them. The period between about 1400 and 1650 was the heyday of heraldic display throughout Latin Europe, and both armorial and paraheraldic emblems were displayed by those who had them in every possible environment. Thereafter, the display of such emblems tended to become more restrained, but it remained important throughout the eighteenth century.
See also Aristocracy and Gentry.
BIBLIOGRAPHY
Dennis, Rodney. *The Heraldic Imagination*. London, 1975. An excellent introduction to the cultural world of the heralds.
Neubecker, Ottfried. *Heraldry: Sources, Symbols, and Meaning*. New York, 1976. The best general work on heraldry available in English.
Pastoureau, Michel. *Traité d’heraldique*. 3rd ed. Paris, 1997. The best scholarly introduction to heraldry from a Continental perspective.
Wagner, Sir Anthony. *Heralds of England: A History of the Office and College of Arms*. London, 1967. The only detailed history of the Office of Arms in England.
Woodcock, Thomas, and John Martin Robinson. *The Oxford Guide to Heraldry*. Oxford and New York, 2001. The best survey of English heraldic practice available.
D’A. J. D. BOULTON
HERDER, JOHANN GOTTFRIED VON (1744–1803), German philosopher and theologian. Born in Mohrungen, East Prussia (now Morag, Poland), the son of a schoolteacher, Herder studied at the university of Königsberg for two years, where he began a lifelong friendship and correspondence with Johann Georg Hamann (1730–1787) and heard lectures by Immanuel Kant (1724–1804), then a private lecturer, not yet famous or even a professor. In 1764 Herder began a career as a Lutheran pastor, first at Riga (1764–1769), then at the court of Schaumburg-Lippe in Bückeburg (1771–1776), and finally at the court of Sachsen-Weimar in Weimar (1776–1803). Twice he nearly joined the theological faculty at the University of Göttingen, but in 1776 when the Hanoverian court in London required that he submit to a test of religious orthodoxy, he opted to follow Johann Wolfgang von Goethe (1749–1832), whom he had met in Strasbourg in 1770, to Weimar. In 1789 the Weimar court promoted him as an inducement to decline Göttingen’s offer.
During his travels in France and western Germany between his positions at Riga and Bückeburg, Herder learned of the annual essay competition sponsored by the Royal Prussian Academy of Sciences in Berlin on the topic of the origin of language. The Academy had been debating the question for nearly twenty-five years, and in December of 1770 as he convalesced from unsuccessful eye surgery in Strasbourg, Herder dashed off an entry in advance of a 1 January 1771 deadline. He won the competition, and the academy published the essay, which inaugurated a prolific literary career.
Herder’s thesis, that the difference between humans and animals was language and that language was the vehicle of cognition, was not distinctly original. Others had pointed out that, since the orangutan possessed speech organs similar to those of humans but could not freely manipulate abstract concepts in the mind apart from what they represented in space and time, the seat of language had to be not in the mouth, but in the soul. The difference, argued Herder in *Abhandlung über den Ursprung der Sprache* (Essay on the origin of language), was in the purposes of man. “The bee was a bee as soon as it built its first cell,” he wrote, “but a person was not human until he had achieved completeness. People continued to grow as long as they lived. . . . We are always in process, unsettled, unsatiated. The essence of our life is never satisfaction, rather always progression, and we have never been human until we have lived to the end.”
Unlike animals, children were uniquely vulnerable, but that weakness was by design. Children must learn to speak, and the family was the social unit charged with educating children in that most basic and essential of all human capacities—language. More than teaching a child language, the family also imparted the individual’s sense of identity and made him or her part of a group. Herder took it as a natural law that “man is by destiny a creature of the herd, of society.” Where Jean-Jacques Rousseau had said in *Émile* that the child had more to say to the mother than the mother to the child, Herder countered that by teaching children language, the family’s manner of thinking and set of values were developed and preserved. The education of the human race occurred in the bosom of the family. “Why does the mute child so weakly and unwittingly depend on his mother’s breasts and his father’s knee? So that he might be hungry for learning and learn language. He is weak so that his race may be strong.” The treasury of the family heritage was preserved through the family language. As the clan expanded into a tribe, it celebrated the deeds of its forefathers. All heroic poetry—Germanic, Ossianic, Homeric—was tribal, that is, familial, in origin.
Through the 1770s and 1780s Herder explored the formation of national character in the primitive state. *Die ältesten Urkunden des Menschengeschlechts* (1774; The oldest documents of the human race) and *Auch eine Philosophie der Geschichte zur Bildung der Menschheit* (1774; Yet another philosophy of history for the education of humanity) were comparative studies of the primitive mind in society, while *Von deutscher Art und Kunst* (1773; On the German type and art) and *Vom Geist der hebräischen Poesie* (1782–1783; The spirit of Hebrew poetry) celebrated the unique spirit of primitive Germanic and Hebrew literature. Although his prose essays drew together much of the leading scholarship of the day, Herder reflected the innovations of other scholars more than he advanced his own. His real genius was as a translator of poetry, and here he influenced Goethe and secured his reputation as an author of national import in the Romantic period. He collected two volumes of *Volkslieder* (Folksongs; 1778–1779, reissued posthumously with a third volume as *Stimmen der Völker in Liedern* [Voices of the peoples in song]), and his version of the Spanish heroic epic *El Cid* went through literally dozens of editions and reprintings in the nineteenth century. In what is now his most famous work, *Ideen zur Philosophie der Geschichte der Menschheit* (1784–1791; Ideas for the philosophy of the history of humanity, 4 vols.), he insisted that the education of the human race was tantamount to the education of individuals. The goal of the individual was to develop his or her personhood or humanity, and as individuals developed their faculties, so did the family, the community, the nation, and humanity as a whole. There was such a thing as what Gotthold Ephraim Lessing called “the education of the human race” but not in the Neoplatonic sense of individuals participating in some unified World Soul. Instead each individual, community, and nation developed according to its own internal logic, which was unique and valuable in its own right. Herder hated all forms of centralization and imperialism, whether ancient Roman or modern European, as these suppressed the unique genius of both the conquerors and the vanquished.
His notion of the uniqueness of cultural groups and the particular manifestations of mind in human history brought him into conflict with Kant’s critical philosophy. Toward the end of his life Herder offered a *Metacritique* (1799) of Kant’s *Critique of Pure Reason* (1781) arguing that there was no such thing as pure reason, only human reason. If language was the vehicle of reason, and if languages differed between nations, then so must reason also differ. Reason existed only in particular historical circumstances as it was exercised by particular peoples, nations, and communities. Just as he wrote in
that each society must find its own unique form of happiness, and within a society each generation must do the same, so in the *Metacritique* he said that each nation defines reason and rationality in its own terms, terms that do not necessarily correspond to those of eighteenth-century Europe.
*See also* German Literature and Language; Germany, Idea of; Goethe, Johann Wolfgang von; Kant, Immanuel; Lessing, Gotthold Ephraim; Neoplatonism; Romanticism.
**BIBLIOGRAPHY**
*Primary Sources*
Herder, Johann Gottfried. *Essay on the Origin of Language*. Translated by John H. Moran and Alexander Gode. New York, 1967. Together with Jean-Jacques Rousseau’s *Essay on the Origin of Languages*.
———. *J. G. Herder on Social and Political Culture*. Edited and translated by F. M. Barnard. Cambridge, U.K., 1969. This most widely available English edition of Herder contains loose and misleading translations and should be carefully verified with the German.
———. *Outlines of a Philosophy of the History of Man*. Translated by T. O. Churchill. London, 1800. Abridged as *Reflections on the Philosophy of the History of Mankind*. Edited by Frank E. Manuel. Chicago, 1968.
———. *Philosophical Writings*. Translated and edited by Michael N. Forster. Cambridge, U.K., and New York, 2002.
———. *Sämtliche Werke*. Edited by Bernhard Suphan et al. 33 vols. Tübingen, 1877–1913.
———. *The Spirit of Hebrew Poetry*. Translated by James Marsh. Burlington, Vt., 1833.
———. *Werke in zehn Bänden*. Edited by Martin Bollacher et al. 10 vols. Frankfurt am Main, 1985–2000.
*Secondary Sources*
Beiser, Frederick C. *The Fate of Reason: German Philosophy from Kant to Fichte*. Cambridge, Mass., 1989.
Berlin, Isaiah. *Vico and Herder: Two Studies in the History of Ideas*. London, 1976.
Clark, Robert T. *Herder: His Life and Thoughts*. Berkeley, 1955.
Ergang, Robert Reinhold. *Herder and the Foundations of German Nationalism*. New York, 1931.
Koepke, Wulf. *Johann Gottfried Herder*. Boston, 1987.
Zammito, John. *Kant, Herder, and the Birth of Anthropology*. Chicago, 2001.
Michael Carhart
**HERMETICISM.** Hermeticism was a philosophical movement that arose in Alexandria around the first century C.E. Influenced by Platonism, Gnosticism, Egyptian thought, and probably both Jewish and early Christian thought, Hermeticism represented a syncretistic response to foreign domination, appropriating and transforming philosophical ideas in a manner congenial to native Egyptians. The most influential texts for the Renaissance, the Hermetic Corpus, purported to be conversations between Hermes Trismegistus (Thrice-Great Hermes), an ancient Egyptian priest, and various interlocutors, particularly Pimander (the demigurge), Hermes’ son Tat (a Romanized form of the Greek Thoth and the Egyptian Theuth), and Asclepius (to the Romans, Aesculapius). These texts proposed a theurgical (god-influencing), mystical, and magical philosophy similar to Neoplatonism. Many early thinkers believed Hermes to be approximately contemporary with Moses; most importantly, Lactantius (c. 240–320), Clement of Alexandria (c. 150–211 or 215), and Augustine (354–430) granted his antiquity, though the latter considered him “amicably disposed towards [the] mockeries of the demons” (*City of God* VIII, 23). The Greek texts, long lost, were rediscovered in 1460 in Macedonia, whence they were transported to Cosimo de’ Medici in Florence, who in 1463 commissioned Marsilio Ficino (1433–1499) to translate them, interrupting the latter’s work on Plato. Ficino too accepted Hermes’ claims, and later thinkers generally followed his opinion; many considered Hermes the fountainhead of pagan learning, even claiming that all learning derived ultimately either from the tradition of Moses or from that of Hermes.
Renaissance Hermeticism had its heyday in the sixteenth century, when references to “the divine Hermes” became commonplace, often marking anti-Aristotelian and otherwise counter-mainstream philosophies. One early exemplar was Giovanni Pico della Mirandola (1463–1494), who drew on both Hermeticism and Cabala and argued that the two might bring about a renovation of learning.
An essential doctrine for Renaissance Hermeticism was the idea of the microcosm, which suggested that between universe and man existed a powerful analogy, such that each could be interinterpreted in light of the other. This bore fruit in alchemy, in which transmutation of base metals into gold within a universelike crucible effected a parallel transmutation of the alchemist’s soul. Thus the name of Hermes became a banner for occult and mystical philosophies.
Hermeticism clearly encouraged the Renaissance interest in Egypt, which influenced speculations on language and linguistic philosophy, particularly in the seventeenth century, when the Jesuit Athanasius Kircher (1601–1680) published voluminous works on hieroglyphs. More generally, Hermes served as an inspiration and justification for radical explorations of nature and divinity, notably by Paracelsus (1493–1541), Giordano Bruno (1548–1600), and John Dee (1527–1608).
The English scholar Dame Frances Yates famously proposed that the Hermetic revival also encouraged the success of the scientific revolution, arguing that Egyptian sun worship promoted Copernican heliocentrism, and that theurgy encouraged emphasis on “man as operator” upon nature. While scholars now agree that Yates overstated somewhat, the “Yates Thesis” has merit; a notable example is the immediate acceptance of William Harvey’s 1628 presentation of the circulation of the blood by the English physician and mystic Robert Fludd (1574–1637), who believed that this demonstrated the microcosm because the heart was like the sun, with blood circulating like the planets.
Despite the 1614 proof of the late origin of the Hermetic texts by the French scholar Isaac Casaubon (1559–1614), Hermeticism continued to influence thinkers as late as the Enlightenment, although this effect shifted largely (as seen in the cases of Rosicrucianism and Freemasonry) into the political sphere.
See also Alchemy; Cabala; Freemasonry; Magic; Occult Philosophy; Paracelsus; Rosicrucianism.
BIBLIOGRAPHY
Primary Source
*Hermetica: The Greek Corpus Hermeticum and the Latin Asclepius in a New English Translation with Notes and Introduction*. Translated by Brian P. Copenhaver. Cambridge, U.K., 1992. The most useful of many translations.
Secondary Sources
Faivre, Antoine. *The Eternal Hermes: From Greek God to Alchemical Magnus*. Translated by Joseelyn Godwin. Grand Rapids, Mich., 1995. Translation of six separate articles in French, covering a wide range of historical, philosophical, and bibliographical material.
Fowden, Garth. *The Egyptian Hermes: A Historical Approach to the Late Pagan Mind*. Rev. ed. Princeton, 1993. Brilliant study of the Hermetic texts in their original context.
Yates, Frances A. *Giordano Bruno and the Hermetic Tradition*. London, 1964. The most important and influential of Yates’s many works.
CHRISTOPHER I. LEHRICH
HESSE, LANDGRAVATE OF. The Hessian landgraviate, a precarious political amalgam in the west central part of the Holy Roman Empire, exemplified the changing fortunes of German territorial organization over the early modern period. General notice of the territory’s history is usually focused at the apex of its development as a strong, unified principality under Landgrave Philip the Magnanimous (ruled 1509–1567), who played a major role in the Protestant Reformation. Philip’s medieval predecessors had ruled various regional configurations shaped and reshaped more by historical contingencies than by any consistent program, and four such units constituted the major divisions of the landgraviate: the two traditional regions of Lower Hesse focused on Kassel, and Upper Hesse consisted of Marburg (contiguous only after inheritance of the county of Ziegenhain in 1437) and the county of Katzenelnbogen, itself divided into two noncontiguous regions around Rheinfels and Darmstadt.
By 1500 these (and other) parts of the landgraviate already formed a unified territorial base for the dynamic politics Philip undertook after 1518 that would leave a singular imprint on European history. After he helped to defeat Franz von Sickingen’s “knights’ revolt” in 1523, internal noble opposition to strong landgravial rule dissolved, and Philip went on to crush several peasant uprisings in 1525. His introduction of Protestantism in 1526 was notable for charitable and educational achievements (hospitals, preparatory schools, Marburg University) and a moderate stance between
Lutheranism and Zwinglianism, but Philip failed in his effort to foster doctrinal accord among Protestants at his Marburg Colloquy of 1529. To resist Charles V’s reimposition of Catholicism, Philip helped forge the Schmalkaldic League in 1531 and led its victorious restoration of the deposed Duke Ulrich of Württemberg in 1534. His notorious bigamy of 1540 weakened his leadership in the Protestant camp, however, and exposed him to the imperial ban. After his five-year imprisonment following Protestant defeat in 1547, Philip emerged ill and politically cautious, even as he continued to promote doctrinal compromise among Protestants.
The scandal caused by Philip’s bigamy carried fateful consequences for his landgraviate. To appease sons from both of his marriages, he abandoned his original intention of primogeniture, made lesser provisions for the seven illegitimate heirs, and divided his unified territory among the four sons from his first marriage: half went to the oldest, William IV (ruled 1567–1592) in Kassel, a quarter went to Ludwig IV in Marburg, while sons Philip and George I each got an eighth in Rheinfels and Darmstadt, respectively. Although they maintained many common institutions and managed to cooperate, gradually the heirs moved apart, especially on religious issues. Ludwig espoused an orthodox Lutheranism, also embraced by his brother George and nephew Ludwig V in Darmstadt, while his nephew Moritz the Learned (landgrave 1592–1627) moved Hesse-Kassel toward Calvinism. The childless deaths of all but two of Philip’s sons brought territorial adjustments and eventual survival of two Hessian landgraviates centered in Kassel and Darmstadt, which engaged in bitter disputes over their joint inheritance of Hesse-Marburg in 1604. Their decades-long conflict merged with the disastrous Thirty Years’ War (1618–1648), with its confusing reversals of military and political fortunes, economic devastation, and an estimated 40 to 50 percent population loss for Hesse. As Lutheran Darmstadt tied itself firmly to the emperor’s cause and the Calvinist line barely survived political elimination through resolute leadership and alliances with foreign powers, they set patterns for their two distinct histories thereafter.
While they faced similar challenges after 1648—demographic and economic recovery, extreme indebtedness, limited resources—Hesse-Darmstadt and Hesse-Kassel developed rather different profiles as middle-sized German states. The Lutheran landgraviate maintained limited foreign policy objectives within the Habsburg orbit, suffered heavily from Louis XIV’s aggression, and never managed debt relief. Nor could the administratively weak territory (organized as ten non-contiguous holdings) assert sovereignty over its collateral line in Hesse-Homburg. While it fostered education and attempted cameralist policies, Hesse-Darmstadt’s endemic poverty coexisted with a sometimes flourishing high culture, as at Countess Caroline’s court (1765–1774), admired throughout the German states for its musical and literary patronage.
Distinguished for its line of vigorous, highly competent Calvinist rulers, Hesse-Kassel reestablished its sixteenth-century reputation as a well-administered state. Its wartime experience led the seventeenth-century landgraves to enlarge their armies and to supplement their limited resources by leasing troops to other rulers, a common practice that they exploited consistently and successfully. From the 1680s onward this military trade enabled the dynasty to assume a subsidiary but noticeable role in European power politics, particularly within Protestant alliances among Britain, the Netherlands, Sweden, and north German states like Brandenburg-Prussia (Hesse-Kassel’s closest ally and model). Military and cameralist policies combined to increase resources, provide a modicum of public welfare and tax relief for an overburdened populace, and support the artistic and intellectual patronage that made eighteenth-century Kassel a striking home for Enlightenment institutions.
See also Calvinism; Germany, Idea of; Holy Roman Empire; Lutheranism; Schmalkaldic War (1546–1547); Thirty Years’ War (1618–1648).
Bibliography
Demandt, Karl E. Geschichte des Landes Hessen. Rev. reprint of 2nd ed. Kassel, 1980.
Fox, George Thomas. “Studies in the Rural History of Upper Hesse, 1650–1830.” Ph.D. diss., Vanderbilt University, 1976.
Heinemeyer, Walter, ed. Das Werden Hessens. Marburg, 1986.
Hillerbrand, Hans J. Landgrave Philipp of Hesse, 1504–1567: Religion and Politics in the Reformation. St. Louis, Mo., 1967.
HETMANATE (UKRAINE). A Ukrainian Cossack polity (1648–1781) ruled by a hetman, the Hetmanate is also referred to as “Little Russia.” The Hetmanate emerged as a result of the Khmelnytsky Uprising (1648), which swept Polish authority from central Ukraine. In order to consolidate his position, Hetman Bohdan Khmelnytsky was forced to seek the protection of the Muscovite tsar (by the Pereiaslav Agreement of 1654). Khmelnytsky’s successor, Hetman Ivan Vyhovskyi, repudiated the Muscovite arrangement and negotiated the Hetmanate’s adherence, as the Rus’ principedom, to a triune Polish-Lithuanian-Rus’ Commonwealth (Treaty of Hadiach, 1658). Such an arrangement was not acceptable to Muscovy, parts of Ukrainian society, or the Polish elite, and it was only partially implemented. As a result, the Hetmanate split into pro-Polish and pro-Muscovite factions, each with its own hetman, army, and administration. Attempts by competing hetmans and their foreign allies to take control of Ukraine resulted in a period of continuous warfare and anarchy known as the “Ruin” (1659–1679). With the final sanctioning of the Hetmanate’s partition (the “Eternal Peace” between Poland and Muscovy in 1686) and the elimination of the pro-Polish hetmans on the Right Bank (the western bank of the Dnieper), the Hetmanate stabilized on the Left Bank of the Dnieper.
This truncated Left-Bank Hetmanate remained under tsarist authority on the basis of the Pereiaslav Agreement. It maintained its own military, administrative, fiscal, and judicial system. Under the rule of the hetmans Ivan Samoilovych (1672–1687) and Ivan Mazepa (1687–1709), Cossack officers established themselves as a landed gentry, creating a more dynamic administration and an invigorated cultural life, including a distinctive political thought and historical literature. However, the Petrine reforms increasingly clashed with Ukrainian autonomy and drove Hetman Mazepa to break with Russia and side with Sweden, resulting in defeat at Poltava (1709).
In the eighteenth century, the Ukrainian elite developed a political outlook that combined a strong commitment to “Little Russian rights and liberties” with loyalty to the “all-Russian” tsar. Such a loyalist stand did little, however, to mitigate the leveling of Ukrainian autonomy. The first attempt to rule the Hetmanate directly, initiated by Tsar Peter I the Great (1722), was a failure, and the Hetmanate’s autonomy, including the election of a hetman, was restored in 1727. Between 1727 and the 1760s the local administration and judicial system of the Hetmanate functioned without interference, but the imperial authorities vacillated in their dealings with the Hetmanate’s central administration, at times merely supervising it and at other times assuming some of its functions.
Between 1750 and 1764, the Hetmanate experienced another respite. Because of his good connections with the imperial court (his brother was closely linked with Empress Elizabeth), Hetman Kyrylo Rozumovsky was able to restore Ukrainian autonomy virtually to the level exercised by Mazepa. But Catherine II the Great, the new empress (ruled 1762–1796), envisioned the empire as a well-ordered police state, an ambition entirely at odds with the concept of regional autonomy. Thus, the office of hetman was abolished in 1764, and with the creation of the Kiev, Chernihiv, and Novhorod-Siver’skyi vicegerencies (1781), the Hetmanate ceased to exist as a political entity.
See also Cossacks; Khmelnytsky, Bohdan; Khmelnytsky Uprising; Mazepa, Ivan; Ukraine; Ukrainian Literature and Language.
BIBLIOGRAPHY
Gajecky, George. *The Cossack Administration of the Hetmanate*. 2 vols. Cambridge, Mass., 1978.
Kohut, Zenon E. *Russian Centralism and Ukrainian Autonomy: Imperial Absorption of the Hetmanate, 1760s–1830s*. Cambridge, Mass., 1988.
HISTORIOGRAPHY. The early modern era witnessed enormous changes in historiography, both in the quantity and variety of works written about the past and in the status of history within intellectual and social life. At the dawn of the Reformation, history was still a minor genre, read principally in manuscript or in small printed editions. The Renaissance had enriched the medieval chronicle tradition, especially in Italy, by revisioning selected periods and subjects (the history of particular city-states first and foremost) according to humanist principles and in Latin that aspired to Ciceronian purity, while also focusing on the political lessons to be gleaned from the past, as done most famously by Niccolò Machiavelli (1469–1527). The changes of the next two centuries would be considerably more profound and would be driven by two engines: ideology (both religious and political), which sought to make command over the interpretation of the past a weapon in present struggles, and print, which enabled the replication and dissemination of historical works in ever-increasing numbers and, especially in the seventeenth and early eighteenth centuries, in forms accessible to an expanding readership below the level of the most affluent classes.
REFORMATION, CATHOLIC, AND NATIONAL TRADITIONS
In the German Reformation, Martin Luther’s vision of a medieval past that was not simply that of a dark time of poor learning and bad Latin (the humanist position) but of a church corrupted and led astray by unwritten traditions and papal monarchy, set the polemical tone of much sixteenth-century historical writing. Among the most noteworthy books to be produced by German Reformation scholars was *Commentaries on the State of Religion and the Empire under Charles V* by Johannes Sleidanus (1506–1556), which made use of documentary sources and information from reformers. Sleidanus’s later *Chronicle of World Empires* popularized the idea, derived from the Book of Daniel, that history had unfolded in an apocalyptic series of four major “empires,” of which the Roman would be the last. Johann Carion (1499–1537 or 1538) also produced a chronicle that would be completed by Luther’s adherent Philipp Melanchthon (1497–1560). Most significant and influential, though riddled with error, was the vast *Magdeburg Centuries*, a multivolume effort initiated by the Croatian Matthias Flacius Illyricus (1520–1575), one of Luther’s more radical disciples.
With some variation according to doctrine, this reinterpretation of the past was taken up by Protestant (Calvinist, Anglican, and Reformed) churches elsewhere in Europe. In England, where Sleidanus’s works were issued in translation, the divorce of King Henry VIII (ruled 1509–1547) from Catherine of Aragon and his break with Rome were both defended through historical research, while a series of Protestant chroniclers from Edward Hall (d. 1547) through Richard Grafton (d. 1572) and Raphael Holinshed (d. 1580?) rewrote England’s past to establish its adherence to “primitive” or pure Christianity prior to the corruption of the medieval church. The fires of persecution in several parts of Europe also ignited a new genre, the Protestant martyrology: John Foxe in England (1516–1587), Heinrich Pantaleon (1522–1595) in Basel, Adriaan Cornelis van Haemstede (1526–1562) in the Netherlands, and Jean Crespin (d. 1572) in France were among its major practitioners, their accounts of the deaths of Protestant martyrs at the hands of popish persecutors creating a strongly anti-Catholic version of history for subsequent generations.
Protestants held no monopoly on historical writing. Catholic Europe responded to the challenge of the Reformation in different ways. The Italian tradition of urban and official historiography continued through the sixteenth century, surviving the collapse of the medieval and early Renaissance city-state regime in the era of grand duchies and Spanish rule over much of the peninsula. Spain itself produced a series of able historians such as the Jesuit Juan de Mariana (1536–1624). Though many of these reflected a Castilian perspective, other parts of
the monarchy also developed historiographically, in particular Aragon, represented by the *Annals* of Jerónimo de Zurita y Castro (1512–1580), and Catalonia, by Francisco de Moncada (1586–1635). The mid-seventeenth-century Spanish crisis served as a further stimulus to the development of rival traditions there and in the Basque region. Perhaps most significant in the longer run were the works of Spanish missionaries abroad, since they introduced to European readers lands and pasts previously unknown. Following earlier works by Portuguese visitors to South and Southeast Asia such as João de Barros (c. 1496–1570) and Fernão Lopes de Castenheda (c. 1500–1559), Spaniards now wrote accounts of the Americas, in particular the Dominican Bartolomé de las Casas (1474–1566) and the Jesuit José de Acosta (1540–1600). One of the first indigenous writers, Garcilaso de la Vega, *El Inca* (1539–1616), son of an Inca princess and a Spanish soldier, contributed *Royal Commentaries of the Incas*, which provided a valuable corrective to earlier Spanish representations of the Inca Empire.
In Italy, Counter-Reformation scholars such as Cardinal Cesare Baronio (1538–1607) sought to repudiate Protestant historical writing through scholarship as well as rhetoric. Baronio’s *Ecclesiastical Annals*, which reverted to the year-by-year format favored by medieval chroniclers, repudiated the *Magdeburg Centuries* only to be attacked in turn by a Huguenot scholar, Isaac Casaubon (1559–1614), who had significantly greater philological skills than Baronio. In Venice, which was one of the few cities to retain its independence and was itself under a papal interdict in the early seventeenth century, a moderate priest named Paolo Sarpi (1552–1623) captured, in his *History of the Council of Trent*, the lost moment in the mid-sixteenth century when Christendom might have been put back together. Himself nearly the victim of assassination, Sarpi’s critical stance toward Rome and his shrewd, Tacitean appreciation of the motives of political behavior led to his book having to be published pseudonymously in London, where it was well received by Protestant readers.
In Bohemia, early Czech nationalism was integrated with a Catholic perspective in the *Czech Chronicle* by the priest Vaclav Hajek (d. 1553); a century later he was followed by Bohuslav Balbín (1621–1688), another Catholic but one who regretted the decline in Czech culture since the Battle of White Mountain in 1620. Elsewhere, Latin historiography was initiated in the Hungarian Renaissance by the Italian Antonio Bonfini (1427–1502) and followed in the sixteenth century by István Szamosközy (c. 1565–1612), a contemporary historian of his own semi-independent Transylvania, and by Miklós Istvánffy (1538–1615), who covered events from the late fifteenth to the early sixteenth century in the Habsburg-controlled parts of Hungary.
There were significant contributions to historical writing in parts of Europe relatively unaffected by the main conflicts of the Reformation and Counter-Reformation. In Poland, for instance, the heirs of the late medieval chronicler Jan Dlugosz (1415–1480), who had written in Latin, eventually included some vernacular authors, for instance Maciej Stryjkowski (1547–c. 1582) and Reinhold Heidenstein (1556–1620); a full synthesis of Polish history would first be produced by Marcin Kromer (1512–1589) in the late sixteenth century. Romanian and Moldavian historiography emerged slightly later in the work of Romanian-language aristocratic exponents such as the executed boyar conspirator Miron Costin (1633–1691). Further east, Russian historiography began to mature in Andrei Mikhailovich Kniaz Kurbskii’s (1528–1583) *History of the Muscovite Grand Prince*, written in the 1560s and largely an account of the reign of Ivan IV the Terrible (1530–1584). Seventeenth-century Russian historians were faced with a new challenge, that of integrating their own history with that of the newly absorbed Ukraine, a task accomplished by Innokentii Gizel (d. 1683) in his *Synopsis* (1674). Finally, altogether outside Christian Europe, Ottoman historiography also developed during this period in the hands of Ibrahim Peçevi (1574–1649 or 1650), a historian of the era since Suleiman the Magnificent (d. 1566), and Mustafa Naima (1655–1716), whose *Annals of the Turkish Empire from 1591 to 1659 of the Christian Era* is the outstanding record of the Ottomans during that period.
**THE DEBATE OVER NATIONAL MYTHS**
The establishment of national churches and of state-supported confessional regimes stimulated a tendency to promote national and ethnic myths (many of which had medieval or classical origins) and then
to produce debate over their veracity. In Germany, humanists such as Beatus Rhenanus (1485–1547) seized on the ancient historian Tacitus’s *Germania*, a text that had praised primitive German virtue while criticizing imperial corruption. In Scotland Presbyterian scholars such as George Buchanan (1506–1582) wrote accounts of their national past fiercely defending that realm’s independence from its wealthier southern neighbor, England; the myth of an ancient line of Scottish kings going back to pre-Christian times would prove durable until undermined by the relentless scholarship of a much later Scot, the émigré Catholic priest Thomas Innes (1662–1744). In Sweden, the Vasa regime produced Olof Petersson’s (Olaus Petri, 1493–1552) *Swedish Chronicle* in the 1530s (though King Gustav Vasa disliked this and prevented its publication), while Catholic Swedish exiles such as Archbishop Johannes Magnus (1488–1544) wrote the anti-Vasa *History of the Gothic Kingdom of Sweden*. The particular role of the Goths as European and especially Swedish ancestors was foregrounded by Magnus’s brother Olaus or Olof (1490–1557) in his *History of the Nordic People*; it was given new life in the late seventeenth century in *Atlantica*, a peculiar work by Olof Rudbeck (1630–1702) that identified Sweden with the lost kingdom of Atlantis. The old medieval myth of the founding of Rome and other states by Trojan refugees was reenergized in western Europe during the sixteenth century, as Gallican French writers argued for a foundation of their country by Francus or Francio, and English writers theirs by Brutus or Brute (a Trojan foundation being preferable to a medieval one since it would precede the establishment of the city and empire of Rome).
Most of these accounts did not stand up to scrutiny. In England, an émigré Italian named Polydore Vergil (c. 1470–1555) wrote the first full-length history of England in humanist Latin, evincing skepticism both about Brutus and about the historicity of a late-Romano-British hero, King Arthur; he was widely criticized by Welsh and English writers, including able scholars such as John Leland (c. 1506–1552) and John Bale (1495–1563). The French attack on myth was much more formidable and, for a time, decisive. The end of the sixteenth century witnessed a flourishing of scholarly activity on the past, much of it affiliated with study of the law, and Estienne Pasquier (1529–1615), among others, expressed considerable doubt about the Trojan descent and many other venerable myths in his series of *Researches on France*. Pasquier’s own teacher, the Huguenot lawyer François Hotman (1524–1590), argued for the national affiliation of the Franks and the Germans (an unpopular position in the absolutist France of the next century), his position reached by a combination of comparative legal scholarship and hatred of the royalist regime that had committed the atrocity of St. Bartholomew’s Day in 1572. It is significant that Hotman’s and Pasquier’s findings were endorsed by the Catholic antiquaries Jean du Tillet (d. 1570) and Nicolas Vignier (1530–1596): by 1600 the Trojan myth seemed all but demolished in France, and even English scholars were now handling it with cautious skepticism.
**ANTIQUARIANISM, SKEPTICISM, AND THE THEORY OF HISTORY**
As the work of these French *érudits* suggests, one of the most significant developments in historical writing at this time was the advent of antiquarianism. This had several origins, and its practitioners often had little to do with the writing of history as a formal genre; they were thus not bound by the prescribed rules for the writing of history laid down in classical and Renaissance *artes historicae* (see below). Many antiquaries approached the past through study of the law: in France, a long tradition of legal scholars from Guillaume Budé (1468–1540) and François Baudouin (1520–1573) to Hotman and Jean Bodin (1530–1596) applied the humanist concern for accurate editing of texts to the study of the law (the so-called *mos gallicus* or French method). Bodin in particular was able to rise above his sources to achieve a philosophical perspective on history, most clearly articulated in his *Method for the Easy Comprehension of History* (1566). A work that was widely read elsewhere in Europe, the *Method* attacked well-worn schemes for interpreting the past such as the “four empires” propagated by earlier historians like Sleidanus.
Other antiquaries focused on the study of words, of objects, and of places: a prominent genre from the late sixteenth century was chorography, which studied the history of particular regions or towns but used place rather than time as the organizing principle. Continental chorographers included the Brescian Ottavio Rossi (1570–1630), Guillaume Catel of Toulouse (1560–1626), and the Provençal Cesar de Nostredame (1553–1629). Their contemporary William Camden (1551–1623), the greatest English practitioner of this genre, followed the lead of his predecessor John Leland, who had journeyed about England in the 1530s and 1540s and recorded his observations in a series of unpublished *Itineraries*. Camden’s own *Britannia* (1586) was a much-reprinted work in Latin and English editions. The group of scholars of whom he was a leading member, including a short-lived Society of Antiquaries, had close ties with Continental scholars, both Protestant and Catholic, such as the numismatist and librarian Janus Gruter (1560–1627), the chronologer and philologist Joseph Justus Scaliger (1540–1609), the Dutch writer Gerhard Vossius (1577–1649), and the French contemporary historian Jacques-Auguste de Thou (1553–1617). The wealth of Latin and vernacular correspondence, a good deal of which was published at the time, and which is now held by European and English libraries, testifies to the existence of a western European “republic of letters” that could transcend confessional divisions in the pursuit of an accurate understanding of the past.
The multiplication of forms of historical writing and the tension between a belief in the unity of truth and the inescapable fact of disagreement about the past produced in the late sixteenth century a series of attempts to make some sense of historical genres and to prescribe principles for the writing, or at least the reading, of history. A variety of works of uneven sophistication, collectively known as *artes historicae* (“arts of history”) were produced all across Europe by authors such as the Spaniard Melchor Cano (1509–1560) and the German Bartholomew Keckerman (c. 1571–c. 1608). Many, following the ancient writer Dionysius of Halicarnassus, were little more than summaries of what had been written from antiquity to the current era, with critical comments. A number of such works were published together by the Swiss printer Johann Wolf in 1579. A few, such as Bodin’s *Method*, Francesco Patrizi’s (1529–1597) *Ten Dialogues on History*, and Francis Bacon’s (1561–1626) somewhat later *Advancement of Learning* (which dealt with many other subjects than history), aspired to a more systematic view and borrowed from educational theorists such as the Frenchman Petrus Ramus (1515–1572). Among the most interesting products of this time was the *History of Histories, with the Idea of Perfect History and the Design for a New History of France* (1599) by the Frenchman Henri Lancelot Voisin de la Popelinière (1541–1608). La Popelinière espoused the goal of an accurate history that would be “perfect” or complete in the sense of resting on firm scholarly foundations and would not be subject to constant revision. This notion seems foreign today, but in La Popelinière’s time it amounted to a bulwark against confessional polemic and unjustified nationalist myth. It was also an answer to credulity’s opposite extreme, a rising “pyrrhonist” doubt (associated with the followers of the ancient skeptic Pyrrho) that the past could ever actually be known with any accuracy.
**THE SEVENTEENTH CENTURY: ERUDITION AND IDEOLOGY**
Ideology continued to influence the writing of history in the seventeenth and early eighteenth centuries, for instance in Scotland, where rival Presbyterian and Episcopalian interpretations of the ecclesiastical past were represented respectively by David Calderwood (1575–1650) and Archbishop John Spottiswoode (1565–1637). But though religion remained the preeminent point of difference, ideological disagreements were not always exclusively religious, especially as the century wore on and the era of confessional warfare was displaced by one of contending commercial empires. In England, a period of bloody civil strife and regicide in the middle of the century led to a virtual explosion of historical writing from various points of view ranging from the absolutist position of Thomas Hobbes (1588–1679) to the republicanism of the Machiavellian-influenced James Harrington (1611–1677) to the radicalism of the Leveller and Digger movements, with their view that England had been enslaved not by a Roman but by a Norman yoke at the Conquest of 1066. On the Continent, the solidification of absolutist regimes, especially in France, led to a retreat from the kind of open-ended inquiry practiced in Bodin’s and Pasquier’s day, as a series of crown-sponsored historiographers royal became instead “artisans of glory.” The Trojan myth, once thoroughly discredited, returned in full force, and the scholar Nicolas Fréret (1688–1749) went to the Bastille in 1714 for the crime of maintaining the
ancient connection between the Franks and the Germans. Despite such instances of persecution, however, the “erudite” tradition remained strong in Europe, assisted by the establishment of national academies of learning and by early examples of scholarly journals. Cultural exchange between scholars of different religions and countries continued after the end of the religious wars by about the middle of the seventeenth century and into the early eighteenth. This scholarly community was not always as civilized and friendly as it has often been portrayed; the language of scholarly dispute was often heated and rhetorical to a degree that would embarrass even a scathing modern book reviewer. In this the later seventeenth-century *érudits* were simply following the lead of some of their illustrious predecessors, in particular the polymath Scaliger, possibly the most learned scholar of his own day, and John Selden (1584–1654), his younger English admirer, both of whom were also vituperative critics of those they perceived as guilty of willful error.
A century of publication and a much more widespread interest in the past meant that by the late seventeenth century, history had established itself as a printed genre much in demand: publishers in the next decades would use devices such as serial publication and advance subscription to extend history’s readership far beyond its previous social bounds. At the same time, the youth of Europe acquired both an understanding of the past (thought to be useful both in civilized discourse and in future political or legal careers, or even in the mundane matter of running estates), and a sensitivity to its difference from the present. Many students followed the grand tour that took in famous historic sites and monuments across Europe. Along the way, they collected coins and artifacts, for which a vigorous market had developed, a virtual “archaeological economy” that saw the trade and export of ancient and medieval curiosities. By the end of the century this interest had extended to natural remains such as fossils, and many scholars were shifting their attention from the explanation of physical objects according to ancient texts toward their systematic observation, collection, and comparison. Although still constrained by a scriptural chronological framework that ran no further back than six thousand years, the study of fossils and the conclusion to which it led, that there might once have lived species no longer extant, when put together with a century of awareness of New World and East Asian societies, produced a renewed wave of skepticism. Among the products of this “crisis” in belief was some searching criticism of the literal truth of the Old Testament account of the Creation, Patriarchal descent, and the Flood, especially by the Frenchman Richard Simon (1638–1712) and the Englishman Thomas Burnet (1635–1715). The skepticism and anticlericalism of Enlightenment figures such as Voltaire would be built on such foundations as these.
As the eighteenth century dawned, historiography flourished in a number of different traditions. The erudite tradition, associated with the republic of letters, continued to mix philological scholarship (the continuous improvement of editions of earlier writers) with antiquarian observation, the latter now blending with natural philosophy or science, as it did notably in the work of the Welshman Edward Lhuyd (1660–1709) and the Scot Sir Robert Sibbald (1641–1722). The polymathic ideal of seamless learning was represented perhaps most strikingly by the mathematician, philosopher, and scholar Gottfried Wilhelm Leibniz (1646–1716). Within this broad erudite tradition, the activity of producing precise, learned texts ruled by rigorous scholarship remained prominent, and in several different spheres. These included sacred history, best represented in the activities of the seventeenth-century Bollandists (whose *Acta Sanctorum* continues to this day) and Maurists, especially the founder of systematic paleography and diplomatics, Jean Mabillon (1632–1707). Late antique history was set on a new critical footing by the likes of Louis-Sebastien Le Nain de Tillemont (1637–1698). Further strides were made in administrative and legal history—the Polish *Volumina Legum* of the first half of the eighteenth century, for instance, or the studies and texts of two English antiquaries, Thomas Rymer (1641–1713) and Thomas Madox (1666–1727). National collections of historical documents were printed and annotated by a number of scholars, for instance the medieval sources of Italian history published by Ludovico Antonio Muratori (1672–1750) and the Hungarian records produced by his slightly younger contemporary, Matthias or Matyas Bél (1684–1749).
The second grand tradition, mainstream political history writing, continued to produce accounts of the national past in each land, with a few outstanding examples setting the pace, for instance Edward Hyde, earl of Clarendon’s (1609–1674) *History of the Rebellion and Civil Wars*, modeled on an earlier account of the French religious wars by the Italian Arrigo Caterino Davila (1576–1631) and François Eudes de Mézeray’s (1610–1683) *History of France*. The first Russian history to be based on detailed analysis and critical annotation of medieval sources was Vasilii Nikitich Tatishchev’s (1686–1750) *Russian History from Antiquity*, though it remained in manuscript until the late eighteenth century. Full-length national histories such as this were much in vogue, perhaps the most durable being the Scottish historian and philosopher David Hume’s (1711–1776) mid-eighteenth-century *History of England*.
Finally, the third tradition, a more philosophical one (though often based on learning as sophisticated as that of the *érudits*) stretches back to Bodin and forward to Voltaire and Herder in the Enlightenment proper. The Moldavian prince Dmitrie Cantemir (1673–1723), whose *History of the Growth and Decay of the Ottoman Empire* combines deep knowledge of Ottoman society with a cyclical view of history, belongs to this tradition, as does the Croatian proto-nationalist Pavao Vitezovic (1652–1713). Perhaps the greatest practitioners of erudite philosophical history were two Italians, the jurist Pietro Giannone (1676–1748), who wrote a *Civil History of the Kingdom of Naples* combining profound learning with an understanding of the development of culture and society, and Giambattista Vico (1668–1744), author of *New Science*. Vico conceived of three major ages of history, each with a distinctive mode of knowledge and communication, and of a series of recurring cycles in civilization. The originality and innovative perspective of his book would largely be ignored until its rediscovery in the nineteenth century, but the *New Science* now stands as the climactic achievement of early modern historical thought on the eve of the Enlightenment.
*See also* Archaeology; Bossuet, Jacques-Bénigne; Budé, Guillaume; Condorcet, Marie-Jean Caritat, marquis de; Gibbon, Edward; Grand Tour; Guicciardini, Francesco; Hagiography; Herder, Johann Gottfried von; Machiavelli, Niccolò; Martyrs and Martyrology; Muratori, Ludovico Antonio; Robertson, William; Sarpi, Paolo; Sleidanus, Johannes; Vasari, Giorgio; Vico, Giovanni Battista.
**BIBLIOGRAPHY**
Allan, David. *Virtue, Learning, and the Scottish Enlightenment: Ideas of Scholarship in Early Modern History*. Edinburgh, 1993.
Cochrane, Eric W. *Historians and Historiography in the Italian Renaissance*. Chicago, 1981. Mainly on the Renaissance, but extends into the seventeenth century.
Franklin, Julian H. *Jean Bodin and the Sixteenth-Century Revolution in the Methodology of Law and History*. New York, 1963.
Goldgar, Anne. *Impolite Learning: Conduct and Community in the Republic of Letters, 1680–1750*. New Haven, 1995.
Gregory, Brad S. *Salvation at Stake: Christian Martyrdom in Early Modern Europe*. Cambridge, Mass., 1999. Useful material on the martyrologies.
Huppert, George. *The Idea of Perfect History: Historical Erudition and Historical Philosophy in Renaissance France*. Urbana, Ill., 1970.
Johannesson, Kurt. *The Renaissance of the Goths in Sixteenth-Century Sweden: Johannes and Olaus Magnus as Politicians and Historians*. Translated and edited by James Larson. Berkeley, 1991.
Kelley, Donald R. *Faces of History: Historical Inquiry from Herodotus to Herder*. New Haven, 1998.
———. *Foundations of Modern Historical Scholarship: Language, Law and History in the French Renaissance*. New York, 1970.
Knowles, David. *Great Historical Enterprises. Problems in Monastic History*. London and New York, 1963. Essential account of Bollandists and Maurists.
McCuaig, William. *Carlo Sigonio: The Changing World of the Late Renaissance*. Princeton, 1989.
Momigliano, Arnaldo. “Ancient History and the Antiquarian.” In his *Studies in Historiography*. New York, 1966. Seminal article on the division between erudition and narrative history writing.
Pocock, J. G. A. *The Ancient Constitution and the Feudal Law: A Study of English Historical Thought in the Seventeenth Century*. Cambridge, U.K., 1987. Revised edition of classic 1957 study of English legal historical thought.
Pompa, Leon. *Vico: A Study of the “New Science.”* 2nd ed. Cambridge, U.K., and New York, 1990.
Ranum, Orest A. *Artisans of Glory: Writers and Historical Thought in Seventeenth-Century France*. Chapel Hill, N.C., 1980.
Schiffman, Zachary. *On the Threshold of Modernity: Relativism in the French Renaissance*. Baltimore, 1991.
HOBBIES, THOMAS (1588–1679), English philosopher. Thomas Hobbes, perhaps the greatest of the English philosophers, was born in Malmesbury, Wiltshire, in 1588. The son of the disreputable vicar of Westport, he was raised by a wealthy uncle who saw to his education and his admission to Magdalen Hall, Oxford (B.A., 1608). After Oxford, Hobbes became tutor to the son of William Cavendish, the earl of Derbyshire, and remained attached to the Cavendish family throughout his life.
Hobbes’s early association with Francis Bacon (1561–1626) strengthened what would become a lifelong dislike of Aristotelian philosophy that he had acquired at Oxford in opposition to his tutors. But he retained an interest in classical literature and published a translation of Thucydides’ *History of the Peloponnesian War* in 1629 and a translation of Homer in quatrains in 1674–1675. Hobbes’s discovery of geometry, his association with Marin Mersenne (1588–1648), and the friendship of Pierre Gassendi (1592–1655) and Galileo Galilei (1564–1642) provided him with the analytic scheme and scientific method for which he had been searching to undergird a complete philosophy of nature and society. An association with the Great Tew circle (a group of men of letters who met at Great Tew, Lord Falkland’s house north of Oxford) seems to have helped to move him from a humanistic and classical view of the world to one that was—in contrast to the appeals to the Bible that charged the outlooks of so many of his contemporaries—decidedly juridical and modern and drawn from the political crises that led to the English Civil War. His *Elements of the Law*, circulated in manuscript in 1640 and published in two parts in 1650, was the first statement of the darkly pessimistic view of human nature and call for undivided, absolute sovereignty for which he is known.
In late 1640—fearing for his life, he claimed, when the Long Parliament began its work—Hobbes fled to France, where he was welcomed by Mersenne’s circle and where he served briefly as tutor to the Prince of Wales (the exiled and future King Charles II). In France, he enjoyed his most productive philosophic period, culminating in the publication of his masterpiece, *Leviathan; or the Matter, Form, and Power of a Commonwealth, Ecclesiastical and Civil*, in 1651 shortly before he returned to England.
The aim of *Leviathan*, as announced in the Preface and in the Review and Conclusion, was to demonstrate, in the context of the recently concluded Civil War, the necessity of strong, overarching, unchallengeable government. The work was a distillation and an extension of Hobbes’s quest for a comprehensive philosophy that moved from accounts of ultimate reality and human nature, through logic and reason, to a radically new understanding of politics that was also an attack on virtually all religious beliefs and practices. The political genius of *Leviathan* was its use of the emerging natural law, natural rights, and social contract theories and a radically individualistic conception of human nature in conjunction with the new science rather than the more conventional divine right doctrines to defend political absolutism. In one of the most memorable phrases in the history of political thought, Hobbes described life in the pre-political state of nature as “solitary, poore, nasty, brutish, and short” (*Leviathan*, ch. 13), the only remedy for which was the agreement to form a civil society with an absolute ruler at its head. For his efforts Hobbes was rewarded with the scorn of his contemporaries, especially for his apparent atheism, although the earliest critic of political theory, the divine right patriarchal royalist Sir Robert Filmer praised his conclusions while objecting to their foundations.
After the publication of *Leviathan*, Hobbes continued to work on his systematic philosophy and to attract critics. He enjoyed the patronage and probably the protection of the restored King Charles II, but he was attacked by Parliament after the Great Fire of 1666 and ultimately forbidden the right to publish. Nonetheless, he wrote *Behemoth*, or
the *Long Parliament*, an account of English history during the period of the Civil War and Interregnum viewed from the perspective of his conceptions of human nature and politics, and an uncompleted *Dialogue between a Philosopher and a Student of the Common Law*, which offered a conception of law and sovereignty that is suggestive of the theories of J. L. Austin (1911–1960). Both works were published posthumously, in 1681 and 1682 respectively.
Hobbes’s philosophic system, pointedly anti-Scholastic and anti-Aristotelian, was naturalistic and mechanistic; knowledge and understanding were rooted in experience. His metaphysics is often summarized as “matter in motion,” and he was untroubled by some of the pressing problems of his day—and of subsequent philosophy—including accounting for the non-perceptual existence of phenomena and causation. Human beings, while capable of reason, are driven by their passions and motivated by fear, especially of one another. They are irreducibly self-interested and will cooperate only when they believe that it is to their advantage. All this was demonstrated by Hobbes’s theory of the state of nature as altogether without institutions and relationships and as a condition in which everyone enjoyed an equal, natural freedom and had the natural right to all things and no corresponding obligations or duties, leading to the famous “war of every man against every man” (*Leviathan*, ch. 13)—hence, the description of life in that situation that was quoted above.
Although he believed that there was a law of nature, Hobbes’s conception was altogether unlike the traditional view. His law of nature did not bind human actions in the absence of sufficient security, did not contain a body of moral and ethical principles, and was not truly the product of divine will. It was, however, discernable through reason, and its first principle was self-preservation. According to Hobbes, natural law commanded that people seek peace but only when others were willing to do so as well. It dictated that they agree to a social compact instituting an absolute sovereign who would maintain this conventionally established peace and to whom everyone was politically obligated because they had agreed to his rule because he “personated” them and their institutes, and because he had the legitimate power to punish their disobedience with death, which was their greatest fear. Although Hobbes believed that the establishment of a strong ruler would eventually lead to a less brutal and anxious life for the members of civil society, the psychology of the state of nature remained just beneath the surface of all human endeavors, kept in check by habits of forbearance maintained by fear of the sovereign.
Hobbes died in 1679 in the Cavendish home, Hardwick Hall in Derbyshire, and was buried nearby. Witty to the end, he composed epitaphs for himself, his favorite of which was, “This is the true Philosopher’s Stone.” It was not used.
*See also* Aristotelianism; Atheism; Bacon, Francis; Divine Right Kingship; English Civil War and Interregnum; Galileo Galilei; Gassendi, Pierre; Mathematics; Mersenne, Marin; Natural Law; Philosophy; Political Philosophy; Scientific Method.
**Bibliography**
Johnston, David. *The Rhetoric of Leviathan: Thomas Hobbes and the Politics of Cultural Transformation*. Princeton, 1986.
HOGARTH, WILLIAM (1697–1764), English painter and engraver. Famous for his biting and satirical visual commentaries on urban life, William Hogarth had a particularly profound impact on the development of print culture, especially political cartoons and the modern comic strip.
Born in London to the schoolmaster Richard Hogarth and Anne Gibbons, Hogarth served an apprenticeship in 1713 to a silver-plate engraver before becoming an independent engraver in 1720. By this time he had also taken up painting, attending the academy in St. Martin’s Lane. During the 1720s and 1730s, Hogarth emerged as an important portraitist, producing several impressive “conversation pieces”—small-scale informal group portraits of members of a family or friends in social gatherings—and a number of sensitive portraits of individual sitters. Hogarth, however, pursued his goal of history painting, achieving his first major success in 1729 with *The Beggar’s Opera*, the repre-
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William Hogarth. *A Harlot’s Progress*, plate 2: *Quarrels with Her Jew Protector*, 1732. ©Burstein Collection/Corbis
sentation of a scene from John Gay’s popular satirical ballad opera. In his *Biographical Anecdotes*, Hogarth later explained that he conceived of his pictures as stages, and men and women his players, “who by means of certain actions and gestures, are to exhibit a dumb shew” (Hogarth, 1955, p. 209). It was, above all, with his so-called modern moral subjects that Hogarth developed his ideals of pictorial drama. In this innovative genre, Hogarth related moralizing tales drawn from contemporary life in a sequence of narrative paintings, which were subsequently engraved and circulated widely. Satirical in tone, these modern moral subjects offered tart critiques of virtually all social groups.
The first of these sequential narratives, *A Harlot’s Progress* (1732), comprised six scenes that followed the misfortunes of a country girl in London. Scene two shows her dominating a Jewish lover, having adopted the flamboyant lifestyle of an aristocratic lady, complete with gossiping servants and a tea-bearing black servant. In subsequent scenes, the woman declines into prostitution and finally dies of syphilis. A similar trajectory can be witnessed in Hogarth’s *A Rake’s Progress* (1735), which tracks the fate of its spendthrift protagonist from inheritance to the madhouse. Hogarth’s most lavish modern moral subject was, however, *Marriage à la Mode* (1745). This set of images—Hogarth’s only series to take place completely indoors—comments directly on the evils that stem from greed and a continual quest for status. Scene four shows the consequences of a doomed arranged marriage. At a morning reception, the newly wed countess presides over a colorful group of hangers-on, including a French hairdresser, who fusses with her hair, and an Italian castrato. *Marriage à la Mode* also addresses artistic taste by lampooning contemporary fashion for Continental finery, including baroque painting and Palladian architecture.
Hogarth set forth his thoughts on aesthetics systematically in his 1753 treatise *The Analysis of Beauty*. In this illustrated text, Hogarth drew on everyday life and often comic examples to argue that the judgment of beauty was not the prerogative of the connoisseur, whose pretensions he despised, but rather a set of qualities available to a wider public.
Hogarth’s serious works offered fresh perspectives on the persistent social ills—substance abuse, poverty, and moral decay—that plagued life in eighteenth-century London. Operating within the lively paper culture that was transforming the early modern public sphere, Hogarth’s successful pictorial dramas both reflected these ills and developed visual critiques of their causes. In so doing, Hogarth produced a socially, morally, and politically engaging art that addressed issues of class, gender, and race in an age of colonial expansion. The artist’s skepticism left few unscathed; he ruthlessly poked fun at politicians (as in *The Times*, *The Lottery*, and *The Election* series), industrialists (*The South Sea Scheme*), clerics, the lower, middle, and upper classes. However, Hogarth also offered strikingly sympathetic representations of, for example, professional women: seamstresses, milkmaids, ballad-sellers, fish-girls, and actresses. His engaging *Strolling Actresses Dressing in a Barn* (1738), issued with the *Four Times of Day* print series, can be regarded as an icon of working-class women. His lucidly executed painting *The Shrimp Girl* (c. 1745; National Gallery, London) expresses the natural virtue of “common people” and, possibly, the nation. Hogarth’s social didacticism emerged most strongly in his graphic series *Industry and Idleness* (1747) and the diptych *Beer Street and Gin Lane* (1751), which offer the viewer a rhetorical choice between good and evil.
Although one may recognize the moral thrust of Hogarth’s works, it is difficult to align them with a single authorial voice. His work established a mode of British urban narrative marked by multiplicity, ambiguity, and trenchant humor.
*See also* Britain, Art in; Caricature and Cartoon; Prints and Popular Imagery.
**Bibliography**
*Primary Sources*
Hogarth, William. *Autobiographical Notes* (c. 1764). In *The Analysis of Beauty*. Edited by John Burke, pp. 201–236. Oxford, 1955.
Nichols, John. *Biographical Anecdotes of William Hogarth and Catalogue of His Works Chronologically Arranged*. London, 1781.
*Secondary Sources*
Bindman, David. *Hogarth*. London, 1981.
Dabydeen, David. *Hogarth’s Blacks: Images of Blacks in Eighteenth Century English Art*. Kingston-upon-Thames, U.K., 1985.
HOHENZOLLERN DYNASTY. The ruling house of Brandenburg-Prussia, the House of Hohenzollern is most famous for providing rulers of the kingdom of Prussia and later of the German empire. The ancestral home of the House of Hohenzollern is in Swabia near the sources of the Danube and Neckar Rivers, about eighty miles south of today’s Stuttgart. The Hohenzollerns began their climb to dynastic fame in 1417 when Holy Roman emperor Sigismund of Luxembourg awarded the Mark of Brandenburg in what was then the far northeast to Frederick of Hohenzollern as a reward for loyal service. Although Frederick found his new land to be poor, unproductive, and exposed to danger, he decided to stay. This land, in which Berlin later rose, was the foundation of the Hohenzollern dynasty.
The second major property to come into Hohenzollern possession was the province of East Prussia. In the early thirteenth century a Polish prince invited the Teutonic Knights, an order that emerged during the Third Crusade (1189–1192), to subdue and convert the pagan Balts in the area that would become East Prussia. The Teutonic Knights did so and settled there. In 1511 the Knights chose as their grand master a Hohenzollern, and, when the Protestant Reformation swept through northern Germany, this Hohenzollern prince dissolved the order and became simply duke of Prussia, a vassal of the king of Poland.
The third major property that enhanced the family’s power and made it a force in western Germany was the acquisition of Cleves and Mark on the Rhine, which the Hohenzollerns gained on a dynastic claim in 1609. In 1618 all three of these areas—Brandenburg, Prussia, and Cleves and Mark—came under the rule of a single Hohenzollern, John Sigismund (ruled 1608–1619), the grandfather of Frederick William, the Great Elector (ruled 1640–1688), who is credited with laying the foundations of the modern Prussian state.
See also Brandenburg; Frederick I (Prussia); Frederick II (Prussia); Frederick William (Brandenburg); Frederick William I (Prussia); Frederick William II (Prussia); Prussia; Teutonic Knights; Utrecht, Peace of (1713).
BIBLIOGRAPHY
Carsten, F. L. *The Origins of Prussia*. Oxford, 1954.
Karl A. Roider
HOLBACH, PAUL THIRY, BARON D’ (1723–1789), French philosopher, scientist, man of letters, founder of a salon, and critic of the *ancien régime*. Holbach’s life and literary career are somewhat shadowy because he published his books clandestinely to avoid persecution and did not write a memoir, diary, or a great number of letters.
Holbach was born in the village of Edesheim in the Palatinate, a German-speaking area close to France and its culture. His parents, non-noble landowners, raised him as a Catholic. In childhood, he was influenced greatly by his uncle François-Adam d’Holbach, a rich financier ennobled in Vienna in 1720 and made a baron in 1728. His uncle arranged for the young boy to leave his parents’ home and live with him in Paris. Little is known about Holbach’s education except that in 1744 he began his legal studies at the eminent University of Leiden in the Dutch Republic and spent several years there and at his uncle’s estate in that country.
Holbach settled in Paris and became a French citizen in 1749 and a barrister before the Parlement of Paris, one of the highest courts of France. But his legal career proved short-lived, for he took much more interest in his social and intellectual life. He organized a salon, holding regular Thursday and Sunday dinners at which he provided excellent food and wine and encouraged the frankest exchange of ideas. Such freethinkers as Denis Diderot, Jean Le Rond d’Alembert, Jacques-André Naigeon, and Marie-Jean Caritat, marquis de Condorcet, became members of his social circle, as did many others of varied beliefs. The salon lasted in Paris and at Holbach’s country estate nearby into the 1780s.
Holbach could afford such entertaining. His uncle had given him valuable property in 1750 and, at his death in 1753, left his nephew a large legacy in addition to the title of baron of the Holy Roman Empire. Moreover, in 1750 he married his cousin, Basile-Geneviève-Suzanne d’Aine, a daughter of the wealthy Nicolas and Suzanne d’Aine. Two years after his wife’s death in 1754, he married one of her sisters, Charlotte-Suzanne d’Aine. Holbach’s fortune was enlarged by these marriages; and in 1756 he purchased the office of secretary to the king, an expensive sinecure conferring automatic French nobility.
Holbach also aspired to be a man of letters. In the early 1750s he wrote a pamphlet favoring Italian over French music and started his collaboration on the *Encyclopédie* edited by Diderot and d’Alembert, to which he contributed hundreds of signed and anonymous articles on science, technology, religion, politics, geography, and other topics. In addition, from 1752 to 1771, he translated anonymously into French more than ten important German and Scandinavian books on chemistry, mineralogy, and metallurgy. In these books and in his articles for the *Encyclopédie*, he helped prepare the way for advances in the emerging science of geology and the revolution in chemical theory initiated by Antoine-Laurent Lavoisier and his colleagues.
Holbach’s passion for chemistry and mineralogy, his esteem for Epicurus, Lucretius, Cicero, Seneca, and other classical writers, and his admiration for the thought of French and English deists and atheists led him to forsake Catholicism and champion a deterministic, materialistic, and atheistic view of the universe. He thought matter in motion to be the sole reality and believed that men and women were purely physical beings moved by self-interest, yet capable of a humane secular morality. From 1759 to 1770, he secretly translated, edited, and authored many books that denounced all religions and their clergy for fostering illusory supernatural beliefs in God, the soul, miracles, and immortality, all of which Holbach thought increased human suffering. Several of these works sold well, especially *Le système de la nature* (1769, with a 1770 imprint; The system of nature). Naigeon and a few other members of his circle assisted him in his literary enterprise. In 1770 the Parlement of Paris and the royal administration condemned some of these works, but Holbach escaped prosecution. He concealed his authorship of these writings from all but a few trusted friends, and the government did not zealously seek to discover the identity of the author. He seems to have had protectors in high office.
In the early and mid-1770s, Holbach elaborated on his politics. In several books he asserted that rulers should maximize happiness for the greatest number of their subjects rather than allowing them to suffer from poverty and humiliation. To accomplish this, he rejected divine right absolute monarchy, enlightened despotism, rule by an aristocracy, and democracy. Instead, in the anonymous *La politique naturelle* (1773; Natural politics), he supported a monarchy that encouraged a wide distribution of land ownership and that was checked by representative bodies of landowners. How much power would be given to these bodies is unclear, but he believed France should not replicate the British House of Commons, which he visited in 1765 and considered corrupt. He also lacked confidence in change by revolution, and in 1776 dedicated his anonymous *Éthocratie* (Government based on morality) to the recently crowned Louis XVI.
After 1776 Holbach largely stopped writing for publication and did not reveal his opinions of the American Revolution and the calling of the Estates-General in France. He died in January 1789, six months before the fall of the Bastille. During the French Revolution, he became publicly known as the author of controversial works, for Naigeon and Condorcet either republished or wrote commentaries about several of them and identified them as having been written by Holbach. Since then his works have often been reprinted. He deserves to be remembered as the host of a brilliant salon, the writer and translator of important scientific works, and a fervent polemicist for materialistic atheism and political reform. His life exemplifies the French philosophes—their sociability, passion for natural science, and criticism of existing religious and political institutions.
See also Alembert, Jean Le Rond d’; Atheism; Diderot, Denis; Encyclopédie; Enlightenment; Philosophes; Salons.
BIBLIOGRAPHY
Primary Source
Holbach, Paul Thiry d’. Oeuvres philosophiques. Edited by Jean-Pierre Jackson. Paris, 1998–. A modern French edition of many of Holbach’s important books. There is no equivalent edition in English, but there are translations of some of his books.
Secondary Sources
Kors, Alan Charles. “The Atheism of d’Holbach and Naigeon.” In Atheism from the Reformation to the Enlightenment, edited by Michael Hunter and David Wooton, pp. 273–300. Oxford and New York, 1992. On Holbach’s irreligious beliefs.
———. D’Holbach’s Coterie: An Enlightenment in Paris. Princeton, 1976. A valuable study of the salon and its members.
Ladd, Everett C. “Helvétius and D’Holbach . . .” Journal of the History of Ideas 23 (1962): 221–236. On Holbach’s politics.
Naville, Paul. D’Holbach et la philosophie scientifique au XVIIe siècle. Rev. ed. Paris, 1967. The standard study of his life and works.
Rappaport, Rhoda. “Baron d’Holbach’s Campaign for German (and Swedish) Science.” Studies on Voltaire and the Eighteenth Century 323 (1994): 225–246. On Holbach’s science.
Wickwar, W. H. Baron D’Holbach: A Prelude to the French Revolution. London, 1935. Informative on Holbach’s life and thought.
FRANK A. KAFKER
HOLBEIN, HANS, THE YOUNGER (1497/98–1543), German portrait painter. Hans Holbein the Younger, a painter and designer of stained glass, woodcuts, and jewelry, was born in Augsburg to a family of artists. His father Hans the Elder (active c. 1490–1523) was probably his first teacher, and his uncles Sigmund Holbein and Hans Burgkmair the Elder (1473–c. 1531) were important early influences. He left Augsburg at eighteen to join his elder brother Ambrosius (1493/94–1519?) in Basel as journeymen in the workshop of the leading painter there, Hans Herbst, or Herbster (1470–1552), and collaborated on the marginal drawings in Oswald Myconius’s famous copy of Erasmus’s Praise of Folly. Commissions from Basel humanists and city officials soon ensued: portraits of Erasmus’s publisher, Johannes Froben; Erasmus’s attorney and heir, Bonifacius Amerbach (1519; Basel); three portraits of Erasmus himself (1523; Longford Castle, Ireland; Louvre, Paris; and Basel); a diptych portrait of the mayor Jakob Meyer and his wife Dorothea Kannegiesser (1516), who also commissioned The Meyer Madonna (1526–1530; Darmstadt); a madonna with standing saints for the then city clerk Johannes Gerster (1522, The Solothurn Madonna); and an altarpiece for a Basel city council member, Hans Oberried.
During 1517–1519 Holbein assisted his father with illusionistic decorations for the facade of the Jakob Hertenstein house (Lucerne) and the Haus zum Tanz in Basel. Admitted to the Basel painters’ guild Zum Himmel on 25 September 1519, that same year he married Elsbeth Binzenstock, a tanner’s widow. On 20 July 1520 he secured Basel citizenship, and a year later he received a commission to decorate the new council chamber. Further religious works included a Passion altarpiece, a Last Supper scene, and The Body of the Dead Christ in the Tomb (1521; all in Basel). This last work, a panel for use from Good Friday until Easter morning, is so radical a representation of death that the nineteenth-century Russian author Dostoevsky would later declare, “This picture could rob many a man of
his faith,” creating its effect with an imaginary painting in his novel *The Idiot*. Designs for the woodcut *Dance of Death* series were also made during these years (1522–1525).
Holbein traveled to France (1524), perhaps hoping to find employment with Francis I, and may have seen works by Leonardo da Vinci and Andrea del Sarto at Amboise, as well as three-color chalk drawings by Jean Clouet, a technique that he adapted for his own use in portrait work. His paintings of Venus and Cupid and of *Lais of Corinth* (1526; Basel) show the strong influence of the Franco-Italian Renaissance.
Erasmus, concerned for the welfare of his favorite painter, recommended Holbein by letter to his friend Sir Thomas More in London, and the artist departed from Basel for England, by way of Antwerp, on 29 August 1526. While there, he painted a group portrait of the More family, for which only the individual chalk studies (Windsor Castle) and the preliminary sketch (Basel) with the artist’s notes have survived—the latter was presented to Erasmus. He also finished portraits of Sir Thomas More (1527; Frick Collection, New York); the Archbishop of Canterbury William Warham (1527; Louvre, Paris); the comptroller of Henry VIII’s household, *Sir Henry Guildford*, and his wife, *Lady Guildford* (both 1527; Windsor and St. Louis); Henry’s privy councillor Sir Henry Wyatt (1527/28; Louvre, Paris); and a drawing of his son, the poet Sir Thomas Wyatt (undated). Before leaving England, Holbein also painted a portrait of the king’s German astronomer Nicolas Kratzer (1528; Louvre, Paris). Unlike his Basel paintings, which are a mixture of tempera and oil on pine or lindenwood, the British portraits were completed on oak panels.
Returning to Basel, Holbein bought two houses, painted on paper a group portrait of his wife and children, *The Artist’s Wife and Her Two Children*, *Philip and Catherine* (1528, Basel; silhouetted and mounted on panel), and made adjustments to the *Meyer Madonna*, which by then was to become an epitaph. In 1528 and 1529, during the wave of iconoclasm that accompanied the Reformation in Basel under the influence of Ulrich Zwingli, religious works of art were removed from the churches and many were destroyed. Consequently, Holbein left for England once again. Thomas More now being out of favor at court, Holbein found clients among the young German merchants of the Steelyard, including Georg Gisze of Danzig (1532; Berlin), Hermann Wedigh of Cologne (1533; New York) and Dierick Born (1533; Vienna). His double portrait of the French ambassador Jean de Dinteville and his houseguest Georges de Selve, bishop of Lavour, entitled *The Ambassadors* (1533; London) also dates from this period. Soon afterward he was made part of Henry VIII’s court, portraying Henry himself, Queen Jane Seymour (1536; Vienna), Christina of Denmark (1538; London), Anne of Cleves, and the future King Edward VI, the two-year-old Prince of Wales (1539; Washington). The King’s physician Sir John Chambers was Holbein’s last client. The artist died, probably of the plague, in 1543, leaving behind a mistress and two young children in England.
*See also* Britain, Art in; Erasmus, Desiderius; Henry VIII (England); More, Thomas.
**BIBLIOGRAPHY**
Bätschmann, Oskar, and Griener, Pascal. *Hans Holbein*. Princeton, 1997.
Ganz, Paul. *Dessins de Hans Holbein le jeune*. Geneva, 1939.
Hervey, Mary F. S. *Holbein’s ‘Ambassadors’, the Picture and the Men. An Historical Study*. London, 1900.
Michael, Erika. *Hans Holbein the Younger: A Guide to Research*. New York and London, 1997.
Roberts, Jane. *Holbein. Zeichnungen vom Hofe Heinrichs VIII*. Exh. cat. Hamburg and Basel, 1988.
Rowlands, John. *Holbein: The Paintings of Hans Holbein the Younger*. Oxford, 1985.
Strong, Roy. *Holbein and Henry VIII*. London, 1967.
Jane Campbell Hutchison
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**HOLY LEAGUES.** Several military alliances that arose between 1495 to 1699 in the turbulent conditions of Europe were given the name “Holy League.” Three of the most significant were the Holy Leagues formed to fight the Ottoman Empire by the Habsburgs, the papacy, and other states such as Venice, Genoa, and Poland. This article will discuss these anti-Ottoman alliances that were formed in 1538–1540, 1571–1573, and 1679–1699 because they were all similarly characterized as “crusades.” They were mainly financed by the increased wealth of the Habsburg empire in order to check Ottoman expansion in Europe. The increasing success of each alliance was partly the result of rising prosperity in Europe, owing to the influx of precious metals from the New World into the European economy, simultaneous with Ottoman economic decline.
**THE HOLY LEAGUE OF 1538–1540**
Venice, the Habsburg emperor Charles V, and the papacy formed the first of this type of Holy League in early 1538 to counter a wave of Ottoman expansion in Europe that had begun with the accession of Sultan Suleiman I to the throne in 1520. However, this coalition was marred from the outset by rivalry between the Venetians and Charles, who had different goals in fighting the Ottomans. As a result of this disunity, the Ottoman fleet was able to overcome the Holy League fleet at the battle of Prevesa in 1538. The Venetians left this league in 1540. Although Charles sent his own fleet in 1541 to attack the Ottomans at Algiers, weather destroyed it before it arrived, curtailing Christian plans to reassert dominance at that time over the Mediterranean.
**THE HOLY LEAGUE OF 1571–1573**
The next such Holy League was formed in 1571 by Pope Pius V between Spain, Venice, Genoa, and the papacy to respond to Ottoman attacks against Tunis and Cyprus. It achieved a significant victory at Lepanto, at the mouth of the Gulf of Patras (in modern Greece), in October 1571, but came to an end with the death of Pius in 1572 and Venice’s financial troubles, which drove the league to make peace with the Ottomans in 1573. This Holy League was also hampered by the disparate goals of its major participants.
THE HOLY LEAGUE IN THE LONG WAR (1679–1699)
After a few other attempts to form coalitions against the Turks, the Holy League of 1679–1699 was the most successful and secured the first enduring Ottoman withdrawal from European territory for several centuries. It was formed to counter the threat of Kara Mustafa Pasha against Vienna in 1683. The Polish king John III Sobieski was an important commander in this force. Although this last alliance had a naval component, its most important dimension was the advance of Habsburg forces into the Balkans for the first time, resulting in the Peace of Carlowitz in 1699, signed by the Ottoman sultan Mustafa II and the Habsburg emperor Leopold I and viewed by later historians as an important sign of the actual decline of the Ottoman Empire.
See also Charles V (Holy Roman Empire); Lepanto, Battle of; Ottoman Empire; Suleiman I; Vienna, Sieges of.
BIBLIOGRAPHY
Ingrao, Charles W. *The Habsburg Monarchy, 1618–1815*. Cambridge, U.K., 2000.
Lane, Frederic C. *Venice: A Maritime Republic*. Baltimore: 1973.
Ernest Tucker
HOLY ROMAN EMPIRE. The Holy Roman Empire was a feudal monarchy that encompassed present-day Germany, the Netherlands, Belgium, Luxembourg, Switzerland, Austria, the Czech and Slovak Republics, as well as parts of eastern France, northern Italy, Slovenia, and western Poland at the start of the early modern centuries. It was created by the coronation of the Frankish king Charlemagne as Roman emperor by Pope Leo III on Christmas Day in the year 800, thus restoring in their eyes the western Roman Empire that had been leaderless since 476. Charlemagne’s Frankish successor emperors faltered under political and military challenges, and his inheritance was permanently divided in 887. After 924 the western empire was again without an emperor until the coronation of Otto I, duke of Saxony, on 2 February 962. This coronation was seen to transfer the Roman imperial office to the heirs of the East Franks, the Germans. The position of emperor remained among the Germans until the Holy Roman Empire was abolished in the aftermath of the Napoleonic Wars in 1806.
In 1512 the name “Holy Roman Empire of the German Nation” (*Heiliges römisches Reich deutscher Nation*) became the official title of the empire, which spanned central Europe between the kingdom of France to the west and the kingdoms of Hungary and Poland to the east. In the north it was bounded by the Baltic and North Seas and by the Danish kingdom; in the south, it reached to the Alps. At no time in its long history did the empire possess clearly defined boundaries; its people, perhaps fifteen million in 1500, spoke a variety of languages and dialects. German predominated, but the advice of the Golden Bull of 1356 that future princes of the empire should learn the “German, Italian, and Slavic tongues” remained apposite. The multilingual empire stood at the crossroads of Europe and its emerging national cultures; it also included significant Jewish communities in the south and west. European trade and communication moved along the mighty rivers within the empire—the Rhine, the Main, the Danube, and the Elbe. On these rivers stood some of its most important cities: Cologne, the largest in the empire with about thirty thousand inhabitants, as well as Frankfurt, Vienna, and Hamburg. By 1500 there were about a dozen big cities with over ten thousand inhabitants each, and about twenty with between two and ten thousand people. Visitors to the empire from Italy, such as Niccolò Machiavelli, noted the size and wealth of these great German cities.
The history of the term “Holy Roman Empire of the German Nation” illustrates several key developments on the path to the early modern empire. The medieval “Roman Empire,” ambiguously created through the imperial coronation of Charlemagne, was first given the adjective “holy” (*sacrum imperium Romanum*) by the Imperial Chancellery of Frederick I Barbarossa (ruled 1152–1190) in 1157. The term “Holy Roman Empire,” used regularly from 1184, challenged the monopoly on the sacred presented by the papacy of the “Holy Roman Church” (*sancta Romana Ecclesia*) and presented the empire as an equal heir to the legacy of Rome. The first official use of the full term “Holy Roman Empire of the German Nation” in 1474 acknowledged that the empire had been for some time a German political unit in all practical terms. At the
same time, the term also underscored a sense that it was the unique destiny of the Germans to rule the universal sacred empire of Christendom. In this way the term limited claims to the empire from ambitious French rulers such as Francis I (ruled 1515–1547), who campaigned for election to the imperial throne in 1519, only to be defeated by the Habsburg Charles of Ghent, Emperor Charles V (ruled 1519–1556).
The Holy Roman Empire developed a complex legal and political structure. Its central figure was the emperor, whose position combined ancient Roman pretensions of universal, divinely sanctioned rule with the Germanic tradition of elected kingship, overlaid with efforts to define the emperor as a feudal overlord and his leading princes as his vassals. The position of emperor was elected, a characteristic the empire shared with other European monarchies such as the papacy. Just as the cardinals, princes of the church, chose each new pope, so the leading princes of the empire, called electors, chose their emperor. Technically, each emperor was first chosen “king of the Romans,” signifying his popular claim to the Roman Empire, by the leading nobles of the empire. The right of these princes to choose their king was precisely codified in 1356 by a proclamation of Emperor Charles IV (ruled 1346–1378) called the “Golden Bull.” This bull, the fundamental law of the empire, limited the right to elect the king of the Romans to seven leading princes: three
ecclesiastical electors, the archbishops of Mainz, Trier, and Cologne; and four lay electors, the king of Bohemia, the duke of Saxony, the margrave of Brandenburg, and the count Palatinate of the Rhine. Originally, the king of the Romans received the title of emperor only through coronation by the pope. This tradition was set aside by Maximilian I (ruled 1493–1519), who assumed the title “Elected Roman Emperor.” His successor Charles V was the last emperor to be crowned in Italy; subsequent emperors were still elected and crowned king of the Romans by the electors and simply assumed the title of emperor without a separate coronation. Only males were allowed to hold the imperial office.
In 1438 Albert II of Habsburg was elected to the imperial throne; he was succeeded by his cousin Frederick III (ruled 1440–1493). From their base of power in Austria, the House of Habsburg outmaneuvered other leading families of the empire to secure their election to the imperial throne again and again; from the reign of Albert in 1438 forward, a Habsburg was always elected (except for a brief interlude from 1742 to 1745 when the Wittelsbach Prince Charles Albert of Bavaria was elected as Emperor Charles VII), and the office of the emperor became quasi-hereditary. This is less surprising when one realizes that by the mid-fifteenth century only a leading prince of the empire could benefit from the imperial title, as the prestige of the emperor’s position far surpassed its actual power. In legal terms the emperor was “administrator of the empire” rather than “lord of the empire.” The empire was divided into a patchwork of principalities, some large and powerful like Wittelsbach Bavaria, others small but independent, like the imperial abbeys in the southwest. In each of these principalities rulers exercised many of the functions associated by early modern and modern political theorists with sovereignty. In the first instance the princes of the empire—rather than the emperor—collected taxes, administered justice, minted coins, and claimed responsibility for the material and spiritual salvation of their subjects. Many of the principalities of the empire had their own parliamentary bodies representing the estates of the territory.
The territorial ambitions of the princes, alongside their predilection for partible inheritance, created a patchwork of German principalities that grew bewilderingly complex. By 1450 the empire contained the seven electoral principalities; twenty-five major secular principalities, such as the duchies of Austria, Bavaria, and Brunswick; about ninety archbishoprics, bishoprics, and imperial abbeys; over one hundred independent counties of very unequal importance; and seventy free imperial cities such as Cologne, Bremen, Lübeck, and Hamburg in the north; Strasbourg, Nuremberg, Ulm, and Augsburg in the south; and Frankfurt and Mühlhausen in central Germany. These cities were subject to no one but the emperor, which made them effectively independent. In his pathbreaking analysis of the empire’s constitution in 1667, Samuel Pufendorf explained the fragmentation of political authority in the empire: “in the course of time, through the negligent complaisance of the emperors, the ambition of the princes, and the scheming of the clergy” the empire had developed from “an ordered monarchy” to “a kind of state so disharmonious” that it stood somewhere between a limited monarchy and a federation of sovereign principalities. Scholars today would explain the development in different terms but agree that the imperial monarchy had traded away considerable power and authority to the princes and the church during the medieval period.
Few European political units seem as remote and confusing as the Holy Roman Empire. At the start of the early modern period, the supranational, multiethnic structure of this feudal state made perfect sense, of course, to the people who lived in it and shaped its development. Indeed, in the period from 1450 to 1555 the Holy Roman Empire was a dynamic political unit of crucial importance to the growth of the Habsburg empire and the Protestant Reformation. It survived the chaos of the Thirty Years’ War (1618–1648) to emerge as a guarantor of peace, if not progress, in central Europe. By the mid-eighteenth century, however, Europeans saw the Holy Roman Empire in a very different light. In a Europe of centralized, hereditary monarchies consolidating their nation-states, its polycentric, supranational structure, elected emperor, and ponderous parliament had become ever more difficult to understand and explain. When it ceased to exist in 1806, few understood its significance.
IMPERIAL INSTITUTIONS IN THE RENAISSANCE
At the end of the fifteenth century the empire entered a period of institutional growth and increased political importance. The focus of the empire had shifted to its German-speaking lands, especially the wealthy southern area known as Upper Germany, which saw the birth and growth of effective imperial institutions. Foremost was its parliament, the Imperial Diet (Reichstag). The diet emerged from medieval political struggles that obligated the emperor to consult with his leading princes (in feudal terms, the holders of imperial fiefs) on decisions affecting the empire. These leading princes, including the seven electors, dukes and counts, bishops and abbots, and autonomous cities became known collectively as the “imperial estates” (Reichsstände) and their assembly as the Imperial Diet. The diet became the most important site of communication, conflict, and negotiation between the emperor and the estates.
The emperor did not rule as an autocrat but was bound by the resolutions of the Imperial Diet. As was typical of early modern statecraft, the diets often passed resolutions that could not be enforced (the Edict of Worms of 1521 is the most famous example), but its organization helped define the empire through its estates. From 1489 on, the diet met in three colleges, similar to the houses of the English Parliament: the college of the imperial electors, in which the three ecclesiastical and four lay electors each had a vote; the college of the imperial princes; and the college of the imperial free cities. The diet was summoned by the emperor only when needed; sessions were held in the leading imperial cities of the south, usually Augsburg, Nuremberg, Regensburg, or Speyer. When the diet met, the emperor presided, flanked by six of the electors, with the archbishop of Trier seated directly in front of the imperial throne. Along the sides of the hall sat the representatives of the college of imperial princes, and facing the emperor at the back of the hall were the representatives of the imperial free cities. Each college deliberated separately, voted within the college, and then cast one vote in the assembled diet. After 1663 the diet transformed itself into a body of representatives sitting permanently in Regensburg.
Frustration during the long reign of the neglectful Emperor Frederick III led to calls for imperial reform, and Emperor Maximilian I was willing to work with the estates to modernize the empire’s institutions. The Imperial Diet in Worms in 1495 marked a turning point. Led by the archbishop-elector of Mainz, Berthold von Henneberg (1484–1504), the diet outlawed all private wars and noble feuding and established the Imperial Cameral Court (Reichskammergericht) to replace violence with arbitration. The imperial estates gathered in Worms in 1495 also voted to establish a new form of direct imperial taxation, the “Common Penny” (gemeiner Pfennig), to fund the Imperial Cameral Court. The tax was collected from all male inhabitants, regardless of status, for a period of four years and was renewed in 1512 and in 1542 to pay for the defense of the empire. The division of the empire into administrative districts called Imperial Circles (Kreise) was another innovation of the reign of Maximilian. Initially these districts served to enforce the imperial peace, but later their competence was extended to include imperial taxation and defense. From 1512, the empire was divided into ten Imperial Circles: the Austrian and Burgundian regions; the circle of the Rhenish electors; the Upper Saxon, Franconian, Bavarian, and Swabian circles; and the Upper Rhenish, Lower Rhenish-Westphalian, and Lower Saxon circles. The territories of the Bohemian crown, the Swiss Confederation, and the Italian imperial fiefs were not included in this plan.
These Circles and the Imperial Diet came to define the empire by the early sixteenth century and can help us distinguish between two conceptions of the empire. The greater empire was based on theoretical claims of universal dominion and historical claims of rule over Italy, Burgundy, and Germany. This greater empire encompassed all of Italy north of the Papal States (except Venice) as fiefs of the empire and included the kingdom of Bohemia, the Swiss Confederation, and the Habsburg Netherlands. Within these broad claims based on medieval precedent, feudal law, and dynastic connections, a second, more concentrated empire (“Reichstags-Deutschland”) actually participated in the growth of imperial institutions in the fifteenth and sixteenth centuries. This empire, culturally German, found its political and institutional base in the southwest of the empire and in the electoral principalities. The diet was largely ignored by the Swiss Confederation, the Netherlands, and the kingdom of Bohemia (despite its king’s position as an elector). The treaties of
the Peace of Westphalia of 1648 confirmed the independence of the Netherlands and Switzerland from the empire; Bohemia, on the other hand, where the Thirty Years’ War had begun, was firmly integrated into the dominion of its Austrian Habsburg rulers.
The threat to the empire posed by the dynamic Ottoman Empire stood on the agenda of almost every Imperial Diet during the reigns of Maximilian I and Charles V. Habsburg Austria was constantly threatened by Turkish invasion, and the Habsburg emperors called the estates together to request aid. The threat was especially clear when the Ottoman Turks conquered most of Hungary in 1526: Austria would be next. Vienna was besieged by an army led by Suleiman the Magnificent (ruled 1520–1566) in 1529. The dependence of the Habsburg emperors on the support of the imperial estates in their struggle against Turkish expansion deeply affected their response to the next great challenge of imperial politics, the Reformation.
**EMPIRE AND REFORMATION**
The Protestant Reformation did not cause the division of Germany into dozens of independent territories; in fact, the reverse is true. The extraordinarily diverse and divided political landscape of the empire in the early sixteenth century was the single most important factor in the spread of evangelical ideas and the adoption of church reforms. As it became clear to Martin Luther that the Church of Rome would not accept his theological and pastoral reforms (referred to as “evangelical”), he turned “to the Christian Nobility of the German Nation” (the title of his important treatise of 1520, *An den christlichen Adel deutscher Nation*) and exhorted them to take up their responsibility to reform the church. Their response was varied. Luther’s own territorial ruler, Elector Frederick III the Wise of Saxony (ruled 1486–1525), was willing to allow the ideas of his unruly theologian to circulate in Saxony and in the empire; other princes and free imperial cities eagerly read, creatively interpreted, and put into practice the ideas coming out of Wittenberg. Emperor Charles V, like most of the German princes, appreciated Luther’s criticism of the papacy and the Roman curia but wanted no part of Luther’s fundamental theological challenge to the authority of the Church of Rome. Charles stated clearly that he would not “deny the religion of all his ancestors for the false teachings of a solitary monk.”
The young emperor and the rebellious theologian met at the Diet of Worms in 1521. Luther’s refusal to recant his teachings prompted the Edict of Worms, which threatened his supporters with the imperial ban and outlawry and prohibited his writings. Protected from arrest and trial for heresy by his prince, Frederick the Wise, and frightened by the disorder unleashed by the spread of evangelical ideas, Luther looked to the leading secular authorities of the empire to implement his ideas. This they did, taking advantage of the fragmentation of imperial and territorial authority across the empire. Individual principalities and city-states became “laboratories” for church reform and religious innovation. Because the builders of the first Protestant institutions were leaders among the estates of the empire, the conflict over reform and Reformation was played out in the institutions of the empire, above all in the Imperial Diets. It was at the Diet of Speyer in 1529 that the group of princes including the elector of Saxony and the landgrave of Hesse and fourteen imperial free cities submitted an official protest against the suppression of the evangelical movement. The name “Protestant” arose from their action. The next Imperial Diet at Augsburg in 1530 produced a definitive Protestant statement of faith, the Augsburg Confession of Philipp Melanchthon, and a reinforcement of the Edict of Worms. Tensions rose and in 1531 the empire’s leading Protestant princes and free cities formed a defensive alliance, the Schmalkaldic League. This alliance was not formally directed against the empire or its Catholic ruling house of Habsburg, but its confessional politics held an immense potential to disrupt the institutions of the empire.
**WAR AND PEACE IN THE CONFESSIONAL ERA**
The Protestant princes and free cities of the empire created their own territorial churches by seizing the lands of monasteries and churches, severing all links with Rome, and overseeing the doctrine and morals of their subjects. Scholars have labeled this process “confessionalization,” and it is the defining characteristic of the empire in the period from the 1530s through the end of the seventeenth century. Confessionalization meant the doctrinal and organizational consolidation of the diverging Christian Reformations into established churches with mutually exclusive creeds, constitutions, and forms of piety. The power and authority of the princes was naturally reinforced by this new level of spiritual administration.
In the confessional era the line between insider and outsider became much sharper. Subjects and rulers together deployed the new scope of territorial authority to accuse, try, and burn witches; expel Jews and Christians of other confessions; and police the poor and the criminal. The cruel work of the great European witch persecutions reached its peak in the years between 1580 and 1660, and about half of the forty to fifty thousand executions took place in the empire. The promulgation of countless church and police ordinances allowed territorial rulers to envision (though not create) a land of godly, orderly, and obedient subjects. Geographically and politically, these territories resembled modern sovereign states, and this gain in power and authority by the individual estates of the empire proved irreversible.
The first evidence that power had shifted came in the aftermath of the Schmalkaldic War (1546–1547). Despite the military victory of Charles V over the Protestant princes, he was unable to roll back the progress of the Reformation before shifting alliances forced him to flee Germany in 1552. Exhausted by the struggle to return the German princes to the Catholic faith, Charles handed all responsibility for German affairs over to his brother, Archduke Ferdinand of Austria (ruled as emperor 1558–1564), who negotiated the Religious Peace of Augsburg in 1555. This agreement established the legal equality of the Evangelical and Catholic churches and the right of princes of the empire to choose either of these confessions for their territories. With the Religious Peace of Augsburg, the empire was divided among two mutually hostile Christian confessions: Roman Catholic and Evangelical (Lutheran). After 1563, Reformed (Calvinist) churches were also established. These divisions strained the imperial institutions described above, but they continued to function. The right of reform granted by the Peace of Augsburg strengthened the estates but also secured peace in the empire just as the Netherlands and France were engulfed in wars of religion.
The Peace of Augsburg lasted for sixty-three years, and the devastating Thirty Years’ War (1618–1648) that followed was not an inevitable result of the political and confessional division of the empire. The weakness of the Habsburg emperors Rudolf II (ruled 1576–1612) and Matthias (ruled 1612–1619) paralyzed the very imperial institutions that had served to prevent war within the empire since 1555. The initial goals of Emperor Ferdinand II (ruled 1619–1637) were territorial rather than imperial; following the disorganization of his two predecessors, he sought to reimpose Habsburg authority in their hereditary lands, especially Bohemia, touching off the Bohemian revolt of 1618. This regional conflict rapidly spread as both Ferdinand and his opponents sought support (based on religion or reason of state) from within the empire and abroad. This raised a set of constitutional questions about the emperor’s power to invite external (in this case, Spanish) forces into the empire, and the rights of the estates to resist the emperor. Some scholars have argued that these fundamental constitutional questions, as much as confessional hatred and international intervention, made the war so protracted and difficult to conclude.
Despite their successes in the Thirty Years’ War, the Habsburgs did not shift the distribution of power in the empire from the princes to the emperor. Like Charles V before them, Ferdinand II and Ferdinand III (ruled 1637–1657) could not develop an imperial monarchy. The Westphalian treaties of 1648 that ended the war left the empire in the form established in 1555, “a monarchy caged by constituted aristocratic liberties,” in the words of Thomas A. Brady, Jr. The Peace of Westphalia legitimized the Reformed confession in the empire and restored the territorial and confessional status of the empire to the year 1624, the “normal year” of the treaties.
The Westphalian settlement tied the longstanding balance between emperor and estates to an international agreement designed to bring lasting peace to Europe. France and Sweden stood as guarantors of the treaty’s terms, and their purpose was to hold the empire as a whole passive in European affairs. The peace confirmed the broader European trend toward a system of fully sovereign, independent states but left the empire, with its fragmented sovereignty, and the imperial estates, with their
lesser, territorial sovereignty within the empire, as exceptions that proved the rule.
Given the consolidation of the power and authority of the individual estates by the Peace of Westphalia, was the Holy Roman Empire a state after 1648? Historians of the nineteenth and most of the twentieth centuries, focused on the modern nation-state, answered in the negative, and critically. The origins of the modern state in Germany were seen in the larger territories of the empire, especially Brandenburg-Prussia. The apotheosis of the nation-state meant the condemnation of the Old Empire, which was denied any significant contribution to the modern state. Early modern political theorists offer a different perspective. Samuel Pufendorf described the empire as “resembling a monster” in his 1667 treatise on the empire’s constitution, but Pufendorf, like most of his contemporaries, did not deny that the empire was a state—albeit a state with a complex and irregular constitution that did not fit with any classical model or modern system.
ART AND CULTURE IN THE POLYCENTRIC EMPIRE
In the century after the Peace of Westphalia, the fundamental acceptance of the existence of the empire by the other European powers led to a period of relative peace and prosperity. During this period German art, music, and learned culture once again flourished. Eighteenth-century observers lamented the empire’s lack of a capital city that could serve as a cultural center, but the polycentric structure of the empire had its benefits for the cross-pollination of ideas and cultures. As noted above, the spread of Reformation ideas and their implementation benefited from the variety of religious orders, universities, independent city-states, and centers of printing in the empire. From the mid-seventeenth century, the polycentric empire offered an array of careers, patrons, and stimuli for the arts, especially architecture and music. The flowering of German baroque architecture after 1700 can be seen in the works of Johann Bernhard Fischer von Erlach and Johann Lucas von Hildebrandt in the Habsburg lands, Balthasar Neumann in Würzburg, Matthäus Daniel Pöppelmann in Saxony, and Andreas Schlüter in Berlin. These baroque palaces and churches, each testifying to the glory of a prince of the empire, rang with the music of the age, composed by Johann Sebastian Bach in Saxony, George Frideric Handel in Hanover and London, and Franz Joseph Haydn and Wolfgang Amadeus Mozart in Vienna. The careers of these men were shaped by the variety of courts and confessions unique to the empire.
AUSTRO-PRUSSIAN DUALISM AND THE END OF THE EMPIRE
The revival of the Habsburgs’ military power and imperial authority began during the reign of Emperor Leopold I (ruled 1658–1705), as the empire was threatened by French and Turkish aggression. These threats resulted in the loss of imperial cities like Strasbourg to France (1681) and the Ottoman siege of Vienna (1683), but without imperial leadership the damage could have been much worse. This demonstrated to even the most powerful princes of the empire that its central institutions, including the emperor, were indispensable to the defense and organization of the empire and its constituent territories. By 1700 the estates focused on strengthening the Imperial Circles and the Imperial Army and supported legislation such as the Imperial Trades Edict of 1731, which regulated the craft guilds of the empire. The two highest courts of the empire, the Imperial Cameral Court and the Imperial Aulic Court (*Reichshofrat*) also grew more effective. These courts settled several major interterritorial disputes through peaceful arbitration in the late seventeenth and eighteenth centuries. They also resolved disputes within territories between princes and their estates. In a case cited by Peter H. Wilson, Duke William Hyacinth, ruler of Nassau-Siegen, was exiled from his tiny principality in 1707 by soldiers from Cologne acting on the instructions of the Imperial Aulic Court, which had ruled that he had forfeited his throne through his autocratic and irrational policies. In the free imperial city of Hamburg, a century-long dispute between the city council and the citizenry was settled in 1712 through an imperial commission. In 1719 the estates of Mecklenburg obtained a verdict and military intervention to prevent their prince’s use of his standing army against his own subjects, and in 1764 the Württemberg estates secured an injunction against their duke’s attempt to collect new taxes by force. At least a quarter of all cases heard by the Imperial Aulic Court in the period 1648–1806 were brought by subjects against their rulers, a clear sign of the
relevance of imperial institutions to subjects and princes in the last 150 years of the empire.
By the mid-eighteenth century the creation of standing armies divided the empire into “armed” and “unarmed” territories. Brandenburg-Prussia led the way with a standing army established by Frederick William I, the Great Elector (ruled 1640–1688). The Hohenzollern electors of Brandenburg, who were also the dukes of Prussia (which lay outside the empire), acquired the title of “king in Prussia” in 1701—an elevation sanctioned by Emperor Leopold I in return for military support from Brandenburg-Prussia. By the reign of Frederick II the Great (ruled 1740–1786), Brandenburg-Prussia had joined the great powers of Europe and pursued its own foreign policy. For Brandenburg-Prussia, as for Austria, the empire was now only one political factor among many.
Historians speak of the “centrifugal forces” that pulled the empire apart in the late eighteenth century. Its two largest principalities, Habsburg Austria and Hohenzollern Brandenburg-Prussia, expanded eastward in the seventeenth and eighteenth centuries, each tapping sources of authority and power outside the empire; the rulers of Saxony and Hanover did the same by accepting crowns in Poland and Great Britain. The lesser territories of the empire, the so-called “Third Germany,” focused more attention on the empire, but competition between Austria and Brandenburg-Prussia, the rigidity of the treaties of Westphalia, and the ponderous pace of imperial institutions combined to leave the empire politically impotent. A series of reforms in 1803 came too late to restore political relevance to the empire and could not prevent its elimination, through the abdication of Emperor Francis II (ruled 1792–1806), at the instigation of Napoleon. The tradition of the empire died, and its revival was not seriously discussed at the Congress of Vienna in 1815.
See also Augsburg, Religious Peace of (1555); Austro-Ottoman Wars; Charles V (Holy Roman Empire); Charles VI (Holy Roman Empire); Ferdinand I (Holy Roman Empire); Ferdinand II (Holy Roman Empire); Ferdinand III (Holy Roman Empire); Francis II (Holy Roman Empire); Frederick III (Holy Roman Empire); Free and Imperial Cities; Habsburg Dynasty: Austria; Habsburg Territories; Joseph I (Holy Roman Empire); Joseph II (Holy Roman Empire); Matthias (Holy Roman Empire); Maximilian I (Holy Roman Empire); Maximilian II (Holy Roman Empire); Peasants’ War, German; Reformation, Protestant; Representative Institutions; Schmalkaldic War (1546–1547); Thirty Years’ War (1618–1648); Westphalia, Peace of (1648).
BIBLIOGRAPHY
Primary Sources
Lindberg, Carter, ed. *The European Reformations Sourcebook*. Oxford and Malden, Mass., 2000. Good documentation of the Protestant Reformation in the empire.
Macartney, C. A., ed. *The Habsburg and Hohenzollern Dynasties in the Seventeenth and Eighteenth Centuries*. New York, 1970.
Pufendorf, Samuel. *Die Verfassung des deutschen Reiches*. Translated and edited by Horst Denzer. Frankfurt am Main, 1994. Translation of *De statu imperii Germanici* (1667).
Scott, Tom, and Robert W. Scribner, eds. and trans. *The German Peasants’ War: A History in Documents*. Atlantic Highlands, N.J., 1991. Hundreds of documents never before translated into English on the largest rebellion in the history of the empire.
Secondary Sources
Aretin, Karl Otmar, Freiherr von. *Das alte Reich, 1648–1806*. 4 vols. Stuttgart, 1993–2000. Fundamental to any discussion of the empire after the Peace of Westphalia.
Asch, Ronald G. *The Thirty Years War: The Holy Roman Empire and Europe, 1618–1648*. Basingstoke, U.K., 1997.
Bickle, Peter. *Obedient Germans? A Rebuttal: A New View of German History*. Translated by Thomas A. Brady, Jr. Charlottesville, Va., 1997.
Brady, Thomas A., Jr. “Settlements: The Holy Roman Empire.” In *Handbook of European History, 1400–1600: Late Middle Ages, Renaissance, and Reformation*. 2 vols. Edited by Thomas A. Brady, Jr., Heiko A. Oberman, and James D. Tracy. Leiden and New York, 1994–1995.
———. *Turning Swiss: Cities and Empire, 1450–1550*. Cambridge, U.K., and New York, 1985.
Carsten, F. L. *Princes and Parliaments in Germany, from the Fifteenth to the Eighteenth Century*. Oxford, 1959. Still valuable for its detail and comparative breadth.
Evans, R. J. W. *Rudolf II and His World: A Study in Intellectual History, 1576–1612*. Oxford, 1973. Reprint, Oxford, 1994.
Fichtner, Paula S. *The Habsburg Monarchy, 1490–1848: Attributes of Empire*. New York, 2003.
Gagliardo, John G. *Germany under the Old Regime, 1600–1790*. London and New York, 1991.
HOLY ROMAN EMPIRE INSTITUTIONS. Though the German monarchy existed from late Carolingian times, the Holy Roman Empire as an institutionalized structure of governance was created between 1495 and 1555, and, with modifications following the Peace of Westphalia (1648), it endured until abolished by Napoleonic decree in 1803.
The imperial reform encompasses the institutions created through negotiations at the imperial diets. Its main phase began at Worms in 1495 and culminated there in 1521; following an interruption by the Reformation, a final phase of reform occurred at Augsburg in 1555. The reform provided for new organs of justice (the Imperial Chamber Court) and peacekeeping (Perpetual Peace) and a regionally based police and military structure (the Circles) and system of taxation (the Common Penny), none of which functioned more than desultorily before the 1550s. An executive commission (the Imperial Governance Council), which functioned briefly and poorly, was also created. The most important of the later additions were the Religious Peace of Augsburg of 1555, which enabled imperial governance to function despite the religious schism, the emergence of the Imperial Aulic Council as an imperial court of justice, and the creation of the Imperial Treasurer’s office (1570s–1590s), followed in the seventeenth century by a permanent parliamentary body (the Perpetual Diet) with a fixed seat at Regensburg and formal confessional caucuses in religious matters (itio in partes).
The early modern empire was characterized by the absence of a comprehensive royal administration. The central administrative functions were divided among the imperial chancellery of the emperor, which was not entirely distinct from the Austrian chancellery; the imperial chancellery at Mainz, under the elector of Mainz, who served as arch-chancellor of the empire; and the imperial diet. From the mid-sixteenth century most administrative, fiscal, police, and military matters were handled either through the Circles or by delegated princes.
In addition to the monarchy, the principal imperial governing institution was the parliament (diet), which took institutionalized form during the last third of the fifteenth century. Until the Thirty Years’ War, the monarch called the parliament to meet in one of several (mainly southern) free cities to deliberate, advise, and decide on measures described in his agenda (referred to as the Proposition). After 1663 the diet met in continuous session at Regensburg (hence the label “Perpetual Diet”), with the Estates represented by envoys. From beginning to end, the diet deliberated in three councils: the first of the several imperial electors, the second of around fifty spiritual and thirty temporal
princes (plus one representative each for the imperial abbots and imperial counts), and the third representing the fifty-five or so free cities. Territorial (i.e., nonimperial) nobles, prelates, and towns or districts did not participate in the imperial diet, but rather in their respective territorial parliaments, if such existed.
The empire’s fiscal system remained, by European standards, primitive. Twice, in 1495 and again in the early 1540s, futile attempts were made to introduce a general property tax (the Common Penny), which, in the absence of any local imperial officials, parish priests were delegated to collect. Otherwise, taxes were levied according to registers, based on the lists of 1521, which apportioned the levies to the individual estates, based on occasionally revised estimates of their relative wealth.
The imperial church possessed no superior jurisdiction or organs. Around 1500 it consisted of around fifty prince-bishops and eight archbishops, who held lands as temporal lords, bore the title of imperial prince, and held seats in the imperial diets (although one archbishop and sixteen bishops had no such privileges). Twelve bishoprics, nine of them prince-bishoprics, were lost to the Protestants between the 1540s and 1648.
The imperial electors were fixed at seven by the Golden Bull in 1356; these were the archbishops of Mainz, Cologne, and Trier; the electors of the Palatinate, Saxony, and Brandenburg; and the king of
Bohemia. The empire’s political aristocracy consisted of the princes (dukes, margraves, landgraves, and princes, plus a few counts), who dominated the diet, while the imperial counts, barons, and knights were represented barely or not at all, though in the sixteenth century they formed important corporate organizations on a regional basis. The nobility, great and small, dominated the bishoprics (and great abbeys), thanks to their predominance in the electing bodies, the cathedral chapters. This power, with which both Vienna and Rome had to come to terms, was not broken until the end of the empire.
The strengths of imperial governance lay in its stability and flexibility. Its stability rested on a fundamental understanding that neither the monarchy nor the Estates could rule alone, an arrangement that encouraged negotiation and compromise. This rule, fixed between 1495 and 1521, was threatened only twice—first between 1546 and 1552 and then during the Thirty Years’ War—by insurrection and civil war. Once the political consequences of the religious schism were contained, the system remained remarkably stable during its last 150 years. The flexibility of imperial governance arose from its dependence for the enforcement of law not on a central, royal apparatus of officials but on the Estates in their regions, organized into the Circles.
The greatest weakness of imperial governance lay in the area of defense. For defense against the Ottomans in Hungary until 1681 and for offensive action thereafter, the empire depended on the Habsburg Monarchy and the defensive system of the Austrian lands. It was powerless to prevent Spanish, Danish, Swedish, and French incursions during the Thirty Years’ War and equally helpless to act in concert during the wars of Louis XIV and those of the eighteenth century. A second weakness consisted in the inability of the empire’s weakly articulated central government to promote economic growth.
Recent literature on imperial governance has contradicted the earlier, highly unfavorable estimates of the empire’s functioning as a state. It emphasizes the imperial policy of protecting small Estates from the expansionist aims of the great princes and affording access to courts of law on several levels. Currently, there is a tendency to idealize the empire as a precursor of modern Germany, governed by the rule of law. This said, perhaps no premodern European political system has benefited more from the decline in the reputation of the modern nation-state.
See also Augsburg, Religious Peace of (1555); Habsburg Territories; Taxation; Thirty Years’ War (1618–1648); Westphalia, Peace of (1648).
BIBLIOGRAPHY
Angermeier, Heinz. *Die Reichsreform 1410–1555: Die Staatsproblematik in Deutschland zwischen Mittelalter und Gegenwart*. Munich, 1984.
Gagliardo, John G. *Reich and Nation: The Holy Roman Empire as Idea and Reality, 1763–1806*. Bloomington, Ind., 1980.
Hartung, Fritz. “Imperial Reform, 1485–1495: Its Course and Character.” In *Pre-Reformation Germany*. Edited by Gerald Strauss. New York, 1972.
Press, Volker. “The Holy Roman Empire in Germany History.” In *Politics and Society in Reformation Europe: Essays for Sir Geoffrey Elton on His Sixty-Fifth Birthday*. Edited by E. I. Kouri and Tom Scott. Basingstoke, U.K., 1987.
Strauss, Gerald. “The Holy Roman Empire Revisited.” *Central European History* 11 (1978): 290–301.
Vann, James A., and Steven W. Rowan, eds. *The Old Reich. Essays on German Political Institutions, 1495–1806*. International Commission for the History of Representative and Parliamentary Institutions. Studies, 48. Brussels, 1974.
THOMAS A. BRADY, JR.
HOMOSEXUALITY. Like modern homosexuality, early modern homosexuality is better understood in the plural than in the singular. Homosexualities in different parts of early modern Europe were profoundly divergent, with equally profound differences existing between rural and urban settings and between diverse social groups in the same geographic areas. Class and other hierarchical differences added further dimensions to this divergence. Just as modern male and female homosexualities may be seen as the outcome of historical processes, their histories, despite their occasional intersections, are quite different. Until the eighteenth century, there were no societal, psychological, or self-identifying concepts of “gay” and “lesbian” as we know them today. But the eighteenth century was an era of transition that gave rise
to modern homosexualities, in particular in northern France, England, and the Dutch Republic.
**TERMINOLOGY AND SOURCES**
The words “homosexuality” and “lesbianism” were first coined in the second half of the nineteenth century. Previously, aside from words in the vernacular, the common European term for homosexuality was “sodomy,” which had profound theological and legal connotations. The term derived from the biblical story of the destruction of Sodom and Gomorrah, and of God’s wrath for presumably widespread homosexual practices in those cities. Religious connotations affected words in the vernacular as well. “Buggery” and “bugger” (which had derivations in different languages, like the French *bougre* or Dutch *bugger*) came from Latin *bulgarus* and connected sodomy with heresy; this is because Bulgaria supposedly had been a center of Manichaeism, which espoused an indulgence in heterosexual and homosexual sodomy. Sodomy was also referred to as *crimen nefandum*, the ‘umentionable vice’, the crime not to be known or mentioned among Christians.
From a strictly legal or penal perspective, sodomy did not refer exclusively to a same-sex configuration. The term could refer to anal intercourse, sets of prohibited sexual acts between men or between men and women, bestiality, and in some instances or places, sodomy referred to sexual contacts between Christians and Jews or Christians and Muslims. Although the word sodomy, at least in legal practice, was sometimes applied to sex between women, usually the terms “tribadry” or “sapphism,” as well as the more obscure Latin terms *fricatrices*, *subigatrices*, and *clitorifantes*, were used in vernaculars and in legal discourse. These words lacked the negative social and moral connotations of the term sodomy and instead referred specifically to sexual acts. By the end of the early modern period, the term sodomy referred to homosexual intercourse and bestiality in the general parlance. Throughout the era, a “sodomite” was a man who engaged in same-sex behavior. By the end of that period, words like “sapphist” and “sapphism,” referring to same-sex female relations, had gained such currency in popular parlance in England. Early modern documents, such as love letters, that provide unmitigated personal accounts of men or women with same-sex orientations are extremely rare. However, some of these have survived, mainly as components of court records from the seventeenth and eighteenth centuries. The latter provide the most substantial (if somewhat problematic, having been filtered by judicial systems) documentation on same-sex behavior and desires in early modern Europe. Although there certainly was no impunity for women who engaged in lesbian acts, the numbers of women prosecuted for same-sex behavior are small in comparison to men, and consequently documents on lesbian behavior are rare indeed.
**LEGISLATION**
Presumably, the East Roman emperor Justinian, in his sixth century writings against sodomy, had been the first to justify legislation against homosexuality. He claimed that natural disasters, like floods and earthquakes, diseases, and the negative outcome of wars, were collective penalties for homosexual behavior. Those ideas would affect legislation and legal practices in many parts of Europe for centuries to come. In 1120, the Council of Nablus turned sodomy in canonical law into a capital offense. Those convicted of the crime were punished by burning at the stake. The council also designated sodomy a crime that could be prosecuted by ecclesiastical and civil authorities. Local and regional laws in the next centuries provided a variety of penalties for sodomy, ranging from fines and mutilations for repeat offenders to death.
At the beginning of the early modern period, more penal unity was achieved in continental Europe with the enforcement of the *Constitutio Criminalis Carolina* of Holy Roman Emperor Charles V (ruled 1519–1558) in 1532, followed a year later in England by Henry VIII’s (ruled 1509–1547) “buggery” act. In many places prosecutors or judges deciding in sodomy cases could still call upon custom, local or regional laws, mosaic law, or rather arbitrary interpretations of Roman laws such as the *Lex Scantinia* from the third century B.C.E. and the *Lex Julia de Adulteriis Coercedis* from the first century B.C.E.
The *Carolina* and the English act both placed the death penalty on sodomy offenders: the first stipulated burning at the stake, the latter called for hanging or decapitation. Joost de Damhouder
(1507–1581), an advisor to Charles V, in his *Praxis Rerum Criminalium* (1554), a commentary on the *Carolina* that was authoritative in many parts of Europe into the first half of the eighteenth century, once again invoked the Sodom story and claimed that natural disasters and pestilence would be God’s wrath for the existence of sodomy. Although the main focus was on male homosexual and heterosexual sodomy, commentators on legal issues at the time often did include female same-sex relations as well.
Enlightenment writers like Beccaria in Italy, Montesquieu in France, and Bentham in England rejected (in their works on penal reform) the penalties for same-sex behavior. With the exception of Bentham (who never published his most radical writings on this issue), they had nothing positive to say about same-sex love, yet they rejected the idea that the inherent harm in homosexual behavior was so great that it warranted interference of the state through punitive action. Pursuing a separation of church and state, radical penal reformers also rejected antisodomy laws because those were believed to originate in theology. Reformers emphasized the political abuse of antisodomy laws and maintained that confessions of defendants were all too often obtained through torture. While rejecting the death penalty for sodomy, not all Enlightenment legal reformers rejected penalization, and in many places some form of punishment remained in place. At the end of the early modern period, those countries that adopted the French Napoleonic penal code (or had that code forced upon them) decriminalized same-sex behaviors.
**PROSECUTIONS**
The late Middle Ages also saw prosecutions and executions of individuals in Europe who were charged with same-sex intimate behavior. Sometimes legal actions were politically inspired, like the accusations in England against Edward II in 1372, or those against the Knights Templar. Prior to the early modern period, accusations of homosexual or heterosexual sodomy were also leveled against groups of heretics who at times faced extreme persecution.
In the late Middle Ages and at the beginning of the early modern period, religious and civil authorities in cities in Tuscany tried to stamp out widespread practices of so-called age-based homosexuality. Venice, Lucca, and Florence created special courts to deal with the offenders. In its seventy years of existence, the court in Florence dealt with over 10,000 cases. Although death penalties and incarcerations were sometimes applied in Venice, in Florence most cases offenders were merely fined, creating the belief (especially later in Protestant countries) that Italians considered sodomy to be a *peccadillo*, a minor sin. A century later, cities like Geneva and Ghent saw serious persecutions, yet in both places mostly foreigners, and especially Italians, faced trial. In Ghent, as in some other places in Flanders at the beginning of the Reformation, a number of monks were burned at the stake after having been found guilty of sodomy. Autos-da-fé (the public burning of offenders) occurred on the Iberian Peninsula especially during the sixteenth and seventeenth centuries.
Sodomy trials in rural parts of Europe like Prussia and Sweden usually involved charges of bestiality. This was the most common sexual offense in Sweden well into the twentieth century. No serious persecutions have been reported in eastern European countries. In Denmark sodomy seems to have been a crime without offenders: there have been no sodomy trials in that country.
France had witnessed limited numbers of sodomy trials in the sixteenth and seventeenth centuries. In the eighteenth century the Parisian police documented and policed sodomites’ lives in a way unheard of before, but this hardly ever resulted in trials. However, such observations did provide ample documentation on sodomite subcultures in Paris. England and the Dutch Republic also had few sodomy trials up to the late seventeenth century. From that time on and well into the next century, there is ample documentation on raids on “molly houses” (from Latin *mollis*, referring to softness and effeminacy) in London. Offenders often were seriously injured by being put on the pillory for their crimes.
After the 1670s in the Dutch Republic, the number of sodomy trials gradually increased until a major wave of arrests erupted in 1730, which was to be repeated several times during the eighteenth century. Persecutions here turned into the most severe in early modern Europe. Between 1730 and 1811,
when the French penal code was enforced in the Netherlands, some 800–1,000 sodomy trials were held there, resulting in about 200 death penalties and as many (often de facto lifelong) solitary confinements when mutual masturbation was the only proven offense. Most of the rest of the men prosecuted were forever expelled from their countries, often after they had already taken refuge abroad.
Trials against women for same-sex activities were rare. Occasionally, cross-dressing women who had sex with other women were brought to trial. Only in a three-year period in late-eighteenth-century Amsterdam were lower-class women prosecuted regularly for having sex with one another. They faced up to several years of incarceration.
**EARLY MODERN HOMOSEXUALITIES**
Divergent patterns of male same-sex behavior dominated different parts of Europe and the rest of the world at different times; upon closer examination, several patterns of behavior—cross-gender, class-based, intergenerational (age-based), and equal-status—could be distinguished. These patterns could also be mixed. The first three patterns, generally speaking, were related to assigned passive and active roles. Only in the equal-status pattern could adult men interchange active and passive roles with one another. Patterns of same-sex behavior could be permanent or temporary. Unlike in the modern West, these patterns did not necessarily represent an alternative sexuality, but were part of male social bonding and also of the socialization process from boyhood into adult masculinity.
In the cross-gender pattern, men dressed as women and took on a female role. Although crossing class barriers (which is what the second pattern is about) is a persistent and apparently enticing feature of same-sex behavior, traditionally the class-based homosexuality is mostly relevant to societies in which free-born men engaged in sexual activities with male slaves. European colonizers met the first among indigenous populations of the Americas, and may have engaged themselves in the second form.
The two most dominant patterns of male homosexual behavior in early modern Europe are the age-based and equal-status homosexualities, although the latter only began to emerge in the later part of the seventeenth century in northwestern Europe—England, northern France, and the Dutch Republic—and may have been present in urbanized western parts of Germany. Age-based homosexuality was the most dominant pattern in southern Europe throughout the early modern period, in particular in Italy; adult men strictly upholding active and passive roles sought sex with pubescent and sometimes prepubescent boys. Those boys, on reaching adulthood, switched from passive to active roles, started to have sex with women (mostly prostitutes), and ideally left all of that behind them when they were married in their late twenties or early thirties. Florence had gained such a reputation in Europe that “to Florence” had become a verb in German and Dutch, referring to same-sex activities. By the late Middle Ages, Italy had already earned a reputation for its apparent widespread homosexual activities: during most of the early modern period in western Europe, the word “Italian” was synonymous with “sodomite.” Although documentation on homosexuality in eastern European countries is still scant, reports suggest that in a city like Moscow in the seventeenth century, patterns of behavior existed that were not unlike those in Tuscan cities. Once St. Petersburg started its ascendancy as capital and as window to the West, more “modern” patterns of homosexual behavior may have emerged here.
Prior to the emergence of equal-status homosexuality in northwestern Europe, far more hierarchical forms were dominant there, usually taking the forms of class- and age-based same-sex behavior, or some combination thereof. Homosexual behavior could manifest itself between masters and apprentices, or officers and privates. Such hierarchical and age-based forms involving young cabin boys show up persistently in documents of ship councils far into the eighteenth century.
The rise of the equal-status homosexuality in the late seventeenth century marked the beginning of a period of transition into modernity, which would eventually result in modern homosexualities and identity formations. This rise went hand in hand with the emergence of same-sex subcultures. Meeting sites for sodomites have been reported since the late Middle Ages in cities like Cologne, but they meant little compared to the numerous places—pubs, brothels, parks, gardens, and urban sites like city halls, commodity exchanges, and theaters—that show up in court documents from the late
seventeenth and eighteenth centuries in cities like Paris, London, and Amsterdam, and some smaller cities.
In Amsterdam, sodomites who had met someone could go to any number of public toilets underneath bridges. Some of those toilets had a reputation as places where sodomites could pick up partners, too. European societies with a dominant age-based homosexuality have also documented some sites at which men used to meet, yet those were typical places where men used to socialize and bond. The meeting sites frequented by sodomites in Holland and elsewhere from the late seventeenth century onwards were often the places where female prostitutes picked up their customers.
The rise of the sodomitical subcultures was accompanied by the development of a distinct homosexual role. Sodomites developed an often effete body language and deportment, and used gestures and an argot that sometimes resembled that of prostitutes. At one of the most notorious meeting sites for sodomites in Amsterdam, men used to walk to and fro with their arms akimbo and hit another man with their elbow if they were interested in him. Prostitutes of the time may have used similar tactics. In London’s so-called molly houses sodomites staged plays and rituals in which they mocked marriage ceremonies and childbirth. While in the age-based same-sex pattern men could be infatuated with particular boys, in this equal-status homosexuality some men engaged in jealously guarded love affairs. By the end of the early modern period, to have a lover had become a definite goal for many members of these subcultures.
While in previously dominant patterns male desires were generally not directed exclusively towards other males, but were epitomized by the literary and also printed image of a man holding a boy on one arm and a woman on the other, in the eighteenth century the “new” effete sodomitical role became more solely geared toward males. Upon being arrested, some of these men in northwestern Europe would acknowledge that they never had had any desire for women. For some that would also mean acknowledging a preference for a passive role in sex.
Patterns of female same-sex behavior are far more difficult to discern. As with some male homosexualities, some forms of lesbian behavior must be looked at from a wider perspective. One of these is the tradition of amply documented female transvestism. Throughout the early modern period, women cross-dressed to masquerade as soldiers, sailors, pirates, or sometimes just to travel safely. Whether some of these women originally dressed up for sexual reasons is unknown, yet there is also documentation of women who in their male attire courted and even married other women. Some had sex while using artificial penises they had made. Women who cross-dressed had to adopt a male role in such a way that even people in close quarters like ship bunks did not become suspicious.
Women did not have subcultures like those men had in northwestern Europe, that is, clandestine spots and physical cues that exclusively served male-to-male desires. There is some evidence, especially from the Netherlands, that lower-class women did have subcultures, in which (although not exclusively) female-to-female desires could be fulfilled. These women, often widowed, abandoned, or left behind by sailor husbands, formed mutual support networks in which (sometimes through prostitution) they could pursue sex with men but also with one another. These women may have lived together in inconspicuous manners. Upper-class women and, for instance, actresses, although not cross-dressing, sometimes dressed in sufficiently ambiguous ways, mixing male and female attire, to raise suspicions if not of same-sex behavior, at least of having loose ways.
**PERCEPTIONS**
Separating theological from penal views is difficult, since the latter were mostly based upon theological perspectives on sexuality. Thomas Aquinas’s thirteenth-century distinction between natural and unnatural sexual offenses (even though Thomism temporarily lost its influence) bore upon the early modern consciousness. In his morphology of sex crimes, rape and adultery were at least natural because they did not stand in the way of procreation and therefore were not as heinous as sodomy. While later Protestant writers would not refer to Aquinas, they by and large adhered to the same morphology. For Aquinas as much as for these writers, the only thing worse than sex between men or between women was sex with an animal.
The acknowledgment by Protestants and Catholics after the Counter-Reformation that sexual pleasure was a means for strong bonding between spouses, and was therefore primarily an environment to create offspring, probably engendered even more virulent rejections of same-sex behavior. After all, by bringing pleasure into the equation, a dangerous border was crossed that required constant vigilance. Since the Middle Ages and perhaps before, same-sex behavior had already been seen as the ultimate form of hedonism.
Such hedonism began with indulgence in other, corporeal pleasures, the *luxuria*. Indulgence in fine or copious food and drink, in dancing and smoking, in fine clothes, and also abuse of leisure through card playing or gambling was thought to provoke desires and lust for more pleasure and worse acts, such as womanizing, adultery, whoring, and, ultimately, homosexual acts. Unnatural behavior could thus originate in natural needs for food, drink, dress, and rest, and then only deteriorate from there. This was supposedly what had happened in Sodom and Gomorrah, which had been located on a fertile plain. The riches of these cities led to indulgence in all kinds of debauchery and, eventually, to God’s wrath.
Women were considered to have less perfect bodies than men and were supposed to be, by nature, insatiable; thus submitting to the hierarchy of the sexes was seen as the only way for women to control their cravings. However, men could also lose control and become as insatiable as women were supposed to be, resulting in effeminate behavior and indulgence in all kinds of sexual vices. Hence, effeminacy in the eighteenth century was still seen as the hallmark of a womanizer. Womanizing was, after all, seen as only one step away from sodomy with men. This potential for sodomy was seen as destructive not just on the individual level, but on a national level as well. People feared eventual destruction by fire and sulfur, just as God had once destroyed Sodom and Gomorrah. Hedonism, abuse, and loss of control represented chaos, and chaos could eventually become the undoing of society and creation, as the very purpose of creation had been to bring order into chaos.
To the extent that this way of thinking was a psychological theory about the causes of same-sex behavior, it attributed little if any agency to the mind, and it was profoundly distrustful of the temptations the body put in the way of even the righteous. In its prediction of individual and collective behaviors, of the rise and fall of nations, this theory was also social and political. It explained the demise of southern European countries as well as the ascendancy of the Dutch Republic in the seventeenth century. Sodomy supposedly did not exist there until the sobriety that had characterized its inhabitants gave way to indulgence in the wealth that God had once bestowed upon them as a reward for their sober ways.
In the course of the eighteenth century, although remaining largely implicit, more individualized theories took hold; some commentators began to speak of inner proclivities rather than of bodies that had run amok. In a sense, the historical paths of male and female sexualities also met around the 1750s. Lesbian activities at the time were attributed to “whores,” that is, women who were not necessarily prostitutes but who had loose morals. Whereas previously effateness among males had been the characteristic of womanizers, after the mid-eighteenth century it became more and more the hallmark of sodomites. The effete sodomite was like a he-whore, an English author wrote at the time, and that was also the way sodomites were perceived in the Dutch Republic. Consequently, fears of the spread of same-sex practices diminished somewhat in the course of the eighteenth century, although among some groups they persist to this very day. Nevertheless, authorities—and as indicated before, penal reformers—in many parts of Europe felt the need to “contain” the vice, no longer because they feared God’s immediate wrath, but because they feared that the male sex was undermined, and with it nations’ capacity to pursue political, economic, and military power.
**SELF-PERCEPTIONS**
By the late eighteenth century, sodomites in northwestern Europe had not only developed a distinctive societal role, but also perceived themselves as a separate category from men and women. They also talked about these issues among one another. Early in the eighteenth century they would refer to other sodomites as men who liked to do this kind of thing as well. Some seventy years later sodomites talked
about “being a member of the family,” “people like us,” and “you and me and thousands like us.” It especially allowed devout men to look upon themselves as morally responsible human beings. From the 1750s onward sodomites arrested in the Dutch Republic would refer to the biblical story of David and Jonathan, and increasingly they would claim to have been born with their inclinations intact. More than half a century before Karl Heinrich Ulrichs in Germany in the 1860s formulated the theory of the existence of a third sex—men born with a female soul—sodomites in the Netherlands spoke among one another of their “condition” or “way of being” as an inborn weakness. There is no documentation about women who clearly spoke in such a way of themselves. For men, one might say this newfound homosexual identity culminated in the contents of a love letter from one Dutch male servant to his male lover early in the nineteenth century. He used still-current terms for boyfriend, talked about “being of the family,” and he called upon innate weaknesses to explain their desires, while also legitimizing those desires by telling his lover that God had not created any human being for its own damnation.
See also Crime and Punishment; Gender; Sexual Difference, Theories of; Sexuality and Sexual Behavior.
BIBLIOGRAPHY
Bray, Alan. *Homosexuality in Renaissance England*. London, 1982.
Everard, Myriam. *Ziel en zinnen. Over liefde en lust tussen vrouwen in de tweede helft van de achttiende eeuw*. Groningen, 1994.
Faderman, Lilian. *Surpassing the Love of Men: Romantic Friendship and Love Between Women from the Renaissance to the Present*. New York, 1983.
Greenberg, David. *The Construction of Homosexuality*. Chicago and London, 1988.
Halperin, David. *How to Do the History of Homosexuality*. Chicago and London, 2002.
Healey, Dan. *Homosexual Desire in Revolutionary Russia: The Regulation of Sexual and Gender Dissent*. Chicago and London, 2001.
Liliequist, Jonas. “Peasants against Nature: Crossing the Boundaries between Man and Animal in Seventeenth- and Eighteenth-Century Sweden.” In *Forbidden History: The State, Society and the Regulation of Sexuality in Modern Europe*, edited by John Fout, pp. 57–87. Chicago and London, 1992.
Merrick, Jeffrey W., and Michael Sibalis, eds. *Homosexuality in French History and Culture*. New York and London, 2001.
Monter, William. “Sodomy and Heresy in Early Modern Switzerland.” In *Historical Perspectives on Homosexuality*, edited by Salvatore J. Licata and Robert P. Petersen, pp. 41–55. New York, 1981.
Mott, Luiz. “Loves Labors Lost: Five Letters from a Seventeenth-Century Portuguese Sodomite.” In *The Pursuit of Sodomy: Male Homosexuality in Renaissance and Enlightenment Europe*, edited by Kent Gerard and Gert Hekma, pp. 91–101. New York and London, 1989.
Rey, Michel. “Parisian Homosexuals Create a Lifestyle, 1700–1750: The Police Archives,” *Eighteenth Century Life* 9, no. 3. *Unauthorized Sexual Behavior During the Enlightenment*. Edited by Robert P. Maccubbin. (1985): 179–191.
Rocke, Michael. *Forbidden Friendships: Homosexuality and Male Culture in Renaissance Florence*. New York and Oxford, 1996.
Trumbach, Randolph. *Sex and the Gender Revolution*. Vol. 1, *Heterosexuality and the Third Gender in Enlightenment London*. Chicago and London, 1998.
Van der Meer, Theo. “Sodomy and the Pursuit of a Third Sex in the Early Modern Period.” In *Third Sex/Third Gender: Beyond Sexual Dimorphism in Culture and History*, edited by Gilbert Herdt, pp. 137–212. New York, 1994.
Von Rosen, Wilhelm. “Sodomy in early modern Denmark: a crime without victims.” In *The Pursuit of Sodomy: Male Homosexuality in Renaissance and Enlightenment Europe*, edited by Kent Gerard and Gert Hekma, pp. 177–204. New York and London, 1989.
THEO VAN DER MEER
HONOR. Honor was an ethical system whose prescriptions varied according to one’s place in the social hierarchy. Rank, gender, age, and a host of other personal qualities determined what types of behavior were honorable, and what degree of respect and deference one could expect from others. Tension existed, however, between how honor was defined in the abstract and how people used honor. Jurists and moralists in early modern Europe conceived of honor as part of a rigid structure of values and conduct, an almost tangible possession that one could gain or lose. In practice honor was more fluid and served as a rhetoric flexible enough for individuals to adapt to their own purposes. For example, the laws of the state and the morals of the church labeled prostitutes in sixteenth-century Rome as
dishonorable, but court records show that prostitutes used the language of honor to make claims for respect from their clients, patrons, and neighbors.
**THE ROLES OF HONOR**
Despite its equivocal meanings, honor was a crucial aspect of culture and conduct at every level of society. Notions of honor varied by region, gender, status, and time, but these differences were all variations on a theme that maintained remarkable similarity as it stretched across Europe, reached back into the Middle Ages, and persisted in some form into the nineteenth century. Everywhere honor depended on one’s reputation for proper behavior, as judged by one’s peers and neighbors, so personal honor was always vulnerable to gossip and slander that could redefine one’s estimation in the eyes of others. While honor was meant to be a moral code, in reality its concerns had as much to do with preventing, masking, or redressing humiliation than with encouraging virtue.
Individual communities used honor to define membership and to enforce the responsibilities of members. For example, if a young woman defied custom and married an old man, disappointed young men might defend the honor of their village by staging raucous and even violent protests, called *charivaris* in France and “rough music” in England. Artisan guilds acted against guild members who threatened their corporate honor through dishonest business practices. In Venice, groups of young men engaged in bouts of ritual combat over the city’s bridges to assert the honor of one neighborhood against another. Honor also demarcated castes in society, as in Germany where executioners were considered dishonorable and were not allowed to intermarry with other, honorable groups.
One aspect of honor that remained constant throughout early modern Europe was its strong connection to patriarchy, sex, and gender. Honor codes universally prescribed appropriate sexual behavior for both women and men. Women needed to be chaste in order to be honorable, and “whore” was usually the most damning affront one could level against a woman. Men were held responsible for the sexual conduct of women under their protection, including their wives, daughters, and sisters. This left male honor dangerously vulnerable to the actions of women. If a man failed to control “his” women, he invited neighbors to brand him a cuckold. Because male honor and female chastity were so thoroughly intertwined, men might take violent revenge against anyone who threatened, in word or deed, the sexual honor of “their” women—if they did not direct their violence against the women themselves. While honor’s sexual component is associated most closely with the underdeveloped Mediterranean basin, historians have found similar patterns in vanguards of modernity like Holland and in regions as far removed from the Mediterranean as Muscovy. Even for women, however, sexuality was never the sole determinant of personal honor. In England, for example, a woman’s honor rested partly on her skills as a housewife and mother.
Honor also embraced social hierarchy. Nobles enjoyed a more honorable standing than commoners, and they reinforced their claims to honor through the ceremony of the duel. Dueling arose first in Italy as part of the Renaissance’s developments in courtesy and manners, and then spread throughout Europe. Dueling became the accepted means of redressing an affront, thereby distancing noblemen from brawling commoners. Dueling manuals did not recognize the right of plebeian men to duel, but nevertheless popular duels did exist. Sailors in Amsterdam and peasants in Castile invested their knife fights with rituals similar to elite dueling practices, and their contests even arose from similar causes, such as precedence, lying, and women, even if non-nobles sometimes preferred terms like “honesty” and “reputation” instead of “honor” when describing their claims to respect and good treatment. Throughout the early modern period, as elite customs and manners continued to draw away from the behavior of the nonelite, the honor of the nobility became increasingly distant from that of their inferiors. Vendettas, brawls, and *charivaris* gave way to politeness and civility as components of honor for gentlemen, especially in the eighteenth century. Even aristocratic duels became less violent. As the elite became less tolerant of violence, the duelist’s aim became the demonstration of his courage rather than the destruction of his opponent.
Throughout the early modern period, honor had its critics. No matter how courteous the etiquette of dueling became, in the eyes of the civil and
religious authorities assault and murder remained crimes and sins. Moralists declared that true honor resided in Christian virtue and in the conscience, not in the estimation of one's peers. Just as often, however, honor fit hand in glove with other values and historical trends. By attacking debauched clerics who preyed on good Christian women, and by expelling prostitutes from Christian communities, Protestant reformers appealed to honor to win popularity in sixteenth-century German cities. Honor helped foster the scientific revolution by allowing gentlemen to trust the word of peers who conducted experiments hundreds of miles away. Honor helped shape diplomacy and warfare, for example preventing seventeenth-century Spanish statesmen from reining in Madrid's imperial overreach because they could not bear to abandon obligations they had made to defend Catholicism and preserve the Habsburg inheritance. Honor even played a role in the revolution that brought the early modern period to a close, as illicit pornographic writings circulated in Old Regime France that undermined respect for Louis XVI, depicting him as an impotent cuckold. Honor did not pass away during the French Revolution, however. Well into the nineteenth century statesmen, capitalists, and journalists adapted honor to suit their new social circumstances.
See also Class; Status, and Order; Duel; Gentleman; Sexuality and Sexual Behavior.
BIBLIOGRAPHY
Cohen, Elizabeth S. "Honor and Gender in the Streets of Early Modern Rome." *Journal of Interdisciplinary History* 22 (1992): 597–625.
Farr, James R. *Hands of Honor: Artisans and Their World in Dijon, 1550–1650*. Ithaca, N.Y., and London, 1988.
Kollmann, Nancy Shields. *By Honor Bound: State and Society in Early Modern Russia*. Ithaca, N.Y., and London, 1999.
Muir, Edward. *Mad Blood Stirring: Vendetta & Factions in Friuli during the Renaissance*. Baltimore and London, 1993.
Shoemaker, Robert B. "The Taming of the Duel: Masculinity, Honour and Ritual Violence in London, 1660–1800." *The Historical Journal* 45, no. 3 (2002): 525–545.
SCOTT TAYLOR
produced no more significant work and died embittered and alone even though he left over £9,000 in cash (money that he must have accrued as surveyor for the City of London).
Hooke’s scientific achievements were considerable. He developed, but never fully expounded, a unique system of mechanical philosophy that depended upon supposed incessant vibrations of matter. Ingeniously explaining solidity, for example, in terms of particles vibrating so rapidly that they could beat off any intruding body; and chemical reactions in terms of vibrations of two substances in harmony (in cases of combination) or in discord (in cases of disaggregation), Hooke’s main problem was to explain such putative vibrations. Although he never succeeded in this, he was led to many suggestive experiments on the nature of vibrations and what he called “simple harmonic motions.” His theory and practice was closely linked not only to the first statement of what is now known as Hooke’s Law (stress is proportional to strain), and his awareness of the dynamic equivalence of vibrating springs and pendulums, but also to his insight in 1658 that a clock might be driven by a spring instead of a pendulum—an idea that was first made to work in practice by Huygens in 1674 but that Hooke believed should have been acknowledged as his invention. The influence of his vibratory physics can even be seen in Hooke’s recognition that light was a periodic phenomenon, as demonstrated in his analysis of colors produced in soap bubbles and other thin films. Hooke was inspired by his optical theories to develop the idea that planetary motions could be explained in terms of a single attractive force from the sun bending the straight-line motion of a planet into an elliptical orbit. Furthermore, he guessed that this force would vary in inverse proportion to the square of the distance between the sun and the planet. He published this speculation in 1666 and drew it to Newton’s attention in correspondence in 1679. Hooke couldn’t prove it mathematically, but when Newton subsequently proved it, at the request of Edmund Halley in 1684, he did not correct Halley’s assumption that Newton had hit on the idea himself. This proof, of course, was to be the centerpiece of Newton’s Principia Mathematica, which Halley now persuaded him to write. Small wonder that Hooke was outraged when he heard that his original idea was not acknowledged in the Principia.
Hooke was undoubtedly an insightful and ingenious theorist of great influence even though he never quite succeeded in establishing the truth of any of his theoretical ideas. His industry and ingenuity has, nevertheless, ensured his position in the history of science. He invented the universal joint, the iris diaphragm, a calibrated screw adjustment for telescopes, and the wheel barometer. He was also one of the first to take seriously the idea that fossils represented the genuine remains of ancient creatures (previously it was assumed they were simply features in the rocks which accidentally mimicked living forms), and was led by his knowledge of them to conclude that the surfaces of the earth could change, land giving way to sea and vice versa, and that the number and kinds of species of plants and animals were not fixed. Perhaps his most lasting monument, however, is his one major book, Micrographia (1665), the first major work of microscopy. Although justly famous for its meticulous and genuinely surprising descriptions of microscopic phenomena, and for its superb illustrations, Micrographia also includes some of Hooke’s most fruitful theoretical speculations and his most profound comments upon good practice in natural philosophy.
See also Academies, Learned; Boyle, Robert; Chemistry; Huygens Family; Newton, Isaac; Physics; Scientific Illustration; Scientific Instruments; Scientific Method; Wren, Christopher.
BIBLIOGRAPHY
Bennett, Jim, M. Cooper, M. Hunter, and L. Jardine. London’s Leonardo: The Life and Work of Robert Hooke. Oxford, 2003.
’Espinasse, Margaret. Robert Hooke. Berkeley, 1956.
Gal, Ofer. Meanest Foundations and Nobler Superstructures: Hooke, Newton and the “Compounding of the Celestial Motions of the Planetts.” Dordrecht, 2002.
Hunter, Michael, and Simon Schaffer, eds. Robert Hooke: New Studies. Wolfeboro, N.H., 1989.
JOHN HENRY
HOOKER, RICHARD (1553 or 1554–1600), English theologian and legal scholar. Richard Hooker’s major work, Of the Laws of Ecclesiastical Polity (1593–1662), quickly became the authoritative text legitimating the Elizabethan Settlement and defending it from Catholic and Puritan attacks. Hooker, born about 1554 near Exeter, entered Corpus Christi College, Oxford, in 1569 (B.A. 1574; M.A. 1577) under the sponsorship of Bishop John Jewel (1522–1571). Hooker remained at Oxford until 1584, becoming a fellow, teaching logic and Hebrew, and becoming an Anglican priest. With the help of his patron, Archbishop Edwin Sandys (1516?–1588), Hooker in 1585 was appointed master of the Temple in London, a position akin to dean and chief pastor. The Temple was one of the premier English centers of legal study and training. As master Hooker began his public defense of Anglicanism against Puritanism, delivering his sermons to the Temple congregation in the morning only to be rebutted by the afternoon lectures of his colleague Walter Travers (c. 1548–1635), a prominent Puritan scholar.
In London, Hooker lived with his good friend John Churchman. In 1588 Hooker married Joan Churchman, John’s daughter. They had six children. Hooker resigned as master in 1591, perhaps at the instigation of Archbishop John Whitgift (c. 1530–1604), to devote himself to the composition of his Laws. He delegated his new clerical duties as subdean of Salisbury and rector of Boscombe and remained in London at Churchman’s home. In 1595 the crown rewarded Hooker’s 1593 publication of Books 1–4 of the Laws with residency in Bishopsbourne, Kent. There he continued to work on the Laws until his death in 1600. He published Book 5 of the Laws in 1597, but Books 6–8 were still in draft form when he died. Portions of these drafts circulated in manuscript before they were eventually published in 1648 (Books 6 and 8) and 1662 (Book 7).
The English Puritanism opposed by Hooker in the Laws asserted that there is only one true law, God’s law; that Scripture clearly and adequately states this law; and that this law has exclusive authority in all things. Hooker, drawing upon Thomas Aquinas (1225–1274) and Aristotle (384–322 b.c.e.), responded that Scripture clearly is neither intended nor sufficient to address matters of ecclesiastical or civil government; where Scripture was found wanting, recourse must be made to tradition and human reason. And in England, Scripture, tradition, and human reason supported the 1559 Elizabethan Settlement, which established Anglicanism as the state religion and adopted for it the Book of Common Prayer.
The general, Books 1–4 of the Laws lay the groundwork for the more specific Books 5–8. Book 1, the most widely read, deals with the fundamental characters of and the relations among divine, natural, and human laws. Book 2 contains proofs that Scripture does not contain laws governing all things. Along these same lines, Book 3 denies that Scripture designates an absolute form of polity. Book 4 defends the overlaps between Anglican and Catholic practice and ceremony attacked by the Puritans.
Book 5, the central and largest, seeks to conserve the Christian Commonwealth established by the settlement by defending the Book of Common Prayer—especially its role in shaping the moral character of the people. Book 6 rejects the Puritan claim that lay elders must govern the church, while Book 7 defends the continued church governance by bishops (episcopacy). Book 8, which has attracted the most critical scholarly attention, deals with the royal supremacy in religious matters and the impossibility of rigidly separating church and state.
Hooker’s continued fame derives largely from Izaak Walton’s biography and the anthologization of portions of Book 1 as the premier example of Elizabethan prose style. However, beginning in the early twentieth century critics assailed Hooker’s three-hundred-year reputation as “judicious” and unbiased. While these attacks were justified to the extent that Hooker, with immense success, created the impression that his positions were uncontroversial, they failed to credit him for raising the standards for Renaissance controversialist tracts with his restrained style, reasoned argument, and consistent resort to first principles. Subsequent critical attention has focused on the three long-neglected yet profound limitations Hooker attached to the royal supremacy in religious matters: God’s power is superior to the monarch’s; the monarch’s power is subject to human law, if derived from it; and the monarch is inferior to his or her realm united in opposition. Contemporary debate also surrounds whether or not the appeal by John Locke
(1632–1704) to Hooker as the inspiration for his doctrine of the state of nature was disingenuous. Opinions are mixed as to whether to characterize Hooker’s thought as essentially medieval and conservative or as more modern—as containing innovative and radical elements.
See also Church of England; Elizabeth I (England).
BIBLIOGRAPHY
Primary Sources
Hooker, Richard. The Folger Library Edition of the Works of Richard Hooker. Edited by W. Speed Hill. Cambridge, Mass., 1977–1990. The definitive edition of Hooker’s words; includes a volume containing his early sermons.
———. Of the Laws of Ecclesiastical Polity: Preface, Book I, Book VIII. Edited by Arthur Stephen McGrade. Cambridge Texts of Political Thought. Cambridge, U.K., 1989. One of a widely available, popular series. This volume contains the most commonly read passages from the Laws and has an excellent introduction.
Secondary Sources
Archer, Stanley. Richard Hooker. Twayne’s English Authors series. Boston, 1983.
Faulkner, Robert K. Richard Hooker and the Politics of a Christian England. Berkeley, 1981.
Hill, W. Speed, ed. Studies in Richard Hooker: Essays Preliminary to an Edition of His Works. Cleveland, Ohio, and London, 1972.
Kirby, W. J. Torrance. Richard Hooker’s Doctrine of Royal Supremacy. Leiden and New York, 1990.
McGrade, Arthur Stephen, ed. Richard Hooker and the Construction of Christian Community. Medieval and Renaissance Texts and Studies, vol. 165. Tempe, Ariz., 1997.
ANDREW MAJESKE
HOSPITALS. From their inception in Byzantium, hospitals evolved within a Christian religious framework of hospitality and charity, providing primarily shelter, food, and a good death with spiritual salvation. Often, medical services were marginal, contracted to deal with associated physical disabilities and pain. With poverty endemic by the late fifteenth century in many areas of Europe, the emphasis shifted away from broadly dispensed hospitality to the “poor of Jesus Christ.” Charity was no longer conceived as either private or religious. With almsgiving dwindling because of wars and economic crises, social welfare needed to be reformed and rationed, a function increasingly delegated by the church to the contemporary secular powers. Thus, after 1500, new welfare policies cut across religious boundaries and followed patterns closely tailored to local urban conditions. Charitable assistance was channeled through existing social structures such as parishes, confraternities, and municipalities to benefit schools and several types of hospitals.
Institutions such as almshouses and retirement homes retained their traditional custodial functions while leper and pesthouses functioned primarily as segregation tools for persons suffering from particular diseases considered contagious. At the same time, the hospital’s role was recast on the basis of ideas derived from Renaissance humanism as one aiding physical recovery and restoration. This change affected certain urban hospitals of northern Italy, reflecting a more positive vision of health and its importance in Europe’s new economy. Acutely ill patients were admitted and subjected to medical treatments for the purpose of rehabilitation and possible complete cures in larger establishments such as the 250-bed Santa Maria Nuova Hospital in Florence. Patient populations were composed of young, unattached laborers whose economic well-being was closely linked to physical health. The regular presence of practitioners in the wards signaled a decisive shift toward a greater institutional role for medicine and surgery. Physicians visited regularly, experimented on patients with traditional and new remedies, and preserved their newly gained clinical experience in casebooks. They also created disease classifications, occasionally instructed medical students, and subjected deceased and unclaimed inmates to anatomical dissections. In 1539, for example, Giovanni B. da Monte (1498–1561), professor of medicine at the University of Padua, began taking his apprentices to the local Ospedale di San Francesco for the purpose of seeing patients afflicted with diseases he was lecturing on.
By the late 1400s, several cities in southwest Germany established special hospitals—the so-called “pox houses”—for the care of men and women afflicted by a seemingly new disease variously referred to by Germans and Italians as “morbus gallicus” or French disease. Fear of an impending epidemic, together with the dramatic symptoms and lethal outcome of what was presumably an acute and highly lethal form of venereal syphilis, mobilized municipal authorities, private philanthropists, and specialized physicians. They opened a number of facilities exclusively devoted to a series of medical treatments, including the 122-bed “pox house” in Augsburg founded in 1495. Like their Italian counterparts, these institutions were located within urban walls and featured permanent medical staffs represented by physicians, barber-surgeons, and apothecaries.
The Protestant Reformation created a new relationship to both God and the community. Individuals were given the right to charitable assistance together with obligations to contribute and assist others through local and national systems of relief financed by subscriptions or taxes. Divine Providence, not the quest for indulgences, was to be the path toward salvation, leading to the collapse of hospital patronage as an instrument of salvation. In Protestant countries, institutionalized health care became restricted to smaller infirmaries and dispensaries supported by local governments or community organizations. In Catholic Europe, the Council of Trent (1545–1563) made specific efforts to eliminate widespread administrative fraud perpetrated by religious personnel, including hospital administrators. Thus the church reorganized religious hospitals and closed small, poorly endowed institutions, accelerating an ongoing, two-century-old consolidation process. In their place rose privately endowed, large general hospitals or shelters, often run by local confraternities. These establishments were designed to house together diverse groups of needy people, including orphans, chronic sufferers, mentally ill individuals, and the elderly. The sick poor found medical care in “God’s hostels” (Hôtels Dieu) and other institutions.
Placed under civic authority, most European hospitals became involved in novel schemes of social control and medical assistance. A work ethic adopted by both Protestants and the Catholic Counter-Reformation viewed daily labor as a spiritually fulfilling communal obligation. In selecting its welfare recipients, modern European society thus sought to identify those it considered deserving of assistance—including medical care—through a series of means tests. Most of the deserving poor were modest and law-abiding working people, stable residents seemingly content with their status in society as bestowed by Divine Providence. By contrast, homeless paupers and strangers, as well as drifters, vagrants, and beggars were characterized as undeserving of social welfare, identified with social unrest and crime. In the eyes of the Catholic Church, however, the distinction between worthy and unworthy poor remained blurred. All were considered sinners who needed to be saved. Indeed, spiritual salvation remained the ultimate objective of Catholic hospitalization, and religious ceremonies continued to be central to hospital life, leading to tensions with medical caregivers.
To fulfill their social contract and be productive, early modern European workers needed to remain physically healthy, or, if sick, be assisted in their recovery. Living in crowded and unhygienic conditions, urban populations increasingly fell prey to an expanding panorama of diseases affecting especially the young and the aged. Although Protestant values conferred an active role on individuals pursuing their own healing, help and assistance was to be always available. Outpatient relief in the form of home care and provision of medicines by visiting nurses were furnished to support the “deserving” poor’s legitimate status in society. Local efforts designed to stem such assaults on health were encouraged and greatly valued. Belief in Divine Providence encouraged medical activities considered divinely approved instruments to assist in recovery. In turn, hospitals were now considered places of early rather than last resort.
During the seventeenth century, the medicalization of hospitals accelerated, as Europe witnessed the emergence of modern national states. Within the new mercantilist context a growing and physically able population was believed to be essential for achieving political, military, and economic goals. With labor viewed as the key source of power and wealth, efforts to enhance the productivity of a country’s citizenry inevitably included the workers’ health. Prevention and rehabilitation became national goals. The result was an impressive network of general, military and naval hospitals as well as institutions for housing individuals classified as invalids. Reformers such as William Petty (1623–1687) stressed the importance of medicine and the participation of physicians and surgeons in such care.
Writing in the eighteenth century, Enlightenment thinkers crafted an optimistic view concerning the preservation and rehabilitation of human health. Despite popular perceptions about the fateful inevitability of sickness and disability, French philosophers and others insisted that disease could be controlled, removed, and even prevented by the prompt and deliberate application of traditional dietary, medicinal, and behavioral means. In Protestant countries, belief in Divine Providence supported medical assistance, while Catholic Europe continued to stress spiritual salvation over bodily rehabilitation. Merging traditional religious and secular philanthropic motives, however, state and municipal governments, voluntary associations, and corporate bodies all joined forces to implement a program of public assistance designed to mend bodies while still saving souls. In Britain, local “alliances against misery” comprising private individuals, including businessmen, bankers, lawyers, physicians, and surgeons, came together to establish new voluntary hospitals. Governmental and private organizations aimed at better infant and maternal health, creating lying-in and children’s institutions.
By the 1770s, the British voluntary hospital movement was already in full swing, while Continental establishments expanded their services. Hospitals became ideal settings for a greater medical presence, providing physicians with access to vast sectors of the population hitherto left outside the scope of mainstream medicine. Early leaders of this hospital development were John Aikin (1747–1822) who considered the hospitalized sick poor as ideally suited for “experimental practice,” John Howard (1726–1790), a widely traveled prison and hospital reformer, and Jacques Tenon (1724–1816), who viewed hospitals as symbols of Enlightenment civilization. Others provided the necessary impetus for bedside medical research and improved clinical skills. Indeed, hospitals were now seen as “nurseries” capable of “breeding” better medical professionals. Informal methods of clinical teaching, brought from Italy to Holland a century earlier, became part of academic instruction pioneered by the University of Leiden. There, at the St. Caecilia Gasthuis, Herman Boerhaave (1668–1738) held “practical exercises,” making rounds, questioning, examining, and prescribing remedies for the carefully selected patients. The routine also included the questioning of students, performance of autopsies on those who had died, and efforts to correlate specific postmortem findings with previously detected symptoms. Later, other academic institutions in London, Edinburgh, and Pavia followed this model, although the potential inherent in hospitals to furnish new clinical and pathological knowledge capable of revolutionizing medicine was only fully realized after 1800 in Parisian institutions. In sum, the early modern period witnessed the decisive transformation of the hospital from a religious shelter to a space exclusively devoted to medical interventions.
See also Apothecaries; Boerhaave, Herman; Catholic Spirituality and Mysticism; Catholicism; Charity and Poor Relief; Medicine; Poverty; Public Health; Reformation, Protestant.
BIBLIOGRAPHY
Primary Sources
Aikin, John. *Thoughts on Hospitals*. London, 1771.
Blizard, William. *Suggestions for the Improvement of Hospitals and Other Charitable Institutions*. London, 1796.
Tenon, Jacques. *Memoirs on Paris Hospitals*. Translated and edited by D. Weiner. Canton, Mass., 1996. Originally published 1788.
Vives, Juan L. *Concerning the Relief of the Poor*. Translated by M. M. Sherwood. New York, 1917. Originally published 1526.
Secondary Sources
Brockliss, Lawrence, and Colin Jones. *The Medical World of Early Modern France*. Oxford, 1997.
Finzsch, Norbert, and Robert Jütte, eds. *Institutions of Confinement: Hospitals, Asylums, and Prisons in Western Europe and North America, 1500–1950*. Cambridge, U.K., and New York, 1996.
Foucault, Michel. *The Birth of the Clinic*. Translated by A. M. Sheridan Smith. London, 1973.
Granshaw, Lindsay, and Roy Porter, eds. *The Hospital in History*. London, 1989.
Grell, O. P., and Andrew Cunningham, eds. *Health Care and Poor Relief in Protestant Europe, 1500–1700*. London, 1997.
Risse, Guenter B. *Hospital Life in Enlightenment Scotland: Care and Teaching at the Royal Infirmary of Edinburgh*. New York, 1986.
———. *Mending Bodies—Saving Souls: A History of Hospitals*. New York, 1999.
Guenter B. Risse
HOUSING. The ancient Greek word for household, *oikos*, is the root of the modern word “economy.” In early modern Europe, housing was associated both with living and working, consuming and producing. This combined function shaped the outward form and internal organization of houses during the era. It also introduces complications to explicating the theme of housing, because the focus could be equally on the domicile itself or on the groups of people who inhabited it. Contemporary officials often used the term *hearth* to refer to households, though the term refers to the structure used to heat a room as well. A lack of sources makes it difficult to determine who actually lived together in the early modern era: in some cases, several households lived together under one roof, perhaps in separate rooms or all together. It is also difficult to determine how people used space inside the house: there are very few descriptions of house interiors and little way of knowing how representative those descriptions are.
There was no single “typical” house of the early modern era. For one thing, there was a strong tendency toward regional cultural patterns, both among and within linguistic and political units, which were expressed in housing styles. Few things more readily distinguish different regions than the prevailing style of houses, especially in the countryside. Regional differences resulted in part from local variations in building materials, but they clearly had deeper cultural roots as well. Housing types were also shaped by the fundamental difference between urban and rural living conditions. Though the overwhelming majority of Europeans lived in the countryside, the urban world was often more dynamic and exhibited a greater variety of living conditions. Town size magnified those differences. A few great cities, such as Paris or London, had a completely different housing mixture from the typical “large” city of about 20,000 inhabitants, not to mention the numerous small towns of the era. Variation in status and the work people performed also affected how and where they lived. The houses of nobles and patricians were quite different from those of peasants and artisans. Higher status homes certainly displayed a greater variety of styles than did lower status homes. Even more importantly, however, higher status homes comprise the greater body of evidence about what was in early modern homes and how they were used. Thus, while one may talk about some general trends in all housing during the era, the key features of housing must be viewed in wider social and geographical contexts.
BUILDING HOUSES
There were no significant technological changes affecting living conditions in early modern Europe. Building materials and practices did not change much. As a rule, the types of houses that people lived in at the end of the eighteenth century would have been familiar to those of the early sixteenth century, aside from external ornamentation. Indeed, many houses remained standing for the entire period, though wood-frame houses typically needed replacing every century or so. This continuity of building styles was particularly pronounced in the housing of peasants and artisans. However, elite housing did change in function and style over the period, so that a noble palace at the end of the early modern era would have appeared quite different from one at the beginning of the era.
There were three main building materials for houses: wood, stone, and brick. One may divide European housing into three zones according to which of those materials was predominant in buildings because of local availability of that material. There was, however, a status hierarchy of building materials, so that some towns would include a few stone or brick buildings in among a majority of wood-frame houses. In the great cities, homes of the elite were constructed of stone or brick, while homes in poorer districts were built of wood. Stone and brick also became more prevalent building materials over time. By the seventeenth century, Paris had (poorly enforced) regulations prohibiting wood construction. London also built more extensively in stone and brick after the devastating fire of 1666. The progress of stone building in large cities was varied. The French city of Cambrai had numerous stone houses by the middle of the seventeenth century. Nearby Rouen did not begin to build in stone until the end of the eighteenth century. The German city of Nuremberg built houses with stone first floors and half-timbered upper stories.
Wood was the favored building material in both the towns and countryside of the heavily forested parts of northern and central Europe. It was unusual for houses to be built entirely from logs. Instead, most structures were half-timbered: large hewn logs formed the frame for the house, while the spaces within the frame were filled with wattle and daub (a mixture of sticks with mud or plaster), with bricks, or stucco. Timber for housing construction was not, in fact, a highly developed industry in the era. Timber exports were more likely to be sent for shipbuilding than housing, so half-timbering eased demand for large logs. Indeed, in some port towns, the primary source of timber for house construction was old ships. Half-timbering created a distinctive colorful urban landscape, remnants of which exist today in some German, French, and English towns. By the late eighteenth century, however, half-timbered town houses were often considered excessively rustic. The facades of such houses were plastered over to create a more classical effect.
A major danger of the widespread use of wood in construction was fire. Fires leveled many towns, such as Stockholm, Sweden, in 1625. Fear of arsonists was a common concern of householders and town officials alike.
In most of southern Europe, and some parts of northern Europe, timber was much scarcer than stone, so stone and mortar were the preferred building materials for both towns and the countryside. The quality of stone used in construction could vary widely. Almost all structures were constructed from stone quarried locally. Small towns and villages took on a unified landscape from the color and texture of the locally quarried stone. For example, the all-red sandstone of the village of Collonges-la-Rouge in France distinguished it from the mostly golden or gray stone of neighboring towns. More elegant housing might rely on stone imported from a greater distance, but most quarries were small operations that depended on major public projects such as churches to drive most of their activity.
In the coastal regions of northern Europe and in the larger cities of southern Europe, brick was the preferred building material. Brick making was a significant industrial operation, the center of which was usually located in the countryside near a town. Unlike stone and wood, brick was used almost exclusively for urban housing. Farmhouses in regions where urban brick houses predominated were usually half-timbered or wattle and daub. Bricks were well designed for constructing geometrically proportioned, stable houses, which produced regimented streetscapes. In northern European cities in the Netherlands and coastal Holy Roman Empire, exposed brickwork helped define the city landscape in the same way that colored stone defined some southern European towns. In the southern European cities that used bricks instead of stones, the bricks were usually covered with stucco, so that it was not immediately apparent that brick rather than stone was the primary building material.
Roofing material was equally subject to the interplay of local availability and a slight status hierarchy of materials. In the countryside, both stone and half-timbered houses were usually roofed with thatch. More substantial houses in the countryside and most urban houses were covered with shingles, which might be made of wood, locally quarried slate, or kiln-dried tiles. Only the houses of the wealthiest people would be sheathed in lead or copper.
The building trades themselves also underwent little change during this era. Most rural houses and houses of artisans were built by guild craftsmen, masons, and carpenters, without the assistance of architects. Some towns enforced building regulations to ensure effective design. In sixteenth-century Nuremberg, for example, the town building department acquired many drawings of new structures and additions that were to be built, few of which were created by architects. By the end of the early modern era, architects began to play a more prominent role in constructing housing for urban professionals as well as noblemen.
**PEASANT HOUSES**
The majority of the European population lived in villages. Most villages exhibited a uniform housing type, because there were only small disparities of wealth and work among most peasants. Nevertheless, one can find some differentiation between the houses of the rural poor and those of the more substantial farmers. The most common dwelling for the rural poor was a one-room house, sometimes called a “long house,” where the residents slept, ate, and worked in the same space. In its most basic
form, it had an open hearth in the middle of the room and a hole in the ceiling to let the smoke out. The house was built on the ground, which served as the floor. Straw or grass was strewn on the floor to reduce dampness. Light could enter the house through windows, which lacked glass but could be closed by wooden shutters. More advanced houses had a brick or stone hearth with a chimney located on one side of the house instead of a centrally located firepot. Such houses had glass windows to let in light and keep out the cold. It also became increasingly common for even simple farmhouses to be built on excavated foundations and wood plank floors rather than simply resting on the ground.
For modern observers, and even for some contemporaries, one of the most striking features of the single-room house was that animals would be housed under the same roof as people. Writers who stayed at such rural farmsteads commented on being kept awake by the noises of the cows. However, animals did not have free rein of the house: there was usually a barrier between the human inhabited space and the stalls for the animals.
Sometimes, more than one family shared the one-room house. In any case, privacy was very rare. The poorest households possessed a very small repertoire of furniture. The most important item in a peasant household after the hearth was the bed. It consisted of a frame, a mattress, and usually a canopy whose curtains could be closed to attain some privacy. There was usually a long table for eating, with benches rather than chairs for seating. Many benches served double service as chests. Extra clothing, linens, and personal effects were kept in chests or armoires, which were rudimentary in the poorest households and more elaborate in wealthier ones. Though almost all parts of Europe had colorful folk-art traditions in furniture or pottery, the overall appearance of the interior of most peasant houses would have been dark and unadorned.
Many peasants lived in a slightly more elaborate version of the long house. Instead of consisting of a single room, the house was divided into two spaces: a foyer and rooms. Cooking, eating, and work all took place in the foyer. The rooms were separated from the foyer by walls, with doors that could be closed and locked for at least some privacy from the work environment. Such houses might also have a separate cellar and storeroom for grain and an upstairs room, which could be used as a bedroom. This room was usually accessible by a trapdoor and ladder rather than a stairwell. It was less common for animals to be housed under the same roof as humans in these larger houses; instead they had stalls in a barn.
The main work of rural households was, of course, agriculture. So the main house was usually built as part of a larger courtyard in which the everyday tools of farming were kept: wagons, plows, harnesses, a dung heap. More prosperous peasants might have several buildings built around the courtyard, such as grain storerooms, separate stalls for animals, sheds, possibly even a baking oven, though that was usually a communal building rather than part of an individual’s property. The courtyard itself might be separated from the street by a large gate or doorway that could be closed. Some of these gateways provided an opportunity for self-expression. In Germany, it was fairly common for a married couple to inscribe their names, the date of construction, and a pious statement over the entryway of a new house.
There were also some specialized forms of housing in the rural world. There were three structures which, while not present in every village, were central to peasant life: the parsonage, the tavern, and the mill. The parsonage, or priest’s house, was usually just a large version of the typical peasant house of the region. Throughout the early modern era, the pastor or priest participated in the broader agricultural economy as well as attending to his spiritual duties, so his house had to be arranged to perform both kinds of tasks. Rural inns, like their urban counterparts, had to provide lodging and meals to travelers, but relied primarily on a local customer base for support. Mills were fundamentally important for rural society because they converted grain to flour; their living space was subordinated to their economic function. The sites of both windmills and water mills depended on geography. Building a mill was a greater capital investment than building a house, so most mills were built with higher quality materials with the intention that they would last for several generations. Millers, innkeepers, and pastors were usually the wealthiest members of the community, so their housing was the most elaborate in the village.
In most parts of Europe, peasants lived in nucleated villages. It was possible to survive in a village with only a one-room house and no elaborate courtyard because much work was done communally, so one’s house did not have to have all the required work materials. But large isolated farmhouses were characteristic of Alpine lands, in which raising animals was more important than tending cereal crops. Isolated farmsteads had to be self-sufficient because there were no neighbors to rely on. As a result, the houses of isolated farmsteads were significantly bigger than those in villages, even if the farmstead occupants were sometimes poorer than some of the more successful inhabitants of villages. The farmstead houses almost invariably consisted of two or even three stories, with stalls for animals in the lower story. Since these houses were often built in hilly country, they were arranged with ground access to the upper story, which was a large open space for storing grain and supplies.
**URBAN ARTISAN HOUSING**
Perhaps the most important distinction within the towns of early modern Europe was between citizens and noncitizens. In almost all towns, ownership of a house in town was a prerequisite for citizenship. The single-family-owned house, therefore, was the norm for merchants, professionals, and most independent craftsmen, the bulk of the citizens in urban Europe during this era. Not everyone aspired to or acquired citizenship, however. Many of the working poor lived crowded together with other families in single houses. For example, in seventeenth-century Augsburg, 70 percent of the households lived in houses containing an average of four families. Though there was some tendency for the houses of the wealthiest citizens to concentrate in the center of town near the public buildings, different trades were usually mixed together throughout town. This mixing of wealth and occupation was one of the most striking characteristics of the small- and medium-sized towns of the era.
Space was at a premium in urban areas. House facades directly abutted the street and were built one on top of the other. The characteristic urban street was a narrow alley with houses built close enough to block out the sun on the street. In some towns, the upper stories of houses overhung their entrances, almost touching the houses across the street. Houses generally showed a narrow front to the street and extended deeply to the rear. In the far rear, there was usually a garden or courtyard. In smaller towns (and earlier in the sixteenth century) ordinary houses tended to be only two stories tall. The first story was taller than the second. In those cities that experienced strong population growth, houses tended to be built upward, though it was very rare for them to reach more than five stories.
The interior of an artisan’s house was organized for craft production, not as a haven from work. It often made sense to have one fairly undifferentiated room on the main floor of the house. That room would serve as kitchen, eating area, and workspace. Sometimes journeymen and apprentices would also sleep in the work area, rolling up their bedding at the start of the workday. There was usually at least some sense of separation between work areas and living areas, even in the large rooms, but that separation sometimes blurred. As late as the eighteenth century, one could still find blacksmiths’ houses where the kitchen hearth also served as the foundry for the iron. The specific craft of the homeowner influenced home design and location. Tanners, for example, had to be located near a watercourse (and tended to produce unpleasant odors), so they were concentrated in the same neighborhood. Their houses’ interiors included built-in vats for soaking and treating of hides, which had to be separate from living spaces. Such occupational needs placed constraints on housing design.
Most artisan houses had two or three rooms on each floor. There was often a parlor on the first floor, in addition to the main work area or shop. This room was also a public space of the household. The upstairs rooms were usually for sleeping. It is possible that one could find greater privacy in a typical urban home than in its rural equivalent, but it was still mostly a shared rather than isolated living situation.
Though it is unlikely that conditions were quite as squalid as they would become in the first decades of the industrial revolution, it is clear that many urban workers throughout the early modern era lived in dingy, crowded conditions, with little that could be considered luxuries or even comforts. Furnishings in artisan households were mostly comparable to those of the peasantry: sturdy furniture and
supplies with perhaps a smattering of folk-art coloring. Studies of inventories at death show that the most important piece of personal property of the poor was the bed and accompanying linens. Urban houses differed from rural ones in some other respects. Most rooms in the urban house had fireplaces to keep them warm in the winter. Latrines inside the house became commonplace in the sixteenth century; in some cities, such as in Rouen in 1519, interior latrines were mandated by law. These comforts suggest that urban housing was more advanced than rural housing, even for the poor.
**URBAN ELITE HOUSING**
Dutch genre paintings by Vermeer, Steen, and de Hooch, among others, show sumptuous interiors that are not at all like the rather drab artisan households. The Dutch Republic was in the forefront of a broader based development of a self-confident “bourgeois” culture. Indeed, the explosion of genre painting in the Netherlands was partly a symptom of the new culture that it portrayed. Urban elites, and even those who possessed above-average wealth, no matter what their status, began to decorate their homes in a more elaborate style, akin to that of the nobility. Inventories show that paintings and prints were some of the decorations that became commonplace in bourgeois homes.
The interiors of urban elite homes reflected two important cultural trends. The first was a sharper separation of public and private lives. Unlike in the houses of urban artisans, the kitchen, storerooms, and servants’ quarters were in the basement of the houses of merchants and members of the professions, separate from the general living and working space. A modern eighteenth-century town house consisted of ten to fifteen rooms spread over three or four stories. The first floor was mostly for interaction with the public. The key room was the parlor, where guests were greeted. Merchant houses also included a counting room or study that could be a place of repose but also a place to meet clients. The second floor contained the main dining room for entertaining guests, but also semi-private rooms such as the drawing or dressing room. Architects recognized that homeowners might conduct some business in the drawing room and thus advocated separating the drawing room from the bedrooms, which were often placed on the third floor.
The second cultural trend reflected in urban elite homes was the emergence of a consumer culture. Simple comforts that characterized most artisan homes by the eighteenth century, such as hearths in every room, internal latrines, and glass windows, were widespread in elite homes at the beginning of the early modern era. In addition, the rooms of bourgeois town houses were decorated profusely with moldings, wainscoting, marble mantelpieces, carpets, drapery, and mirrors. The increasing importance of new decorative objects such as mirrors, clocks, and sofas can be traced through inventories. Again, these trends were most conspicuous in large cities such as London and Paris, but they also extended to medium-sized towns. The Dutch were particularly noted for their comfortable and clean houses. In Germany, clocks were becoming an accessory in professional homes by the 1720s. A building boom in the late eighteenth century, exemplified in towns like Bath, created town houses appropriate for such conspicuous consumption.
**NOBLE HOUSING**
Housing in towns and villages in the early modern era consisted primarily of elaborations on medieval forms. But noble housing underwent a conspicuous change between the medieval and early modern eras, caused mostly by changes in the quintessential noble activity: warfare. Gunpowder weapons and artillery rendered the fortified castle useless as a safe haven for nobles. Some saw their castles destroyed during royal pacification campaigns; others decided that castles were uncomfortable and incompatible with the kind of splendor that went with living nobly. So noble housing became oriented toward display rather than defense.
Already in the Renaissance, urban nobles in Italy had revived the country villa as a retreat from urban life. The villa was modeled on the ancient Roman estate, but without the slaves. Architecturally, it incorporated classical notions of proportion and harmony that typified the Renaissance. In northern Europe, some royal palaces were built as a retreat from the hectic pace of urban life. Many were used primarily as hunting lodges. But many northern nobles were already primarily based in the rural world. The palace replaced the castle as the house from which nobles exerted their control over the
countryside. The pace of the conversion of castles or construction of noble palaces in the countryside varied from region to region in Europe. Poorer noblemen had to be content with modest additions or remodeling of already existing castles. The largest concentration of new construction was in France and England. In England, the secularization of the monasteries opened large properties to development by regional elites. A wave of “great houses” went up beginning in the early sixteenth century. In eastern Europe, by contrast, rural palaces continued to exhibit clearly their function as agricultural centers as well as centers of noble power.
Part of the function of noble housing was the extravagant display of wealth and authority. A rural palace was symbolic as well as domestic architecture. It achieved its impact by its setting as well as by its facade and furnishings. Noble landowners might divert a river or extend a moat to make the approach to the main buildings more dramatic. Extensive formal gardens were an important accompaniment to the main structure.
The impact created by the approach to the building was then reinforced by its interior layout and decoration. In the country houses of England, the centerpiece of display was the hall, which one entered from the front door of the house. This was the most public space in the house and was decorated to focus attention on the head of the house, even when he was not present. Placing a great stairway in the hall became increasingly common, turning what had been a necessary but decidedly secondary architectural feature into another element of prominent display. Great houses had innumerable other rooms branching off from the hall, with increasing degrees of privacy associated with them.
The most prominent room in the house after the hall was the great chamber. Originally, it had been a general-purpose sleeping, eating, and meeting room of the head of the house. Increasingly, the sleeping area of the householder developed into a suite of rooms, including an antechamber and dressing room. An important part of the work of a nobleman was entertaining other noblemen. Great houses and palaces contained apartments in the family’s own wing of the house and also in other wings to accommodate visitors. The status of visitors could be seen by where they were lodged in the house. An apartment consisted of four rooms: a sleeping chamber, a dressing room, an antechamber, and a room for personal servants.
As in bourgeois houses, the service rooms of the house were generally kept separate from both the public and private spaces. Some servants, of course, lived in rooms adjacent to their masters’ or mistresses’ chambers, but others slept in a separate section of the house, often dormitory style, when they were not on duty. Undoubtedly the central service room of the house was the kitchen. Along with the pantry, buttery, bakehouse, larder, and brewery, kitchens were kept out of the way of regular traffic. There was almost no space devoted exclusively to children, though most great houses had a separate nursery for the very young.
Noble houses experienced the same expansion of domestic comforts as bourgeois homes did. By the eighteenth century, it was commonplace for palaces to have running water, interior latrines, and fixed lighting. Instead of a single public room, such as the parlor, noble houses had a library or study, galleries, and a chapel. Formal gardens and outbuildings such as an orangerie (akin to a greenhouse) or folly (akin to a gazebo) provided another setting for nobles to meet or enjoy privacy. Indeed, gardens, in addition to their function as display, played an important role in noble intimacy and escape from the very public activity of much of the house.
The growth of the state drew more and more nobles to capital cities. The same issues of display and representation affected the housing nobles chose to live in or build in cities such as Paris and London. City layouts made it difficult to recreate the dramatic effect of the approach to a rural palace. Instead, the interiors and courtyards became the primary areas for dramatic display. Italy, which already had an established urban nobility in the Middle Ages, set the initial standards for the urban palazzo. In most respects, they followed the same internal organization as their rural counterparts. The architectural principles of “classicism” established in Paris became the norm for urban noble housing throughout Europe. In the eighteenth century, court cities such as Berlin, Vienna, and Munich
experienced a building boom of noble houses based on variants of the classical and baroque styles.
**HOUSING AS PROPERTY**
The populated areas of Europe had already developed clear property lines at the beginning of the early modern era. New buildings were visibly constrained by these legal boundaries. This situation was particularly acute in urban areas, where the existing structures meant that the only way to increase the area of one’s house was to build it upward, with additional stories, or to purchase a new plot of land with greater space. But even in villages, property lines defined housing spaces in the core of the village that were clearly differentiated from the croplands and pasture. Houses were restricted to that core. Once built, a house was expected to survive for a long time before being replaced. Increasing population in the countryside spurred the construction of new housing in the eighteenth century, often on subdivided plots. But, except in cases of a major catastrophe, such as fire, building a house was an infrequent phenomenon in most villages. Many structures built in the early modern era survived into the industrial era. The most extensive building projects for new housing were in the expanding suburbs of major cities or in newly founded court cities such as Versailles, Karlsruhe, or Turin, built explicitly on a grid pattern on property made available by the prince for the purpose of dynastic display.
Relatively clear property boundaries fostered a real estate market. One can, of course, find many instances of a single family residing on a piece of property for several generations. But some property became available because a lineage died out, and still more became available because of a change in the economic fortunes of a lineage. So purchasing a house was not at all a rare occurrence. Prices, of course, varied greatly. Even within the peasantry and artisan class, there were clear gradations in the quality of housing. Fancier peasant houses were worth about five times as much as cheaper ones in the housing market. Joint ownership of houses was also possible.
In the great cities, urban expansion was fostered by speculation in real estate. Urban elites invested in numerous building projects in suburbs and occasional renovation projects in the center of town. Some of these projects, the most famous of which is probably the Place Royale in Paris, completed in 1612, attracted elite buyers. Many others appealed primarily to people of middling means. Still others were rented out, either short term for noncitizens or long term for the working poor. The Fuggerei in Augsburg is perhaps the best-known example of housing for the working poor built by elite investors, but it was exceptional in being built primarily as a charitable institution rather than as an investment. In some cities, rental housing was a significant part of the housing stock. Fifteen percent of the population of Lübeck lived in rented cellars or rented row houses in alleys. The owners of such rental properties were often the urban elites of the towns.
By the end of the eighteenth century, urban housing was beginning to take on characteristics that would become widespread in the nineteenth century. Increasing population in towns such as Manchester put pressure on the housing stock for the working poor. At the same time, town house developments targeted at the upper middle classes, such as New Town, Edinburgh, became an important economic factor reshaping cities. They fostered speculation in both land and houses, which in turn fed urbanization on an unprecedented scale.
*See also* Architecture; Aristocracy and Gentry; Artisans; Cities and Urban Life; City Planning; Daily Life; Engineering: Civil; Estates and Country Houses; Peasantry; Technology; Villages.
**BIBLIOGRAPHY**
Baumgarten, Karl. *Das Deutsche Bauernhaus*. East Berlin, 1980.
Collomp, Allain. “Families: Habitations and Cohabitations.” In *A History of Private Life*. Vol. 3, *Passions of the Renaissance*, edited by Roger Chartier, pp. 493–530. Translated by Arthur Goldhammer. Cambridge, Mass., and London, 1989.
Cooper, Nicholas. *Houses of the Gentry, 1480–1680*. New Haven and London, 1999.
Cruikshank, Dan, and Neil Burton. *Life in the Georgian City*. New York and London, 1990.
Dirlmeier, Ulf, ed. *Geschichte des Wohnens*. Vol. 2, *Hausen, Wohnen, Residieren*. Stuttgart, 1998.
Girouard, Mark. *Life in the English Country House*. New Haven and London, 1978.
Goldthwaite, Richard. *The Building of Renaissance Florence: An Economic and Social History*. Baltimore, Md., 1980.
HUGUENOTS. “Huguenot” was the pejorative name given to Calvinist French Protestants by their Catholic opponents in the sixteenth century. The etymology of the word is obscure and contested. Henri Estienne (Latin Stephanus) was among several contemporaries to attribute it to the name given around 1560 to Protestants in Tours, after the neighborhood and city gate in which they held their religious services. Estienne may well have been correct, but an alternative derivation from *Eidgenossen* (‘Confederates’) that had become *Eigenotz*, or the supporters of the Swiss Protestant canton of Bern against the supporters of Catholic Savoy in the factional politics of Geneva in the 1530s, is still widely accepted. French Protestants preferred to call themselves *l’église réformée*, ‘the Reformed church’, and the French crown normally referred to them officially as “those of the so-called Reformed religion” after 1560.
French Protestantism emerged from the deeper wells of biblical humanism, reforming Gallicanism, inflected Lutheranism, and religious heterodoxy. But, under the influence of persecution, many Protestants were exiled to Strasbourg, Basel, and Geneva, which is where John Calvin established himself permanently from 1541. Increasingly in the 1550s, the influence of Calvin’s writings and the model of the Genevan church came to exercise a dominant impact upon French-speaking Protestants, first among the communities of exiles in the Rhineland and elsewhere and then, from 1555 onward, in France itself. The Genevan Company of Pastors (Compagnie des Pasteurs) began to train and dispatch a limited number of ministers back to France in response to a deluge of requests from particular communities. In this period, French Protestantism became, in its theology and organization, irreducibly Calvinist. Although there had been at least one earlier gathering of French churches in 1557, the first generally recognized synod of the French Protestant church took place secretly in Paris in 1559. The delegates endorsed the “Confession of Faith” and “Discipline” which, taken together, provided a constitution and a creed for the Reformed communities. In church organization, this meant that the powers, selection, and responsibility of church officers (the familiar elders, pastors, deacons, and doctors of the Genevan new order) were vested in individual churches in the form of a consistory, composed of these officials and often made up of its notability. A contrary view, that power be vested in the congregation at large, still found its echoes in the documents of 1559, but they were gradually eliminated from Huguenot thought and practice in the course of the 1560s, culminating in the modifications at the synod of La Rochelle in 1571. Thereafter, the Confession and Discipline proved enduring statements of what the Huguenots stood for over the next two centuries. For their opponents, however, the movement was defined by the Huguenot Psalter, the Genevan metrical translation begun by Clément Marot and completed by Théodore de Bèze, Calvin’s successor in Geneva, and by the French vernacular Bible, most notably the Neuchâtel Bible, originally translated by Pierre Robert Olivétan (French Olivier, Latin Olivetanus) and the basis for all subsequent French Protestant Bibles (including the Geneva Bible) in the sixteenth century.
French Protestantism found itself at what would be the height of its influence in the early 1560s. The political circumstances of a royal minority and regency, and the emergence of powerful protectors at court, especially Gaspard III de Coligny (1519–1572) and his cousin, a younger prince of the blood, Louis I de Bourbon, prince of Condé (1530–1569), assisted the chaotic and dramatic growth in Protestant numbers in these years. In March 1562, Coligny is supposed to have presented a list of the 2,150 churches then extant in France to the regent Catherine de Médicis. His figure may, however, have been exaggerated, and later historians can only document the existence of around 1,200–1,250 churches in this decade, or less than 4 percent of the Catholic parishes of the kingdom. If we allow for 1,500 communicating members of each church, we arrive at an adult Protestant population of under two million, perhaps not far from 10 percent of the total population of the French kingdom. These churches were, however, unevenly distributed, reflecting on the one hand its literate, urban constituency and, on the other, its seigneurial
heartland. Although there were many Reformed churches in Normandy, they remained quite widely scattered through the rest of northern France. Only south of the Loire, and especially in the crescent of communities stretching from La Rochelle through the southern provinces of Guyenne, Languedoc, and Dauphiné to Geneva, would there be a critical mass sufficient to provide an enduring basis for the forthcoming military struggle against the French crown.
That struggle was sustained and grueling. The Huguenots mobilized the resources of the churches in the early civil wars and seized royal revenues and ecclesiastical wealth in order to fund their campaigns. The civil wars lasted off and on from 1562 to 1598, and then again from 1622 to 1629. Without their naval strength off the Atlantic coast, mercenary German reinforcements, and the leadership of their most skilful “protector,” Henry of Navarre, later Henry IV, king of France (ruled 1589–1610), they would probably not have succeeded in winning the limited degrees of toleration that the French crown reluctantly conceded them in edicts of pacification that culminated in the pacification of Nantes (April 1598), modified by the peace of Alais (1629). From the early civil wars, however, the antipathy of the Catholic majority in France toward the Huguenots was manifested by aristocratic feud and sectarian hatred. Both culminated in the famous St. Bartholomew’s Day Massacre (August 1572) in Paris, an event that was mirrored in a score of provincial cities in the following weeks. The experience permanently
Huguenots. A seventeenth-century engraving shows Huguenot families fleeing the French city of La Rochelle in 1661. La Rochelle had been a Protestant stronghold, but a siege in 1627–1628 by the forces of Louis XIV had reestablished Catholic control. The Art Archive/Musée des Beaux Arts La Rochelle/Dagli Orti
eroded Protestant support, especially in northern France. It also cemented the emerging defensive and stoic mentality of French Protestantism, in which earlier persecution (recalled in successive and enlarged editions of Jean Crespin’s famous French martyrology, the *Histoire des martyrs* [1554]) became the pattern of the way in which God repeatedly tested his faithful French elect.
The sixteenth-century Catholic perception of Huguenot political engagement has created an enduring view that they were republicans, determined to resist monarchical authority, who sought to establish a federal state in France after the model of the Swiss cantons or the emerging Dutch Republic. In reality, the basis for Huguenot “resistance theory” was laid among Protestant refugee reformers from a variety of backgrounds and found its echoes later in the sixteenth century among Catholics who were themselves similarly at odds with French monarchical authority. And, although French Protestants had a political assembly that met on an irregular basis to provide credibility to its military and financial organization, it was never the basis for a republican movement. In reality French Huguenots continued to adhere to the principles of monarchy, even though they preferred (like many of their Catholic counterparts) to see it in less than absolutist terms. Their great spokesman and one-time advisor to Henry IV, Philippe Duplessis Mornay, repeatedly defended his coreligionists against those
who accused them of wanting to set up a “state within a state,” to “diminish royal authority,” or “establish a democracy.” A comparable distillation, that the Huguenots stood for the principle of religious toleration, has also to be seen as something of a retrospective myth, born of the inevitable apologetic of a minority religious movement and incarnated by the Enlightenment and liberal nineteenth-century historiography.
The Edict of Nantes granted French Protestants limited rights of worship, access to royal offices, legal redress before special royal courts (known as *chambres de l’édit* or ‘Chambers of the Edict’), and rights to establish their own academies. Royal letters (*brevets*) accompanying the edict granted subsidies for their troops, pastors, and schools and allowed them to garrison certain towns. The *brevets* were not maintained beyond 1629, and the terms of the edict were interpreted by royal officials in an increasingly restrictive way, especially after 1661, until the edict was revoked by Louis XIV in the Edict of Fontainebleau (October 1685). Of the 873 pastors remaining in France at that time, about 140 abjured; but the remainder chose to defy the edict and take up exile in the Dutch Republic (43 percent), Switzerland (27 percent), England (23 percent) and Germany (7 percent). More surprising to the authorities was the degree of illegal emigration of lay Huguenots—latest estimates suggest a figure of around 200,000. The Huguenot diaspora made the revocation a European phenomenon and cemented the French Protestant sense of a separate identity. The cultural and economic influence of the exiled Huguenots was far from negligible, spreading beyond Europe to colonial North America and the Dutch colonies, even if it has sometimes been exaggerated. Protestantism survived underground in eighteenth-century France and was once more officially tolerated on the eve of the Revolution.
*See also* Béze, Théodore de; Bible; Calvin, John; Calvinism; Coligny Family; Condé Family; Gallicanism; La Rochelle; Lutheranism; Martyrs and Martyrology; Nantes, Edict of; Reformation, Protestant; Resistance, Theory of; St. Bartholomew’s Day Massacre; Wars of Religion, French.
**BIBLIOGRAPHY**
The *Bulletin de la Société de l’Histoire du Protestantisme Français*, and the equivalent *British Proceedings of the Huguenot Society of Great Britain and Ireland* are an indispensable starting point for all those wishing to trace their Huguenot ancestry.
Benedict, Philip. *The Faith and Fortunes of France’s Huguenots, 1600–1685*. St. Andrews Studies in Reformation History. Aldershot, U.K., and Burlington, Vt., 2001.
Butler, Jon. *The Huguenots in America: A Refugee People in New World Society*. Cambridge, Mass., and London, 1983.
Garrison, Janine. *Les Protestants au XVIe siècle*. Paris, 1988.
Gray, Janet. “The Origin of the Word Huguenot.” *Sixteenth Century Journal* 14, no. 3 (1983): 349–359.
Greengrass, M. *The French Reformation*. Oxford, 1987.
Gwynn, Robin D. *Huguenot Heritage: The History and Contribution of the Huguenots in Britain*. London, 1985.
Kingdon, Robert McCune. *Geneva and the Coming of the Wars of Religion in France, 1555–1563*. Travaux d’humanisme et renaissance, vol. 22. Geneva, 1956.
———. *Geneva and the Consolidation of the French Protestant Movement, 1564–1572*. Travaux d’humanisme et renaissance, vol. 92. Geneva, 1967.
Léonard, Émile G. *A History of Protestantism*. Edited by H. H. Rowley. 2 vols. London, 1965–1967.
Magdelaine, Marie, and R. von Thadden, eds. *Le refuge huguenot (1685–1985)*. Paris, 1985.
Prestwich, Menna, ed. *International Calvinism, 1541–1715*. Oxford, 1985.
Wolff, Philippe, ed. *Histoire des protestants en France, de la réforme à la révolution*. Toulouse, 1977.
**MARK GREENGRASS**
**HUMAN RIGHTS.** See Rights, Natural.
**HUMANISTS AND HUMANISM.** Humanism was the dominant intellectual movement among the educated classes of Europe from the Renaissance to the seventeenth century. The term reflects the belief that certain academic subjects known since ancient times as the *studia humanitatis* (humanistic studies) must shape the education and culture of those who rule society. Humanism was closely linked to the Renaissance desire to broaden knowledge about antiquity as a means of recovering not only more information but also the inner spirit that had made Greece and Rome flourish. The “humanistic” subjects were five in number: grammar (chiefly Ciceronian Latin),
rhetoric (the art of persuasive speaking and writing), moral philosophy (the guide to making responsible choices in personal and political life), history, and poetry. The first three of these were taught in medieval universities, though humanists charged that they had been eclipsed by the inordinate attention given to dialectic. Those who promoted humanism contended that the mastery of the “humanities” was essential for the intellectual and moral development of an educated man.
This definition of humanism is based on the work of Paul Oskar Kristeller (1905–1999), who believed that the nineteenth-century historian Jacob Burckhardt (1818–1897) introduced confusion into Renaissance studies when he defined humanism as a new philosophy of life even though he never succeeded in defining a coherent set of philosophical ideas held by all humanists. Kristeller defined humanists as essentially grammarians and rhetoricians who regarded the languages and literatures of ancient Greece and Rome as a precious heritage that they must recover. Some scholars still follow Burckhardt and define humanism as a secular philosophy of life that foreshadows the modern world, but Kristeller’s approach predominates.
**ORIGINS OF ITALIAN HUMANISM**
The roots of humanism lie in the unique social and political conditions of Italy about 1300. Northern Italy had become a commercial society dominated by independent city-republics. Chivalric literature and scholastic learning were remote from the primary concerns of urban laymen. But lawyers and notaries developed a professional subculture that led some individuals to become interested in ancient literature, and about 1300 a Paduan judge, Lovato dei Lovati (c. 1240–1309) and his friend Albertino Mussato (1261–1329), a notary, produced Latin works that imitated ancient Roman models.
Although these Paduan classicists may be the first humanists, the true founding figure was the poet Petrarch (1304–1374), the first humanist to gain international fame and to lead a group of disciples. The son of a Florentine notary attached to the papal curia at Avignon, Petrarch was attracted to poetry and classical literature. His father sent him to study law, but he devoted his life to poetry and Latin literature. His vernacular poems established his literary fame. He also wrote Latin poetry and produced a collective biography of famous Romans and an epic poem inspired by Virgil’s *Aeneid*. Petrarch’s dismay at the physical and moral decay of contemporary Rome led him to a new conception of ancient history. Unlike medieval thinkers, who never fully realized that they lived in post-Roman times, he saw that the Rome he loved had died a thousand years ago. In his opinion, the intervening millennium was a Dark Age. Good learning had perished. His goal was to restore knowledge of ancient Rome through study of its literature and thus to recapture the inner secret of Rome’s greatness. So Petrarchan humanism was associated with a desire to bring about a “renaissance” of civilization. Petrarch was far more troubled by religious concerns than were most of his Italian contemporaries. His *Secretum* (Secret book) displays his awareness of discord between his desire for eternal salvation and his desire for worldly fame. He favored the contemplative over the active life and disdained the worldly concerns (politics, family, wealth) that captivated his Italian contemporaries. Hence his early following was limited to admirers of his poetry and of ancient literature.
The association of humanist learning with contemporary life was the work of Coluccio Salutati (1331–1406), chancellor of the Florentine republic. Salutati gained fame as an advocate for the republic at a time of political crisis. As the person who conducted the city’s diplomatic correspondence, he created a network of humanist friends scattered throughout Italy. His activity made Florence the center of Italian humanism. In 1397 he persuaded the city to hire the Byzantine scholar Manuel Chrysoloras (1350–1415) to teach Greek, thus creating Italy’s first generation of Hellenists and initiating the recovery of Greek literature. Salutati contributed to the triumph of humanism as the common culture of the ruling classes, first at Florence but eventually throughout Italy. A growing number of Florentine fathers chose humanistic education for their sons because they believed that the skills it taught and its Roman ethos of citizenship would prepare their heirs to assume their rightful place in society.
**THE QUATTROCENTO**
By the early Quattrocento (fifteenth century), humanism had become the dominant culture of educated Italians. Salutati’s disciples at Florence made secular interests—especially politics—the focus of humanism. Leonardo Bruni (c. 1370–1444) associated Florentine republicanism with the cause of liberty for all Italians. His *History of the Florentine People* (1415–1444) explicitly proclaimed the superiority of a republican constitution to a monarchy. He attributed the greatness of Rome to its republican constitution and its later decline to the tyranny of the emperors. His republican ideology and his ideal of political involvement became the hallmark of Florentine humanism. Yet humanistic skills could also be useful in the service of a monarch, and humanism thus became the prevailing culture in Italy’s princely courts as well as in its republics.
The fashion for humanism is reflected in a series of educational revolutions in fifteenth-century Italy and sixteenth-century France, Spain, Portugal, Germany, and England. Many of the town schools of Italy, which had taught traditional subjects, were transformed during the fifteenth century because ambitious city councillors wanted humanistic education for their sons. They hired humanists as headmasters and specified that instruction should be based on classical authors. In the sixteenth century, the municipal colleges of France and Spain experienced a similar transformation. Humanistic reform of northern universities proved far more difficult than reform of grammar schools and produced bitter conflicts in the early sixteenth century, but eventually humanists succeeded in winning an important place in most universities.
Since humanists admired classical literature, they were eager to discover lost works of ancient authors. Petrarch hunted for manuscripts and made important finds, including many of Cicero’s letters; but the early fifteenth century was the golden age for rediscovery of Latin authors. The recovery of Greek literature was even more striking. Italian humanists brought back from Constantinople hundreds of previously unknown Greek books. Since relatively few Western students learned to read Greek well, the crucial moment in the availability of a Greek book was its translation into Latin. During the fifteenth century, the work of translation advanced rapidly. The most influential addition to the body of translations was the previously little-known works of Plato, translated by the Florentine philosopher Marsilio Ficino (1433–1499). By 1600, most of the Greek literature now known was available in printed Latin translations.
Fifteenth-century humanists also defined new standards for editing texts. Early humanist textual scholarship was driven more by enthusiasm than by rational criticism. Lorenzo Valla (1407–1457) was a pioneer in the development of a critical spirit. His greatest achievement was his realization that language itself is a product of history and changes with the passage of time. This idea is the foundation of modern philological scholarship. It was the basis of Valla’s influential guide to good Latin style, *Elegances of the Latin Language* (1471). He demonstrated its power to evaluate texts in his treatise on the “Donation of Constantine” (c. 750–800), which he proved to be a forgery, and in his annotations on the New Testament, which showed how the ability to read Greek could aid the study of Scripture.
**HUMANISM CROSSES THE ALPS**
Since northern culture remained far more traditional than Italian, at first only scattered individuals in the north displayed interest in humanism. Many northerners who spent time in Italy, especially students of law or medicine, became interested in humanism and continued to pursue this interest after returning home. Not until about 1450 did their interests begin to spread. Several Germans who studied in Italy became itinerant lecturers, moving from university to university to lecture on humanistic subjects. The most influential was Peter Luder (1415–1472). After returning from Italy in 1456, he lectured at several universities. His announced goal was to restore the purity of the Latin language, which had declined into “barbarism.” Early German humanists presented humanism in the secularized form that they had found in Italy. They were classicists, educational reformers, even German patriots, but they did not associate humanism with religious revival. Yet a longing for spiritual renewal had become a powerful force in northern Europe.
The movement called “Christian humanism” explicitly applied humanist studies as a means to regenerate Christian faith. In Germany, an early example was Johann Reuchlin (1455–1519), who became expert in the biblical languages, Greek and Hebrew, and sought to apply Neoplatonism and Jewish mysticism (Cabala) to deepen his understanding of Scripture. In France the chief figure was Jacques Lefèvre d’Étaples (1455–1536). His initial goal was to improve the teaching of Aristotelian philosophy at the University of Paris. But in 1508 he retired from teaching and devoted himself to study of the Bible. His biblical publications included his *Fivefold Psalter* (1509) and his commentary on the Epistles of St. Paul (1512).
By far the greatest Christian humanist was Desiderius Erasmus of Rotterdam (1466?–1536). As a young man he won attention for his elegant Latin style, and as a student of theology at Paris, he became close to Parisian humanists. Erasmus became known as a Latin poet, an editor of classical authors, and the author of a collection of classical proverbs. From about 1500 he also published on religion. His book of spiritual counsel to laymen, *Enchiridion Militis Christiani* (1503; Handbook of the Christian warrior), became a religious best-seller. Erasmus concluded that mastery of Greek was essential for study of the New Testament and of the church fathers. Reexamination of the scriptural and patristic sources of Christian faith could liberate both theology and spiritual life from the spiritual morbidity of the unreformed church. He called his ideal “the Philosophy of Christ.” Although this ideal of a religion expressed in righteous living rather than in dogma and ritual might seem to have little connection with scholarship, Erasmus found the connection in the need of the Christian community to recapture the inspiration that had made the early church spiritually powerful. His goal was a renaissance of genuine Christianity to match the other humanist goal of a renaissance of classical learning. His scholarship culminated in his edition of the Greek New Testament (1516). Between about 1516 and 1521, he became the leader of a humanist campaign to effect gradual and peaceable religious reform through scholarship and the education of a new generation of leaders.
**THE REFORMATION DIVIDES HUMANISM**
The outbreak of the Protestant Reformation in 1517 thwarted these hopes. Although Martin Luther also favored humanistic studies as a preparation for the reform of the church, and at Wittenberg led a university reform that made humanistic subjects the center of the curriculum, humanism split apart over the Reformation. Erasmus and the older generation of humanists were appalled at the prospect of a divided church, and ultimately nearly all of them remained Catholic. Many of the young humanists, however, had come to admire Luther even more than Erasmus; they became leading Protestant clergymen. Although they accused Erasmus of lacking the courage to follow his own best principles, Protestant humanists still admired him. The humanists who remained in the old church, including Erasmus himself, came under attack by conservative Catholics who accused them (Erasmus in particular) of being the source of Luther’s heresies. The religious upheaval that followed did not destroy humanism but did narrow its scope. As denominational barriers hardened, humanists of the later sixteenth century tended to avoid trouble by putting aside aspirations for sweeping spiritual renewal and institutional reform. They narrowed the scope of their studies to classical scholarship and the perfection of the philological tools of textual criticism; religion they left to the theologians.
**POST-REFORMATION HUMANISM**
On the purely technical side, post-Reformation humanism remained productive. The scholar-printer Robert Estienne (1503–1559) produced an authoritative Latin dictionary (1531) that was used for centuries. His son Henri (1528–1598) published an edition of Plato that still governs scholarly citation practices. He also compiled a dictionary of Greek (1572) to match his father’s Latin one. Comparable in importance was Josephus Justus Scaliger (1540–1609), whose work on ancient chronology, *Opus Novum de Emendatione Temporum* (1583), was a pioneering effort to integrate the dating systems of various ancient cultures. As a Protestant, Scaliger felt free to apply his critical skills to demolish the traditional authority of the patristic author known as Dionysius the Areopagite (first century C.E.), proving that Dionysius was not converted by St. Paul but lived centuries later. Isaac Casaubon (1559–1614) performed a similarly destructive criticism of the tracts attributed to Hermes Trismegistus, supposedly a divinely inspired treasury of Egyptian religion but actually a jumble of unrelated and unimportant texts.
Late Renaissance humanism also produced a challenge to the jurisprudence of the medieval universities, attacking the commentaries of medieval
professors as a distortion of Roman law and calling for a fresh look at the original text of the laws. This “legal humanism” was foreshadowed by the critical scholarship of Valla, the Florentine humanist Angelo Poliziano (1454–1494), and the French humanist Guillaume Budé (1468–1540); it reached maturity in the teaching of Andrea Alciati (1492–1550) at Avignon and Bourges. But as French legal humanists probed the legal foundations of their own society, they discovered that French institutions and much of French law did not come from Rome at all. François Hotman (1524–1590) concluded that French laws originated not with Rome but with the customs of the early Franks and the legislation of the medieval kings. Humanism provided the linguistic method used by Hotman, but French patriotism was what drove him to discover the medieval origins of his nation. In a sense, he and other legal humanists invented medieval history by discovering the documentary sources of medieval French law. Another special direction of later humanism was patristic scholarship. In Catholic Europe this became a specialty of the monastic orders. The Benedictine Congregation of St. Maur in France became famous for editions of the church fathers and for development of important tools of scholarship, such as Jean Mabillon’s (1632–1707) *De Re Diplomatica* (1681) and the *Paleographia Graeca* (1708) by Bernard de Montfaucon (1655–1741).
By the seventeenth century, humanism in the sense understood by its Renaissance creators was gone. The Renaissance dream of applying classical learning in order to revitalize civilization and the church perished in the conflicts of the Reformation. Humanism survived in three forms: the specialized field of classical scholarship, especially classical philology; the recovery of nearly the whole body of Latin and Greek literature; and the educational changes that transformed schools and universities from centers for the study of scholastic logic and metaphysics into centers for teaching the classical languages and the literary curriculum that dominated Western schools from the fifteenth to the twentieth century.
*See also Education; Erasmus, Desiderius; Luther, Martin; Reformation, Protestant; Universities.*
**BIBLIOGRAPHY**
Baron, Hans. *The Crisis of the Early Italian Renaissance: Civic Humanism and Republican Liberty in an Age of Classicism and Tyranny*. Rev. ed. Princeton, 1966.
Burckhardt, Jacob. *The Civilization of the Renaissance in Italy: An Essay*. Translated by S. G. C. Middlemore. 3rd ed. London, 1950. The best of many editions. Translation of *Die Cultur der Renaissance in Italien: Ein Versuch* (1860). The classic study of the Renaissance and humanism. Though often criticized, it still dominates all discussion of the period.
Garin, Eugenio. *Italian Humanism: Philosophy and Civic Life in the Renaissance*. Translated by Peter Munz. New York, 1965. Translation of *L’umanesimo italiano* (1958).
Grafton, Anthony. *Defenders of the Text: The Traditions of Scholarship in an Age of Science, 1450–1800*. Cambridge, Mass., 1991. Traces the emergence and development of classical philology.
Grafton, Anthony, and Lisa Jardine. *From Humanism to the Humanities: Education and the Liberal Arts in Fifteenth- and Sixteenth-Century Europe*. Cambridge, Mass., 1986. Challenges the humanists’ own claims for the cultural significance of their program of education.
Grendler, Paul F. *Schooling in Renaissance Italy: Literacy and Learning, 1300–1600*. Baltimore, 1989. A study of the “educational revolution” caused by Italian humanism.
King, Margaret L. *Women of the Renaissance*. Chicago, 1991. Studies the relatively few Renaissance women who attempted (with limited success) to participate in humanistic culture.
Kristeller, Paul Oskar. *Renaissance Thought: The Classic, Scholastic, and Humanist Strains*. New York, 1961. One of several collections of essays by Kristeller. This volume contains the most influential of the essays in which he develops his definition of humanism and its relationship to ancient and medieval culture.
Nauert, Charles G. *Humanism and the Culture of Renaissance Europe*. Cambridge, U.K., 1995. A synthesis of recent scholarship on humanism, both Italian and non-Italian.
Rabil, Albert, Jr., ed. *Renaissance Humanism: Foundations, Forms, and Legacy*. 3 vols. Philadelphia, 1988. Massive collection of essays by specialists on many aspects of humanism.
Rummel, Erika. *The Confessionalization of Humanism in Reformation Germany*. Oxford, 2000. Discusses the mutual interaction of the Reformation and German humanism.
Trinkaus, Charles. “‘In Our Image and Likeness’: Humanity and Divinity in Italian Humanist Thought.” 2 vols. London and Chicago, 1970. Study of Italian humanists’ views on human nature.
Hume, David (1711–1776), Scottish philosopher and historian. Hume was born in the Scottish border country near Edinburgh into an old family of prosperous provincial lawyers. His father died when he was an infant. His mother never remarried and devoted herself to raising Hume and his brother and sister. Throughout his life Hume was deeply attached to his family and proud of its traditions. He studied at the University of Edinburgh until the age of fourteen or fifteen. For the next ten years he pursued a rigorous plan of independent study that surveyed the whole of humanistic learning and cost him a temporary nervous breakdown. From this period, Hume conceived two projects, the later fulfillment of which would complete his career as a writer—a philosophical science of human nature (comprehending all the sciences) and the writing of history. Hume is unique in being both a great philosopher and a great historian. He is commonly ranked, along with William Robertson, Edward Gibbon, and Voltaire as one of the four most important eighteenth-century historians.
By the age of twenty-six Hume had composed his philosophical masterpiece, *A Treatise of Human Nature* (1739–1740). The work was not well received, and Hume quickly began recasting its ideas into the more readable form of essays. Most of these were published from 1741 to 1752 and were warmly received in Britain and America and translated into French, German, and Italian. The most important works from this period are *Essays: Moral, Political, and Literary* (1752), *An Enquiry Concerning Human Understanding* (1748), and *An Enquiry Concerning the Principles of Morals* (1751). These essays contain important contributions to epistemology, aesthetics, economics, and moral and political philosophy. *The Natural History of Religion* (1757) and *Dialogues Concerning Natural Religion* (published posthumously in 1779), arguably establish Hume as the founder of the philosophy of religion.
Around 1752 he turned to the second project set for himself in his youth, namely the writing of history. *The History of England* appeared in six volumes over the years 1754–1762. It achieved the status of a classic in Hume’s lifetime, was viewed as the standard work on the subject for nearly a century, and was in print down to the end of the nineteenth century, passing through at least 160 posthumous editions. Hume had now achieved a European reputation as one of the great writers of his age, and he enjoyed friendships with such illustrious figures as Adam Smith, Jean-Jacques Rousseau, Anne Robert Jacques Turgot, Denis Diderot, Jean d’Alembert, and Benjamin Franklin.
In 1983 *The History of England* was republished after having been out of print for nearly a century. During that period Hume had been narrowly thought of as a technical philosopher. The early skeptical and negative interpretation of *The Treatise of Human Nature* put forth by James Beattie, Thomas Reid, Immanuel Kant, and John Stuart Mill persisted far into the twentieth century. Hume’s historical work was considered irrelevant to his philosophy and almost entirely forgotten. Hume, however, thought of the *History* as an integral part of his philosophical work. This can best be appreciated by considering his skepticism. The ancient Pyrrhonians taught that the main source of misery for highly cultivated people is the attempt to guide life by philosophical speculation. Hume denied that the disposition to philosophize could or should be purged, but he agreed with the Pyrrhonians that philosophical speculation can be a source of disorder in the soul. The first problem for Hume’s science of human nature, then, was to distinguish what he called “true philosophy” from its corrupt and corrupting forms. Hume used skeptical tropes to make this distinction. His intention was neither to subvert (Beattie, Reid, Mill) nor to raise skeptical challenges for others to solve (Kant). His goal was to purge the philosophical intellect of its corrupt forms.
False philosophy seeks radical autonomy and imagines itself emancipated from the pre-reflective customs and prejudices of common life. True philosophy knows this to be a psychological and conceptual impossibility. True philosophy may still speculate about reality but only by critically passing through, and rendering more coherent, the inherited prejudices of common life. Hume went beyond the Pyrrhonians in teaching that false philosophy has a corrupting effect not only on the soul but on social and political order as well—and especially so under modern conditions where, for the first time in history, the disposition to philosophize was becoming a mass phenomenon. He narrated the tragedy of the English Civil War in the *History* as just such a corruption. His critique of philosophical rationalism in all its forms (in science, morals, politics, religion, and philosophy itself) is the one theme that unites his philosophical and historical work. And it establishes Hume as the first to work out a systematic critique of modern ideologies.
*See also* Alembert, Jean Le Rond d’; Diderot, Denis; Historiography; Kant, Immanuel; Philosophy; Rousseau, Jean-Jacques; Skepticism, Academic and Pyrrhonian; Smith, Adam.
**BIBLIOGRAPHY**
**Primary Sources**
Hume, David. *David Hume’s Enquiries Concerning Human Understanding and Concerning the Principles of Morals*. Edited by L. A. Selby-Bigge. 3rd ed. revised, edited by P. H. Nidditch. Oxford, 1975.
———. *Essays, Moral, Political, and Literary*. Edited by Eugene F. Miller. Indianapolis, 1985.
———. *Principal Writings on Religion, Including Dialogues Concerning Natural Religion and The Natural History of Religion*. Edited by J. C. A. Gaskin. Oxford and New York, 1993.
———. *A Treatise of Human Nature*. Edited. by L. A. Selby-Bigge. 2nd ed. with text revised and variant readings by P. H. Nidditch. Oxford and New York, 1978.
**Secondary Sources**
Bongie, Laurence L. *David Hume, Prophet of the Counter-Revolution*. Indianapolis, 2000. Shows how important Hume’s *History* was in shaping the ideological conflict in France shortly before, during, and after the French Revolution.
Forbes, Duncan. *Hume’s Philosophical Politics*. Cambridge, U.K., and New York, 1975. Views Hume’s *History* as an integral part of his political philosophy.
Livingston, Donald W. *Hume’s Philosophy of Common Life*. Chicago, 1984. Argues against the reading of Hume as a radical empiricist; shows how his philosophical and historical writings are internally connected.
———. *Philosophical Melancholy and Delirium: Hume’s Pathology of Philosophy*. Chicago, 1998. Fully explores Hume’s distinction between true and false philosophy.
Norton, David Fate. *David Hume: Common-Sense Moralist, Sceptical Metaphysician*. Princeton, 1982.
Penelhum, Terence. *Themes in Hume: The Self, the Will, and Religion*. Oxford and New York, 2000.
Stewart, John B. *Opinion and Reform in Hume’s Political Philosophy*. Princeton, 1992.
Donald W. Livingston
**HUMOR.** Aristotle, in *De partibus animalium*, defined man as a being capable of laughter, but laughter is not, as some optimists have claimed, a universal language. Its function and importance differed so widely, even during our historical period, depending on national, social, and other variables, that it is far easier to ask questions than to answer them. Why did (and do) some Christians, like Jacques-Bénigne Bossuet (1627–1704), strongly disapprove of laughter? Is there any common element uniting the hearty, even crude, laughter provoked by carnival merrymaking and slapstick comedy (French farces and *sotties*, Spanish *pasos*, the Italian *commedia dell’arte*) and the urbane wit called *festivitas* by Desiderius Erasmus (1466?–1536) and Thomas More (1478–1535) and exemplied by the noble speakers in Baldassare Castiglione’s *Book of the Courtier* (1528): Can we clearly separate “popular” from “refined” or “learned” humor? And why is the terminology of humor not easily translated from one language to another?
Laughter was often considered more important in the Renaissance than it has been since. Several Renaissance princes, including Lorenzo de’ Medici (1449–1492) and Louis XII of France (ruled 1498–1515), were reputed to enjoy jokes, even those directed against themselves, whereas France’s Louis XIV (ruled 1643–1715) is said to have made only one joke in his life. Unfortunately, even today no explanation of why we laugh is universally endorsed. Sixteenth-century theorists about humor were mainly medical authorities (Laurent Joubert [1529–1582], Ambroise Paré [1510–1590]) interested in physiology; in the seventeenth century Thomas Hobbes (1588–1679), following Aristotle, articulated the first of the three commonest modern explanations of laughter: superiority, incongruity, and release from restraint. If we can usually see why satire provokes laughter, we are at a loss when we try to compare the humor of Molière (1622–1673) and Shakespeare (1564–1616), or of Miguel de Cervantes (1547–1616) and Laurence Sterne (1713–1768).
**THE SIXTEENTH CENTURY**
The Renaissance and the Reformation inspired a remarkable variety of verbal and visual humor. The great humanist Erasmus, in his *Colloquies* (1518), produced both biting anti-church satire (“The Funeral”), and sly and charming wit (“The Abbot and the Learned Lady”). Reformation and anti-Reformation satirists created an explosion of comic caricature in broadsheets attacking either Luther and his cohorts or the venal priests and hypocritical monks of the Roman Catholic Church. Humanist polemic did not shrink from scatological invective that would horrify most readers today (the *Eccius Dedolatus*), and French farce characters could urinate on stage. Much humanist wit, like the *Epistles of Obscure Men*, is incomprehensible to readers with no knowledge of Latin.
The century apparently reveled in jokes (*facetiae* in Latin) and in comic short stories, as numerous anthologies in England, France, Italy, and Germany attest. The most influential were those of Poggio Bracciolini in Italy (1438–1452) and Heinrich Bebel in Germany (1508–1512), both written in Latin. Later collections became larger and more inclusive; there are 981 *facezie* in the 1574 edition of Ludovico Domenichi, written in Italian. An Erasmian love of humor inspired both François Rabelais (*Gargantua and Pantagruel*, 1532–1564), who used wit and hyperbole to convey his humanist message, and Shakespeare, whose comedies radiate a smiling acceptance of human frailty. Comic theater came to life again in most European countries in the sixteenth century, stimulated by the rediscovery of Aristotle’s dramatic principles and of Plautus and Terence. National differences in comic outlook are strikingly illustrated by the German adaptation of Rabelais (1575–1590) by Johann Fischart, which is much cruder than its model and much less humanistically inclined. Comic visual art includes not only a wealth of satirical engravings, but the compelling visual grotesques of Pieter Bruegel (1525?–1569) and Hieronymus Bosch (1450?–1516) and the whimsical portraits of Giuseppe Arcimboldo (c. 1530–1593), which are created exclusively of fruit, flowers, or fish.
**THE SEVENTEENTH CENTURY**
Whereas much literature of the previous century was still written in Latin, this one saw the flowering of vernacular literatures; it is Spain’s Golden Age, and France’s Age of Classicism. Cervantes’s *Don Quixote* (1615), generally recognized as the first novel, has comic moments, but its prevailing tone is ironic rather than frankly humorous. Comic theater flourished, with some common elements; for instance, the classical clownish slave lived on as the Spanish *gracioso*, as Molière’s *soubrette*, as the *zanni* (crafty servant) of the commedia dell’arte, and as numerous characters in the plays of Shakespeare and Ben Jonson (1573–1637).
The century’s great comic dramatists were not primarily satirists. Shakespeare’s dramatic worlds are more imaginary than real. Molière’s minor comedies owe more to literary sources than to real life (*Les Fourberies de Scapin*, 1671), and his best plays only occasionally reveal his scorn for stupid minor nobles, or for dangerous religious hypocrites (*Le Tartuffe*, 1667). Their genius, like Shakespeare’s, lies in revealing character through comedy, though Shakespeare was freer to include farce in his plays.
England’s Restoration drama (after 1660) was much more satirical; William Wycherley (1640–1716), John Vanbrugh (1664–1726), John Farquhar (1678–1707), and William Congreve (1670–1729) delighted in skewering stupidity and pretentiousness, as Jonson had before them. Critics continued to discuss the form and function of stage comedy, and comic opera became a popular genre.
**THE EIGHTEENTH CENTURY**
The Age of Enlightenment specialized in satire, though less in the theater than in other genres. Carlo Goldoni’s (1707–1793) comedies continue the tradition of comedy of intrigue, while those of Pierre de Marivaux (1688–1763) are more interested in human emotions than in social mores. In Russia, Denis Fonvizin (1745–1792) showed members of the nobility in a comic light (*The Brigadier*, 1769).
England produced some satirical giants: Henry Fielding (1707–1754), whose sprawling novel *Tom Jones* (1749) has comic moments; Richard Sheridan (1751–1816), whose Mrs. Malaprop in *The School for Scandal* (1777) is a comic type to rival Shakespeare’s Falstaff; William Hogarth, whose moralizing series (*Marriage à la mode*, 1745) prefigured the modern cartoon; the verse satires of John Dryden (1631–1700) and Alexander Pope (1688–1744), and above all, Jonathan Swift (1667–1745). Compared to his mentors, Erasmus and Rabelais, Swift is sometimes too ferocious to be comic, as when he recommends relieving the famine in Ireland by eating babies (*A Modest Proposal*, 1729), but *Gulliver’s Travels* (1726) remains a humorous and readable indictment of the society of his time.
France’s Voltaire (1694–1778) is often both subtler and funnier than Swift, especially in his masterpiece, *Candide* (1759), a comprehensive attack on the aristocracy, religion, and general prejudices of his time (a battle is a “heroic butchery”; a Spanish grandee demonstrates “pride suitable in a man with so many names”). A new element in this century is the connection between laughter and eroticism, in works by Charles-Louis de Secondat de Montesquieu (1689–1755), Denis Diderot (1713–1784), and Pierre Choderlos de Laclos (1741–1803) (*Les liaisons dangereuses*, 1782).
*See also Caricature and Cartoon; Castiglione, Baldassare; Cervantes, Miguel de; Commedia dell’Arte; Dryden, John; Erasmus, Desiderius; Jonson, Ben; Molière; Pope, Alexander; Rabelais, Francois; Shakespeare, William; Sheridan, Richard Brinsley; Swift, Jonathan; Voltaire.*
**BIBLIOGRAPHY**
*Primary Source*
Bowen, Barbara C. ed. *One Hundred Renaissance Jokes: An Anthology*. Birmingham, Ala., 1988. Latin jokes with English translations.
*Secondary Sources*
Bremmer, Jan, and Herman Roodenburg, eds. *A Cultural History of Humor: From Antiquity to the Present Day*. Malden, Mass., 1997.
Ménager, Daniel. *La Renaissance et le rire*. Paris, 1995.
BARBARA C. BOWEN
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**HUNGARIAN LITERATURE AND LANGUAGE.** Hungarian, or Magyar, spoken by some 14 to 15 million Hungarians in Hungary and elsewhere by the beginning of the twenty-first century, is a Finno-Ugric language. Together with the Vogul-Ostiak, Finnish, and other Finno-Ugric tongues, Hungarian belongs to the Uralic linguistic family, which, according to certain scholars, had close contacts with the Altaic languages (Turkic, Mongolian, and Manchu-Tungus). It is an agglutinative tongue, and its richness in vowel sounds renders it especially suitable for poetry. Apart from major early modern European political and cultural trends, the evolution of Hungarian and its literature was significantly influenced by the division of the country and its relationship to the Austrian empire. Between 1541 and 1699 Hungary was divided into three parts, ruled by the Austrian Habsburgs, the Ottomans, and the Ottomans’ vassal Hungarian princes in Transylvania; from 1684 to 1699 the Habsburgs “reconquered” Hungary, and throughout the eighteenth century they attempted to subjugate Hungary and integrate it into the Habsburg Monarchy.
**ADMINISTRATIVE AND SCHOLARLY LANGUAGE**
Although Latin was the official language of legislation in Hungary until 1844, from the 1540s onward Hungarian spread rapidly in all three parts of the country as a language of both administration and literature. By 1565 it had become the language of
legislation and administration in the Principality of Transylvania. Around the same time, with the help of their Hungarian notaries, Ottoman governors residing in Buda started to use Hungarian in their dealings with the Viennese authorities, the princes of Transylvania, and local Hungarian officials. Latin served as the language of education until 1792, when Hungarian became an obligatory subject in secondary schools. Despite the influence of Latin, Turkish, German, and various Slavic languages, this period witnessed the homogenization of the vernacular and the appearance of two main regional dialects. It also marked the beginning of the formation of a Hungarian literary language that stood above regional dialects.
Apart from translations of the Bible (the New Testament in 1541; the first complete Protestant and Catholic translations in 1589 and 1626), the sixteenth and seventeenth centuries saw the publication of the first Hungarian-language studies of Magyar orthography (1535 and 1655) and grammar (1610 and 1682) and the first Hungarian dictionary (1604). There was also an attempt to create a new vocabulary that would render Hungarian suitable for scientific literature. To that end, books were published in the vernacular on logic, medicine, arithmetic, physics, geography, and mineralogy. The first general encyclopedia in Hungarian was published in 1653 by János Apáczai Csere (1625–1659), the principal representative of Hungarian Puritanism, while the first lexicon of Hungarian writers, Péter Bod’s *Magyar Athénas* (Hungarian Athenaeum), appeared in 1766. Yet some of the most important works were still published in Latin. Of these, the most notable were Mátyás Bél’s (1684–1749) multi-volume historical-geographical description of Hungary and the monumental histories of the Magyars by two Jesuit professors at the University of Pest, György Pray (1723–1801) and István Katona (1732–1811), the latter’s in forty-two volumes.
**HUNGARIAN AS A LITERARY LANGUAGE**
The first continuous Hungarian text is the *Halotti beszéd* (Funeral oration) from around 1200, while the oldest known Hungarian poem, the *Ómagyar Mária-síralom* (Old hymn to the Virgin Mary), is known from a Latin codex dated about 1300. Until the early sixteenth century Hungarian literature, mainly religious, was cherished in the monasteries and recorded in codices. The representatives of Renaissance literature—Archbishop János Vitéz (de Zredna), Bishop Janus Pannonius, and others—worked in the court of King Matthias I Corvinus (ruled 1458–1490). His court also housed the famous Bibliotheca Corviniana, one of the richest manuscript libraries of fifteenth-century Europe.
Along with the typical genres of Protestant literature, the first exemplars of popular and court poetry also appeared in the sixteenth century. Sebestyén Tinódi Lantos (1510?–1556) recorded the struggle of the Hungarians against the Ottoman conquerors in a series of rhymed chronicles. The greatest lyric poet of the century was Bálint Balassi (1554–1594). By combining the motifs of Hungarian and east-central European love songs with the European tradition of Petrarchan love poetry, Balassi elevated Hungarian love poetry to a much higher standard than it had previously reached. He also penned the first Hungarian play about love, and he wrote heroic and religious poetry as well.
The two towering figures of baroque literature in seventeenth-century Hungary were Archbishop Péter Pázmány (1570–1637), the leader of the Hungarian Catholic renewal, and Count Miklós Zrínyi (1620–664), a military commander, statesman, and writer. Pázmány’s theological synthesis *Isten igazságára vezérlo kalauz* (1613; Guide to divine truth) represents Hungarian baroque prose at its best. Zrínyi’s *Szigeti veszedelem* (1651; Siege of Sziget), which chronicles the heroic and ultimately unsuccessful defense of Szigetvár by Zrínyi’s great-grandfather and namesake against Sultan Suleiman’s army in 1566, is the most polished epic in Old Hungarian. Memoirs (by Miklós Bethlen, János Kemény, Péter Apor, and Mihály Cserei) are perhaps the strongest genre of Transylvanian literature of the period. Dramas, in both Hungarian and Latin, were performed mainly in the schools of the religious orders.
In the late baroque period (1690–1772), literature was often used by members of the Magyar nobility to express their criticism of Vienna’s absolutist policies. While these works were usually of modest literary value, the *Törökországi levelek* (Letters from Turkey) by Kelemen Mikes (1690–1761) represents the finest example of this genre. Mikes, Ferenc Rákóczi II’s faithful companion during his
exile in Turkey, addressed his letters to a fictitious female relative who symbolizes his longing for the motherland as well as unfulfilled love.
The first notable representative of the Hungarian Enlightenment was György Bessenyei (1747–1811). As a member of Maria Theresa’s (ruled 1740–1780) Hungarian Guard in Vienna, Bessenyei mastered French and German and introduced new ideas into Hungarian literature, using familiar literary genres (poetry, drama) along with new ones (the travel novel, the enlightened epos, etc.). Another “bodyguard writer,” János Batsányi (1763–1845), promptly greeted the French Revolution, realizing its significance. Aside from these two writers, the Jesuits Dávid Baróti Szabó (1739–1819) and József Rájnis (1741–1812) and the Piarist friar Miklós Révai (1750–1807) played major roles in polishing the Hungarian literary language through their classical metric poems, translations (from Virgil), and passionate literary debates. Their efforts were facilitated by the newly established literary journals of the late eighteenth century as well as by the expanding book industry. Between 1712 and 1790 some fifteen thousand works appeared in the country. Under Austrian Emperor Joseph II (ruled 1780–1790) the percentage of books printed in Hungarian and German had risen from 27 to 34 percent and from 17 to 23 percent, respectively, whereas the percentage of books in Latin decreased from 50 to 36 percent. This was the beginning of a new era. The works of a younger generation of poets and writers of the Hungarian Enlightenment, including Mihály Csokonai-Vitéz (1773–1805) and Ferenc Kazinczy (1759–1831), among others, ushered in a revival of Hungarian language and literature.
See also Budapest; Habsburg Territories; Hungary; Ottoman Empire.
BIBLIOGRAPHY
Czigány, Lőránt. *The Oxford History of Hungarian Literature from the Earliest Times to the Present*. Oxford and New York, 1984.
Kósa, László, ed. *A Companion to Hungarian Studies*. Budapest, 1999.
———. *A Cultural History of Hungary: From the Beginnings to the Eighteenth Century*. Budapest, 1999.
Kosáry, Domokos. *Culture and Society in Eighteenth-Century Hungary*. Budapest, 1987
Szentpéteri, József. *Magyar ködex*. Vol. 3, *Magyarország művelődéstörténete, 1526–1790*. Budapest, 2000.
GÁBOR ÁGOSTON
HUNGARY. Hungary’s history from 1450 through 1790 can be divided into three periods. The century from 1450 was the last phase of the independent Hungarian Kingdom, whose major political concern was the Ottoman advance. Hungary lost her long struggle at the battle of Mohács in 1526 and was divided into three parts by the mid-sixteenth century. The second period (1541–1699) is often labeled as the era of the tripartite division of the country. Royal Hungary in the west was under Habsburg rule and Ottoman Hungary in the middle was ruled, at least partly, from Constantinople (Istanbul), whereas the Principality of Transylvania in the east, although an Ottoman satellite state, had considerable autonomy, especially in its domestic affairs. While hostilities and rivalries often divided the Hungarian political elite, with regard to socioeconomic, religious, cultural, and even political developments, the three parts were connected on many levels. The next era can be described as the integration of Hungary into the Habsburg Monarchy that reconquered the country from the Ottomans by the end of the 17th century. This period witnessed a new political compromise between Vienna and the Hungarian estates, as well as visible economic and demographic growth and cultural flourishing.
In the mid-fifteenth century, the Kingdom of Hungary was a regional power in Central Europe. It had an estimated territory of 300,000 square kilometers, a population of 3.1–3.5 million, and annual revenues of 500,000 gold florins under King Matthias (Mátyás) Corvinus of the Hunyadi family (1458–1490). Protected by the natural boundaries of the Carpathian Mountains in the north and in the east, Hungary was bordered by Poland in the north, Bohemia in the northwest, and Habsburg Austria in the west. In the south, the Danube and Sava Rivers—and the southern border defense system built along those rivers—separated the country from the Ottoman Empire.
The Ottoman threat fostered military reforms and centralization in Hungary. Relying on the
Hungary: A small reproduction of one of the earliest printed maps of Hungary by the Venetian Giovanni Vavassore. It was originally published in 1526, the year that the Hungarians were defeated by the Turks at Mohács, beginning 150 years of Ottoman domination. On the Danube River, which flows through the center of the map, are shown the cities of Buda and Pest. Schiavonia, in the bottom center between the Drava and Sara rivers, is Slovonia. Map Collection, Sterling Memorial Library, Yale University
towns and the lesser nobility, a reformed tax system, a secular bureaucracy, and a mercenary army of thirty thousand strong, King Matthias curtailed the influence of the aristocracy. Although the king strengthened and reorganized the country’s southern defenses, vast resources were spent on his wars against Austria and Bohemia in pursuit of a Danubian monarchy, as well as on the king’s lavish court and patronage of the arts and sciences.
During the rules of King Matthias’s Jagiello successors (1490–1526), the power-hungry nobility strengthened its position vis-à-vis both the crown and the rest of the society. An influential compilation of Hungarian customary law, called the Tripartitum (1514), codified the rights and privileges of the nobility, including the right to resist the king. The book perceived the nobility, whose members supposedly enjoyed equal rights (*una et aedem nobilitas*), as “the mystical body” of the “holy crown” that is, the sole representatives of the “political nation.” Following the rebellion of 1514, the nobility subjected the peasants to “eternal servitude.” Although the Tripartitum was never promulgated and the decrees of the Diet of 1514 were often suspended, they provided the nobility with a legal framework until 1848 and were largely responsible for Hungary’s unhealthy social structure.
The annihilation of the Hungarian army at the battle of Mohács (1526) not only meant the end of the medieval Kingdom of Hungary but also marked
the beginning of Habsburg-Ottoman military confrontation in Central Europe. Following the Ottomans’ withdrawal from Hungary in 1526, competing factions of the nobility elected two kings, János Szapolyai (John Zapolya, 1526–1540), the royal Hungarian governor (or vajda) of Transylvania, and Ferdinand of Habsburg (1526–1564). With Ottoman military assistance, Szapolyai controlled the eastern parts of the country, while Ferdinand ruled the northern and western parts of Hungary. When the death of Szapolyai (1540) upset the military equilibrium between the Habsburgs and Ottomans, Sultan Suleiman I annexed central Hungary to his empire (1541). Hungary’s strategically less significant eastern territories were left in the hands of Szapolyai’s widow and were soon to become the Principality of Transylvania, an Ottoman vassal state. Throughout the sixteenth and seventeenth centuries, the Habsburgs, who remained on the Hungarian throne until 1918, had to content themselves with northern and western Hungary, known as Royal Hungary.
Although the Ottomans launched multiple campaigns against Hungary and the Habsburgs (1529, 1532, 1541, 1543, 1551–1552, 1566, 1663–1564) and the two empires waged two exhausting wars in Hungary (1593–1606 and 1683–1699), the buffer-zone-turned-country saved Habsburg central Europe from Ottoman conquest. Successive peace treaties (1547, 1568, 1606, and 1664) maintained the tripartite division of the country, which ended only in 1699, when, in the treaty of Karlowitz, the Ottomans ceded most of Hungary and Transylvania to the Habsburgs. The country’s unity was only partially restored, however, for Vienna administered Transylvania as a separate imperial territory until 1848.
The price of being the “bastion of Christendom” was the dismemberment of the country and constant warfare along the Muslim-Christian divide with severe economic and social consequences. However, the endurance of Hungarian society and its economy proved to be much stronger than expected. Despite continuous skirmishes and protracted wars, famine, and epidemics, Hungary’s population had increased from 3.1 million in the 1490s to 4 million by the early 1680s. In spite of double taxation (Hungarian and Ottoman), many towns in the Great Plain (Alföld) under Ottoman rule profited from the Hungaro-Ottoman condominium and succeeded in strengthening their privileges and self-government. The sixteenth century was the golden age of manorial agriculture and cattle trade. From the 1570s, Hungary exported some eighty thousand to one hundred thousand head of cattle annually to Vienna and to the German and Italian cities through an elaborate chain of cattle keepers and merchants. While defending the border was a major burden on the society, many profited from feeding and supplying imperial armies and Ottoman and Hungarian garrisons.
The tripartite division of the country and the limits of Habsburg authority also fostered the spread of Protestant Reformation. In Transylvania, Catholicism, Lutheranism, Calvinism, and Unitarianism were declared accepted denominations (recepta religio) in 1568. In the 1580s, half of Hungary’s population was Calvinist, another quarter followed the Augsburg Confession, and the remaining 25 percent belonged to the Unitarian, Catholic, and Orthodox churches.
Angered by Vienna’s lukewarm Turkish policy and aggressive Counter-Reformation, Protestant Magyar nobles rebelled repeatedly against the Catholic Habsburgs in the seventeenth century. They were aided by the princes of Transylvania, which, under the able rule of Gábor Bethlen (1613–1629) and György Rákóczi I (1630–1648) flourished economically and culturally. Allied with the Protestant states in the Thirty Years’ War (1618–1648), the princes launched several campaigns against the Habsburgs and extended the principality’s territories at the expense of Royal Hungary. When the Habsburgs conceded further Hungarian territories to the Ottomans in the treaty of Vassvár in 1664 in spite of the former’s victory at St. Gotthard, even the loyal Catholic magnates of Royal Hungary were outraged and many joined the anti-Austrian “magnate conspiracy” of 1670–1671. The severe punishment of the members of the plot and Emperor Leopold’s “confessional absolutism” triggered new waves of anti-Habsburg rebellions, of which the most serious was the revolt of Imre Thököly’s kuruc (a group of Hungarian “national crusaders” or insurgents) in 1681–1683. Thököly’s war led to the creation of yet another pro-Ottoman vassal state in Upper Hungary at a critical moment when the Ottomans’ failed siege of Vienna (1683)
set off an international counteroffensive, which, by the end of the century, had reconquered most of Hungary from the Ottomans.
After 1699, the Habsburgs treated Hungary as a conquered and subjugated province, thus provoking another revolt of the Magyars. The peace treaty of Szatmár (1711), which ended Ferenc Rákóczi’s defeated War of Independence (1703–1711), was a wise compromise for both parties. It altered initial Habsburg designs regarding Hungary’s incorporation into the monarchy, leaving the county-level administration and jurisdiction in the hands of the Hungarian nobility, which also retained many of its former privileges including tax exemption. On the other hand, Charles VI (Charles III as king of Hungary, 1711–1740) restored Habsburg rule over Hungary, whose Estates recognized his daughter’s succession (the Pragmatic Sanction) in the Diet of 1722/23, making Hungary a hereditary Habsburg kingdom.
Within two generations, the population of the country (including Croatia and Transylvania) had doubled, reaching nine million by the late 1780s. This was partly due to voluntary immigration and state-organized settlement policy through which hundreds of thousands of Romanians, Croatians, Slovaks, and Germans arrived in Hungary. This significantly changed the ethnic composition of the country, where the Hungarians lost their absolute majority and comprised less than 40 percent of the inhabitants in the end of the century.
Led by ideas reflecting the Enlightenment and by absolutistic and physiocratic principles, Maria Theresa (ruled 1740–1780) and Joseph II (ruled 1780–1790) initiated important administrative, economic, legal, and cultural reforms, issued as royal patents and carried out by royal commisHUNTING. Early modern Europe was a settled agricultural and commercial society. As such, hunting played a secondary or negligible role in supplying the nutritional needs of all but a handful of Europeans. Yet hunting had a symbolic importance in European society out of proportion to its economic importance because it was closely linked to the culture of monarchy. In most of Europe, hunting was a privilege restricted to the nobility. In general, the noble monopoly of hunting derived from seignorial control over the forests in which hunting took place. In some lands, such as England, the king exercised exclusive seignorial jurisdiction over all forests; in other lands, such as France, seignorial jurisdiction over forests came with jurisdiction over the neighboring villages and so could be “owned” by anyone. Such control enabled kings and aristocrats to restrict hunting to a very narrow social stratum. Even some nobles were prevented from participating in the hunt.
Most of the social history of hunting revolves around the justifications for and enforcement of noble monopoly. Non-nobles sometimes chafed at being prevented from hunting for sport, but they were more frequently troubled by the fact that the noble monopoly on hunting for sport prohibited
commoners from hunting for food or stopping wild animals from damaging their crops. Conflicts over hunting were, therefore, part of a larger negotiation over relations of power between nobles and peasants. The three main types of hunting—hunting vermin, hunting for food, and hunting for sport—touched on different aspects of those relations.
ERADICATING VERMIN
Hunting vermin, animals that posed a threat to crops or livestock, was the least contested area of hunting in the early modern era. Common people were allowed, even encouraged, to destroy vermin and they were eager to do so. The main kinds of vermin hunted in early modern Europe were stoats, otters, foxes, and wolves.
The treatment of wolves is most emblematic of early modern European attitudes toward vermin. Throughout Europe, rulers or their officials offered bounties for wolf hides or other evidence of the destruction of wolves. Criminals were sometimes permitted to pay off fines or debts by supplying wolf pelts. Wolves were to be killed whenever and by whatever means. They were feared not just for the threat they posed to livestock, but also (though with how much justification remains an open question) as a threat to humans. The policy of wolf eradication was very successful in some parts of Europe. Already by 1560, wolves were extinct in England. The last confirmed killing of a wolf in Scotland took place in 1691. Wolves were extinct in Ireland by 1770. On the other hand, wolves continued to survive on the Continent throughout the early modern era.
Initially, foxes were treated in the same manner as wolves. But in the eighteenth century, hunting foxes began to take on the character of sport hunting rather than vermin hunting. Until that time, the prime small game animal for “coursing” had been the hare. Aristocrats discovered that foxes made a very good target for coursing hounds. So, they began to foster the stability of fox populations by building fox shelters and even importing foxes from other regions; thus there was a continuing source of sporting pleasure. It was not until the nineteenth century that foxhunting lost its significance as a means of controlling vermin and became the main sporting pastime of the English aristocracy.
**HUNTING FOR FOOD**
Game animals played a larger and more diverse role in the diet in the early modern era than they would in later centuries. Wild boar and venison, sometimes killed by the king himself, were a regular feature of royal feasts. Since the royal table could be amply supplied with meats by domesticated animals, these dishes were more important symbolically than nutritionally. For example, Francis I (ruled 1515–1547) of France sent venison pasties (a type of meat pie) from a deer he had personally hunted as a gesture of good will to Henry VIII (ruled 1509–1547) of England. For commoners, there were few restrictions on catching marginally edible fare such as badgers or starlings, but they were usually barred from hunting prime edible game animals such as wild boar and deer. Some resorted to poaching to provide meat for their diet or to sell at market.
Poaching was illegal in early modern Europe, but it was not uncommon. Forest account books show numerous fines for illegal capture or killing of game. In rare cases, poaching was a capital offense, but in most of Europe, the most widespread punishment was a stiff fine. Some cases of poaching were clearly as much symbolic protest acts as efforts to get something to eat. In seventeenth-century England, it was not at all rare for gentry to poach on the lands of their neighbors. Most historians assume that forest officials were often bribed to look the other way. Perhaps the best-known effort to suppress poaching was the Black Act in England in 1724, which, among other things, made deer-stalking in royal forests a capital crime. The numbers of animals taken in the areas affected by the Black Act were small. It is impossible to say how frequently poachers were caught in early modern Europe and, by extension, how important game was for the livelihoods of villagers in the vicinity of forests.
**HUNTING FOR SPORT**
Hunting explicitly for sport had been a noble, and especially a royal, prerogative since ancient times. It was considered an important test of bravery and skill with arms that would carry over into battle. The early modern era continued practices that had been prevalent in the Middle Ages. Hunting adapted readily to gunpowder weapons, though crossbows and longbows, and even swords or knives, remained common weapons even into the seventeenth century. Though early modern royalty continued to keep falcons as they had in the Middle Ages, the most prominent form of sport hunting in the early modern era was coursing with hounds. The dog became the prized adjunct to the hunt. Hunting literature, such as George Gascoigne’s *The Noble Art of Venery and Hunting* (1575), proliferated in the early modern era. Much of it was written for or dedicated to notable royal hunters. Tales of kings or noblemen finishing off an enraged animal that charged the hunters, endangering their lives, became a trope of royal propaganda.
The early modern era was suffused with a casual cruelty toward animals. Hunting for sport partook of some of that same casual cruelty. It was common to round up wild animals, sometimes in large numbers, and herd them to a place where the hunters could easily slaughter them. Contemporary depictions of the hunt often show the hunters standing behind a blind or shooting stand while drivers chased dozens of animals in front of their waiting guns.
Certain creatures were especially prized for their ability to create an exciting chase. The three animals most frequently prized for their coursing were red deer, fallow deer, and hares. For the latter, the sport was primarily to watch the chasing hounds in action. Hares were fast and nimble and so made for an exciting spectacle. The hunter did not shoot the animal, but instead allowed the dogs to tear the animal to pieces once it had been caught. Deer, on the other hand, could be flushed out using hounds, but the object was for the hunter to shoot them. Red deer stags were the most prized target because they combined a noble bearing with an exciting chase. Wild boar were less prized for the chase, but
remained a fit target because they were dangerous when cornered.
The royal or noble hunt was, in part, a performance—a demonstration of mastery over nature as a justification for monarchical authority. Sometimes, the hunt would be a small affair, with the king or nobleman and a few intimates; other times it would be a large public occasion with hundreds of participants and spectators. The hunt encouraged ritual gestures that reinforced the sense that it was an expression of royal majesty. For example, when James I of England (ruled 1603–1625) successfully shot a red deer in an aristocratic hunting party, he would personally slit the throat of the dying animal to begin dressing it; he then would insist that all of the members of the shooting party smear the blood of the animal on their faces. Since the king shed the animal’s blood, this gesture brought royal favor to the participants. Though hunting was primarily a masculine activity, women also participated as spectators and hunters. Elizabeth I of England (ruled 1558–1603), for example, hunted avidly. On one occasion her hunt consisted of repeatedly firing a crossbow into a paddock filled with deer, killing three or four of them. The slaughter was accompanied by tunes played by the queen’s musicians and a singing nymph who placed the crossbow into her hands.
A literature of forest management arose alongside the literature on the aristocratic virtues of hunting. Royal gamekeepers made sure that royal forests were continuously stocked, just as demesne officials
made sure that royal demesnes were planted and harvested. Indeed, sometimes deer had to be imported to maintain population levels. One hundred head were sent from Haughton Forest to Windsor Forest in 1711, for example. In densely populated parts of Europe, game reserves were walled or fenced off to keep game in and poachers out. Palaces served as hunting lodges for the king.
The burdens that fell on peasants who lived in or near forests were connected to forest management. Peasants were usually prohibited from owning hunting dogs of their own. Instead, some were required to board the king’s or a nobleman’s dogs and make them available whenever the owner wanted to hunt, with only part of the costs defrayed by the owner. Peasants might also be called on to perform *corvée* (‘unpaid labor’) during the hunt as beaters or carters of slaughtered animals. It was often galling for peasants forced to perform such services to watch as the hunters ran their horses through the fields, destroying the peasants’ own crops. There are innumerable supplications seeking to modify the obligations to perform such duties and protect the crops during the hunt. The frequency of such supplications underscores how little they changed hunters’ behavior.
In the seventeenth and eighteenth century, there was a small groundswell of antihunting sentiment, primarily amongst religious thinkers. Hunting for sport was considered wasteful, an indulgence in luxury. These criticisms did not merge with the criticisms by peasants of the damage caused to their own crops by the hunt, so there was never any sustained effort to change hunting practice during the era, just a small decline in the numbers of aristocrats who enjoyed the sport. Nevertheless, hunting retained its aristocratic character at the end of the eighteenth century and would only be opened to commoners with the French Revolution.
*See also Aristocracy and Gentry; Class, Status, and Order; Enclosure; Food and Drink; Forests and Woodlands; Games and Play; Sports.*
**BIBLIOGRAPHY**
Berry, Edward. *Shakespeare and the Hunt: A Cultural and Social Study*. Cambridge, U.K., 2001.
Eckardt, Hans Wilhelm. *Herrschaftliche Jagd, bäuerliche Not und bürgerliche Kritik*. Göttingen, 1976.
Manning, Roger B. *Hunters and Poachers: A Social and Cultural History of Unlawful Hunting in England, 1485–1640*. Oxford and New York, 1993.
Salvadori, Philippe. *La chasse sous l’ancien régime*. Paris, 1996.
Schindler, Norbert. *Wilderer im Zeitalter der französischen Revolution: Ein Kapitel alpiner Sozialgeschichte*. Munich, 2001.
Thompson, E. P. *Whigs and Hunters: The Origin of the Black Act*. New York, 1975.
**HUSSITES.** The Hussite revolution was a protest movement for sociopolitical freedom and religious reform in fifteenth-century Bohemia. Visible in several manifestations prior to the Thirty Years’ War, the term identifies followers of the martyred priest Jan Hus (c. 1372/73–1415), whose distinguishing and unconventional practices involved celebrating the Eucharist in species of both bread and wine.
The instability of the House of Luxembourg in Prague and repeated interference by Sigismund, aspiring Holy Roman emperor, created political uncertainty. Ecclesiastical affairs were no better; the papal schism directly affected Prague, and Czech resentment toward foreign religious domination escalated. Ecclesiastical property included up to fifty percent of Bohemia. Heavy taxation, a declining silver industry, static wages, rising prices, peasant devastation, and an impoverished gentry comprised a host of social and economic grievances. Conflicts between church and state, monarch and barons, and Czechs and Germans exacerbated the climate of discontent. Heretical movements like that of the Waldensians and the teachings of John Wycliffe (c. 1330–1384), combined with native reform movements, heightened the potential for protest and dissent.
**HUSSITE BEGINNINGS, VICTORIES, AND DEFEATS**
The leading personality was university professor and preacher Jan Hus, who facilitated reform aimed at correcting abuses. Hus exerted unusual influence from his pulpit and wrote prolifically, but ran afoul of the Prague episcopal see, lost favor with the king, and was excommunicated and later accused of heresy. He attended the Council of Constance (1414–1415) hoping for a fair hearing, but was seized and executed. After his death, and the inability of King Wenceslas (Václav) IV (ruled 1378–1419) to govern effectively, university masters and Czech barons assumed political power. A league formed in 1415 to protect Hussite interests. Hussite ideologues led by Jakoubek of Stříbro (d. 1429) and Nicholas of Dresden (d. 1417) inaugurated Utraquism, the practice of Communion using both bread and wine. As Utraquism constituted a rejection of Roman ecclesiastical authority, it was condemned by the Council of Constance. Later, Utraquism included all the baptized, including infants. The chalice became the Hussite symbol. Crisis loomed when radical preachers and their followers engaged in thoroughgoing protests against religious and political establishments.
By 1417 Bohemia faced economic blockade. Prague’s archbishop commenced active repression, refusing to ordain Hussite priests while evicting incumbents, but the Hussites struck back. The university ratified Utraquism while dissenters forced a suffragan bishop to perform ordinations. Catholic clerics were ejected and replaced with Hussites. The king undertook a largely ineffectual royal repression. By 1419 a crusade aimed at crushing resistance received papal approbation. The Hussites refused to submit and Reformation became revolution. Radical priest Jan Želivský (d. 1422) incited public demonstrations. Resistance rallies formed on hilltops in rural Bohemia throughout 1419, attended by thousands. In July a mob, led by Želivský, overthrew the Prague civil authorities. The king was forced to accept the Hussite coup, but died within a month.
In 1420 the radical community at Tábor began to contravene religious and social mores: vernacular replaced Latin, liturgical vestments and accessories were abandoned, and preaching and simple eucharistic piety predominated. Simultaneous communal experiments developed: private property was forbidden, taxes abolished, equality proclaimed, and community chests established. Radicals elected their own bishop. Originally pacifists, the Táborites became “warriors of God.”
Greatly alarmed, Sigismund marched on Prague, suffering ignominious defeat at the hands of Jan Žižka’s (c. 1360–1424) peasant forces. Four subsequent crusades were scattered. Throughout the 1420s the Hussites attempted social and religious reform. Refusing to accept Sigismund as king, they sought a ruler from the Polish-Lithuanian dynasty. The Hussite wars continued, spreading to neighboring regions after Žižka’s death. The Four Articles of Prague functioned as a charter, calling for free preaching, Utraquism, divestment of church wealth, and punishment of serious sins. A massive propaganda campaign followed. Radicals advocated seizing property from the wealthy, correcting religious abuses wherever encountered, and promoting “saint” Jan Hus, the chalice, and the law of God. This latter component possessed both theological and social implications.
Forced to negotiate, the Council of Basel (1433) implemented strategic divide-and-conquer policies. When initial talks disintegrated and crisis gripped the Hussite leadership, conservative Utraquist barons colluded with Catholic forces, captured Prague, and forced a confrontation with the radicals in 1434. The Táborites were crushed. Bohemian had outwitted Bohemian in the interests of Rome. Jan Roháč of Dubá (d. 1437) and confederates resisted Sigismund until 1437.
**AFTERMATH AND INFLUENCE OF HUSSITISM**
Petr Chelčický (c. 1390–c. 1460) a Táborite separatist, summarized Hussitism as a rejection of medieval society with its tripartite divisions. He exerted formative influence on the Unity of Brethren, a group that survived into the seventeenth century. Jan Rokycana (d. 1471) dominated the Utraquist party. The Hussite movement, together with the nobles organized in the Estates, remained the chief force in Bohemia until their disastrous defeat by the Habsburgs at the Battle of White Mountain (1620). Before White Mountain, Bohemian society and politics took the Hussites seriously. The political reality of the fifteenth-century revolution was a strengthened nobility. During the militant period, army captains Žižka and Prokop Holý (c. 1375–1434) exerted enormous political influence, while Tábor’s bishop Mikuláš of Pelhimov (d. 1460) provided leadership for three decades. After 1440 two main Hussite groups continued: the Utraquists, who inclined toward Lutheranism after 1520, and the Calvinist Unity of Brethren.
Hussite strength and achievement are measured by the standardization of the Czech language (undertaken by Hus), restoration of lay Communion using both bread and wine, and survival through five imperial crusades. In the process, the Hussites achieved formal recognition by the official church (1433), a triumph of toleration exemplified in the “Peace of Kutná Hora” (1485), a common religious confession (1575), and maintained their uniqueness despite Lutheran and Calvinist Reformations. In 1609 the “Letter of Majesty” was published, recognizing the right of Hussite traditions to exist, and in 1596 the vernacular Bible of Kralice was produced. The Hussites thus reformed their religion before the age of the European Reformations. Their greatest weakness was twofold: a tendency toward internal dissension contributing to a major defeat in 1434, and their proclivity for negotiating with the official church, a stance that prevented full implementation of Hussite doctrine. Their defeat at White Mountain was total. During the Thirty Years’ War Bohemia was forcibly re-Catholicized. Hussites were exiled or driven underground. A century later, however, the spiritual descendants of Hussites emerged: the Moravian Brethren, who persist to the present day. It cannot be maintained that Hussite ideals survived, except in very limited ways in small communities in eastern Moravia.
The Hussite ethos lasted two hundred years, shaping the Bohemian nation. Its influence on movements within the Protestant Reformation was considerable. Hussites were the first to produce a full-fledged reformation from a movement of heresy and protest, and in this way altered European civilization.
See also Bohemia; Prague; Reformation, Protestant; Schmalkaldic War (1546–1547); Thirty Years’ War (1618–1648).
BIBLIOGRAPHY
Primary Source
Fudge, Thomas A. *The Crusade against Heretics in Bohemia, 1418–1437: Sources and Documents for the Hussite Crusades*. Aldershot, U.K., 2002. Over 200 documents illustrating the radical period.
Secondary Sources
Bartoš, František Michálek. *The Hussite Revolution, 1424–1437*. Edited by John Klassen, translated by J. Weir. New York, 1986. Translation of *Husitská revoluce*. Study by a leading Czech scholar.
David, Zdeněk V. *Finding the Middle Way: The Utraquists’ Liberal Challenge to Rome and Luther*. Baltimore, 2003. Definitive study of the Hussite tradition during the Reformation.
Fudge, Thomas A. *The Magnificent Ride: The First Reformation in Hussite Bohemia*. Aldershot, U.K., 1998. Emphasis on heresy, propaganda, and theological motifs up to 1437.
Heymann, Frederick G. *George of Bohemia: King of Heretics*. Princeton, 1965. Political history of the movement up to the 1470s.
———. *John Žižka and the Hussite Revolution*. New York, 1969. Fully documented with 11 sources appended.
Holetón, David R., and Zdeněk V. David, eds. *The Bohemian Reformation and Religious Practice*. 5 vols. Prague, 1996–2004. Wide-ranging collection of essays by international scholars of Hussitism.
Kaminsky, Howard. *A History of the Hussite Revolution*. Berkeley, 1967. The definitive study; history-of-ideas approach that stops at 1424.
Klassen, John M. *The Nobility and the Making of the Hussite Revolution*. New York, 1978. Insightful perspective with emphasis on the barons and political aspects of the movement.
Odložilík, Otakar. *The Hussite King: Bohemia in European Affairs 1440–1471*. New Brunswick, N.J., 1965. Contextual study of Hussite Bohemia with emphasis on politics.
Říčan, Rudolf. *The History of the Unity of Bretbren*. Translated by C. Daniel Crews. Bethlehem, Pa., 1992. Translation of a Czech work and essential for understanding the larger dimensions of the Hussites up to the 1620s.
Šmahel, František. “The Idea of the ‘Nation’ in Hussite Bohemia.” Translated by R. F. Samsour. *Historica* 16 (1969): 143–247 and 17 (1970): 93–197. Vigorous assessment of ideological and political aspects of national identity.
Wagner, Murray L. *Petr Chelčický: A Radical Separatist in Hussite Bohemia*. Scottsdale, Pa., 1983. Excellent monograph emphasizing radical theology and political thought.
THOMAS A. FUDGE
HUYGENS FAMILY. Influential in Dutch politics and culture, the Huygens family served the House of Orange, and thus, its political fortunes rose and fell with those of its patrons. Christiaan the Elder (1551–1624) served William of Orange (William the Silent; 1533–1584) until the latter’s assassination, at which point he became secretary to the Council of State that oversaw the newly formed United Provinces of the Netherlands. His firstborn, Maurits (1595–1642), was secretary to William’s successor, Maurits (1567–1625), and then the council; his second son, Constantijn (1596–1687), was secretary to Maurits’s younger brother Frederik Hendrik (1584–1647), then the latter’s son William II (1626–1650), and finally to the council. During the 1640s, as the princes of Orange consolidated power in the United Provinces, Constantijn enjoyed immense authority and accumulated the lands and monies that go with such a relationship. Conversely, during the minority of William III (1650–1702), with the government controlled by the Republicans and the Orangists in disarray, Constantijn concentrated on the young prince’s education and made sure that his eldest son, Constantijn, Jr. (1627–1697), eventually became William’s secretary. When a grown William regained power during war with France (1672) and moved to England to share the throne (1689), Constantijn, Jr., followed. Because William III had no brothers, Constantijn’s younger sons had no parallel patrons to serve, even though their father had trained them for civil service. Indeed, the youngest, Philips (1633–1657), died while on a diplomatic mission. The third son, Lodewijk (1631–1699), did remain in politics, serving in minor positions and embarrassing the family in a bribery scandal. Constantijn’s second son, Christiaan (1629–1695), made early contact with the scientific communities on both sides of the English Channel while traveling as a diplomatic clerk, even being elected the first foreign member of the Royal Society of London during one such trip in 1663. In 1666 Christiaan abandoned the family profession to follow his natural talent as a scientist, going to Paris to lead the newly formed Académie Royale des Sciences of Louis XIV (ruled 1643–1715).
Constantijn Huygens, poet, musician, and patron, lived a full life outside of politics. Tutored at home in languages, music, mathematics, and logic, he spent 1616–1617 studying law at Leiden before setting off as clerk in the diplomatic missions that would foster his career. Repeated visits to England (in 1622 he was even knighted) broadened his early training by exposing him to the experimental science of Francis Bacon (1561–1626) and Cornelius Drebbel (1572–1633). Enamored of John Donne’s (1572–1631) poetry, he translated nineteen poems into Dutch even before they had been published in English. Today Constantijn is primarily remembered as one of the leading poets of the Dutch Golden Age, who contributed to the growth of the Dutch language through his verses, such as those included in the collection he called his “cornflowers” (Korenbloemen, 1658). His works range from birthday poems to a comic play (Trijntje Cornelis, 1653) to epic autobiographies (Daghwerck [1638; A day’s work], and De Vita Propria Sermonum inter Liberos Libri Duo [1678]). He was a member of the Muiden Circle that gathered around the great Dutch poet and historian Pieter Corneliszoon Hooft (1581–1647), discussing literature and setting style. A noted composer (only his Pathodia Sacra et Profana survive) and musician, Constantijn argued for the reintroduction of the organ into the Reformed Church. He befriended René Descartes (1596–1650) when the philosopher settled in Holland during the 1640s, and the two seem to have formed a mutual admiration society. As the arbiter of court patronage, he encouraged the artistic careers of Rembrandt van Rijn (1606–1669) and Jan Lievens (1607–1674). Throughout his life he maintained a dilettante’s interest in science, particularly the work of his son.
Christiaan Huygens, mathematician, physicist, astronomer, and inventor, was one of the leading scientists of the seventeenth century, most particularly as a founder of the field of applied mathematics. Educated at home, he demonstrated his analytical prowess early on by extending results in classical mathematics, particularly the work of Archimedes, including developing an improved method for determining pi. At the University of Leiden, he studied with Frans van Schooten (c. 1615–1660) and contributed to the latter’s Geometria, a codification of Descartes’s mathematics. He accepted the basic principles of Cartesian physics throughout his life but was frequently at odds with the particulars. Thus, he always believed that mechanical theory must be rooted in explanations involving matter in relative motion, but his first major study on moving bodies disproved Descartes’s fundamental rules for collisions. Likewise, he opposed the Cartesian explanation of refraction and of the speed of light. On the other hand, he continued to seek a vortex explanation of gravity, even after Isaac Newton (1642–1727) had undermined Descartes’s theory in the *Principia*. He never achieved his own unified mathematical system of the world, even though he had written many treatises that mathematically analyzed physical problems. Thus, when he invented the first accurate pendulum clock and developed an improved version that made the bob follow a cycloidal path, his description of the successor is wrapped in an elegant theory of curves called evolutes that proved why it was theoretically precise (*Horologium Oscillatorium*, 1673). Likewise, when he developed his wave theory of light, its justification was a mathematical extension of evolutes to the phenomenon of double refraction, including his assertion, now called the Huygens Principle, that a wave front is the curve (envelope) that is tangent to all the secondary waves emanating pointwise from along the previous front (*Traité de la lumière* [1690; Treatise on light]). But, although he discovered Saturn’s largest moon, Titan (1658), and explained that Saturn’s odd appearance could be accounted for by a ring (*Systema Saturnium* [1659; The system of Saturn]), he never mathematically extended this early work to an analysis of planetary systems, even though he worked extensively on the problem of circular motion. He wrote a treatise on expectations in probability, contributed to the discussions that led to the calculus, designed telescopes and ground their lenses with his older brother, and participated in the development of the air pump, spiral spring watch, and microscope. Unfortunately, many important works only appeared posthumously, including a massive treatise on the refraction of light through lenses (*Dioptrica*, 1703), and a popularization of cosmology written for his older brother in which he speculated on the possibility of extraterrestrial life. Without publications to assert his priority, his influence depended on his correspondence network, and much of what he accomplished was unwittingly redone by others. Nevertheless, both Newton and Gottfried Wilhelm Leibniz (1646–1716) considered him the most important precursor of their own work in physics and mathematics.
*See also* Academies, Learned; Astronomy; Bacon, Francis; Clocks and Watches; Cosmology; Descartes, René; Donne, John; Dutch Literature and Language; Dutch Republic; Leibniz, Gottfried Wilhelm; Mathematics; Newton, Isaac; Optics; Physics; Rembrandt van Rijn; Scientific Instruments; Scientific Method; Scientific Revolution; Technology.
**BIBLIOGRAPHY**
*Primary Sources*
Huygens, Christiaan. *The Celestial Worlds Discover’d*. Translated by Timothy Childe, 1698. Reprint, London, 1968. Translation of *Cosmotheoros* (1698).
———. *Oeuvres complètes de Christiaan Huygens*. 22 vols. Edited by a committee of Dutch scholars. The Hague, 1888–1950.
———. *The Pendulum Clock or Geometrical Demonstrations Concerning the Motion of Pendula as Applied to Clocks*. Translated by Richard J. Blackwell. Ames, Ia., 1986. Translation of *Horologium Oscillatorium* (1673).
Huygens, Constantijn. *De gedichten van Constantijn Huygens*. 9 vols. Edited by J. A. Worp. Groningen, Netherlands, 1892–1899.
———. *A Selection of the Poems of Sir Constantijn Huygens (1596–1687)*. Translated by Peter Davidson and Adriaan van der Weel. Amsterdam, 1996.
*Secondary Sources*
Bos, H. J. M., et al. *Studies on Christiaan Huygens: Invited Papers from the Symposium on the Life and Work of Christiaan Huygens*. Amsterdam, 22–25 August 1979. Lisse, Netherlands, 1980.
Colie, Rosalie L. “Some Thankfulness to Constantine”: *A Study of English Influence upon the Early Works of Constantijn Huygens*. The Hague, 1956.
Daley, Koos. *The Triple Fool: A Critical Evaluation of Constantijn Huygens’ Translations of John Donne*. Nieuwkoop, Netherlands, 1990.
Yoder, Joella G. *Unrolling Time: Christiaan Huygens and the Mathematization of Nature*. Cambridge, U.K., and New York, 1988.
*Joella G. Yoder*
**HYMNS.** Hymns, original religious poems intended for singing in public or private, were very widely known and used in early modern Europe. As well as embodying communal religious feeling across class barriers, they were the sole form of musical expression in many a devout family and institution.
**THE LATIN HYMN**
The familiar metrical form in several stanzas is credited to St. Ambrose (c. 340–397). Medieval hymns were sung by priest and choir at mass or office. Their plainsong tunes, repeated with each
stanza, later became the basis of polyphonic compositions in several vocal parts. In the sixteenth century and after, many composers published hymn settings. Instruments were generally added after 1600: an outstanding example is “Ave maris stella” (Hail, star of the sea) from Claudio Monteverdi’s *Vespers* (1610).
**THE LUTHERAN HYMN**
A key aspect of Martin Luther’s theology was the praise of God with understanding, and (following Jan Hus) he promoted a kind of singing in worship that could be understood, and if possible, joined by the congregation. The texts must be in the vernacular and in simple diction; the tunes were often adapted folk songs, or were composed in a popular style by Luther himself or by one of the skilled musicians among his followers. In hymns like “Ein’ feste Burg ist unser Gott” (A mighty fortress is our God) Luther literally planted the Christian message, as he saw it, in the people’s mouths and hearts. Many of his hymns (“chorales”), and those of a distinguished line of successors including Philipp Nicolai (1556–1608) and Paul Gerhardt (1607–1676), have been in continuous use, firmly wedded to their early tunes. Like their medieval precursors, they were used as a basis for more elaborate compositions by such men as Michael Praetorius (1571–1621) and Samuel Scheidt (1587–1654). Above all, Johann Sebastian Bach (1685–1750) displayed a seemingly inexhaustible creativity in the treatment of hymn melodies in his organ chorales (often misnamed “chorale preludes”), fantasias, cantatas, and passions.
**THE ENGLISH HYMN**
Because of the predominantly Calvinist theology of the early Church of England, hymns of “human composure” had to give way to metrical paraphrases of the psalms in Anglican worship. Thomas Sternhold and John Hopkins’s *The Whole Booke of Psalmes* (London, 1562) did, however, include a few anonymous hymns in an appendix, nominally for domestic use, and there is evidence that the pre-Reformation custom of the communion hymn survived in Anglican worship. The now widely sung hymns of George Herbert (1593–1633) and Thomas Ken (1637–1711) were intended for private use only, or even for silent reading. Hymns in worship were championed by the Independent Isaac Watts (1674–1748), and by the founder of Methodism, John Wesley, whose brother Charles (1707–1788) has a claim to be the greatest hymn writer in the English language. These leaders championed a vigorous, heartfelt singing by women as well as men, which was in striking contrast to the then-current Anglican mode of singing. The Wesleys adapted tunes from any available source, including theater pieces, concert music, and folk song.
*See also* Church of England; Luther, Martin; Lutheranism; Methodism; Wesley Family.
**BIBLIOGRAPHY**
Anderson, Warren, et al. “Hymn.” In *The New Grove Dictionary of Music and Musicians*, edited by Stanley Sadie, 29 vols. 2nd ed. London, 2001, vol. 12, pp. 17–35.
Benson, Louis F. *The English Hymn: Its Development and Use in Worship*. Richmond, Va., and London, 1915.
Nicholas Temperley
IDEALISM. As a philosophical concept, idealism can be employed both in a broad sense and in a much narrower, more specific form. Broadly speaking, idealism encompasses any philosophy that treats ideas—rather than, for example, matter—as primary. Plato’s theory of forms is perhaps the first example of this approach. When applied more specifically, idealism is the notion that the only things that exist are minds and their contents (ideas). This theory was first fully developed by Bishop George Berkeley (1685–1753).
Plato drew a clear distinction between the sensory world and the intelligible world, which we can only apprehend through reason. He argued that the objects of the sensory world are mere copies of universal, ideal “forms,” that make up the realm of what is intelligible. Plato’s theory was subsequently taken up and developed by the Neoplatonists, especially Plotinus and St. Augustine. To some extent, Berkeley’s idealism built on these earlier theories, but it also drew on and challenged scientific understandings of the world that had been developed during the sixteenth and seventeenth centuries. Berkeley set out his philosophy in his *Treatise concerning the Principles of Human Knowledge* (1710). Three years later he published his *Three Dialogues between Hylas and Philonous*, a more accessible version of the theory, in which Philonous (‘lover of mind’) convinces and converts Hylas (‘matter’) to his point of view. Both works were, in part, a response to John Locke’s (1632–1704) *Essay concerning Human Understanding* (1689). Locke’s explanation of the world relied on four key elements, God, matter, ideas, and minds. While Berkeley expressed great respect for Locke, he rejected the doctrine of matter that Locke, along with many others, accepted. According to Berkeley matter in itself is unintelligible; it is impossible for us to either observe or imagine matter alone, devoid of all other qualities or characteristics. Moreover, Berkeley argued that an adequate explanation of the world could be given on the basis of the other three elements alone, in Berkeley’s terminology God, finite spirits, and their ideas. Berkeley defined “ideas” as the objects of perception and “spirits” as the entities that exercise perception. Within this system the existence of an infinite spirit, God, which is both omniscient and omnipresent, is crucial.
Berkeley’s theory had a mixed reception. The story is that Samuel Johnson (1709–1784) claimed to be able to refute it simply by kicking a stone, but others took it more seriously. There has been much discussion as to whether (and to what extent) Berkeley influenced Immanuel Kant (1724–1804). In his *Kritik der reinen Vernunft* (1781; *Critique of pure reason*) Kant attacked Berkeley’s traditional version of idealism and advocated a combination of “empirical realism” and “transcendental idealism.” Both philosophers saw all experience as mind-dependent. However, for Berkeley there was nothing beyond or outside of mind, whereas Kant retained the regulative idea of “things-in-themselves” lying behind experience.
Idealism continued to be important beyond the early modern period. During the nineteenth century the ideas of Berkeley and especially of Kant provided a basis for the absolute idealism of Johann Gottlieb Fichte (1764–1814) and Georg Wilhelm Friedrich Hegel (1770–1831). Despite a subsequent collapse in the influence of this position, idealism continues to be advocated into the twenty-first century, though usually in forms that are closer to Kant than to Berkeley.
See also Berkeley, George; Kant, Immanuel; Philosophy.
BIBLIOGRAPHY
Primary Sources
Berkeley, George. *Principles of Human Knowledge* and *Three Dialogues*. Edited by Howard Robinson. Oxford and New York, 1996.
Kant, Immanuel. *Critique of Pure Reason*. Translated and edited by Paul Guyer and Allen W. Wood. Cambridge, U.K., and New York, 1998. Translation of *Kritik der reinen Vernunft* (1781).
Secondary Sources
Urmson, J. O. *Berkeley*. Oxford and New York, 1982.
Vesey, Godfrey, ed. *Idealism Past and Present*. Cambridge, U.K., and New York, 1982. See especially the foreword and the first three chapters.
RACHEL HAMMERSLEY
IGNATIUS OF LOYOLA (1491–1556), Spanish religious leader. Founder of the Society of Jesus, known as the Jesuits, Ignatius of Loyola was born Iñigo de Oñaz y Loyola in 1491 in Azpeitia in the Basque province of Guipúzcoa in northeastern Spain. He was the youngest of thirteen children in a family of lesser nobility but not lacking in social contacts or high prestige. Ignatius’s father, just before his death, situated his youngest son in the household of Juan Velázquez de Cuéllar, the chief treasurer of King Ferdinand (1452–1516) and Queen Isabella (1451–1504). There young Ignatius learned courtly manners and sophistication, skills that served him well throughout his life. King Ferdinand’s death brought about the downfall of Ignatius’s patron, and through friends and family Ignatius received a position with the duke of Nájera, don Antonio Manrique de Lara.
Ignatius’s life at either of these courts could not be held up as an example of Christian virtue. In May 1521 the simmering conflict between King Francis I (1491–1547) of France and King Charles I (1500–1558) of Spain erupted when the French forces attacked Pamplona. While Ignatius was defending the city against the French siege, a cannonball struck him in the leg. The French victors assured transport of the wounded man back to his family’s castle. During his convalescence, Ignatius requested books on chivalry, particularly those with the character of Amadis of Gaul. Instead his sister-in-law gave him two works, *Life of Christ*, authored by Ludolph of Saxony and translated by Ambrosio Montesino, and a Spanish version of *Lives of the Saints* by Jacobus de Voragine (Jacopo de Varazze) translated by Gauberto Maria Vagad. Contemplating these books, Ignatius underwent a conversion, rejected his past, and chose to live as a hermit in Jerusalem.
On his way to Jerusalem, Ignatius visited Montserrat, a Marian shrine near Barcelona managed by the Benedictines; he then spent just over a year in the nearby village of Manresa (April 1522 to February 1523). There he created the framework of the *Spiritual Exercises*. In the *Exercises*, Ignatius presented various methods by which a person could move systematically through the three traditional steps of spiritual growth: purgation, illumination, and union with God. Although completed in substance in Manresa, the work took on additional features until its final form received papal approval in 1548. Leaving Manresa, Ignatius arrived in Jerusalem in September 1523, but his plans to stay were thwarted by the Franciscan custodians, who wisely perceived such a strong-willed pilgrim as a liability.
Returning to Barcelona in 1524, Ignatius set his course on a new project. Changing his desire to live as a spiritual recluse, he discerned his vocation as “helping souls.” This conversion grew from religious fervor and not from a specific desire to defeat Protestantism, and therefore he stands with other Catholic reformers of the early sixteenth century. To help souls he realized he needed a formal education, and for the first time he took up a serious study of Latin, the necessary tool for academic progress. After two years of study in Barcelona, his teachers recommended he continue at the new university at Alcalá, near Madrid. Arriving at the university in March 1526, he took courses in an indiscriminate fashion. He experienced discouraging attempts to study at Alcalá and later in Salamanca, but at both
locations he was imprisoned in 1527 under the suspicion of the Inquisition. Ignatius continued his education in a more methodological way at the University of Paris, where he earned both his licentiate and a master’s in philosophy between 1528 and 1535. The name “Ignatius” is inscribed in the school’s role for 1534, and from this time forward, with few exceptions, he referred to himself as Ignatius, giving up the “Inigo” of his early years.
In Paris, Ignatius gathered six men who together decided upon lives of poverty and chastity. They also desired to make a pilgrimage to the Holy Land and there decide their futures. If such a trip were impossible, they would make themselves available to the Roman pontiff. The trip proved impossible, and the group, wishing to remain together, formed a religious order that received the oral approval of Pope Paul III (1468–1549) in 1539 and written approval in 1540. Elected as the order’s first superior general in 1541, Ignatius witnessed its growth from a few men to one thousand members at his death on 31 July 1556. He supervised the creation of thirty-three schools, wrote the order’s constitutions, and governed the ever-expanding Society of Jesus in South America, Africa, Europe, and Asia. Successfully grafting humanism, Catholic reform, and the missionary opportunities created by the New World economies onto medieval Europe’s religious and philosophical heritage, Ignatius was one of the principal forces behind the transition from the medieval church to early modern Catholicism.
See also Ferdinand of Aragón; Isabella of Castile; Jesuits; Missions and Missionaries; Religious Orders.
BIBLIOGRAPHY
Primary Sources
Saint Ignatius of Loyola. *Constitutions of the Society of Jesus*. Edited and translated by George E. Ganss. St. Louis, 1970.
———. *Ignatius of Loyola: The Spiritual Exercises and Selected Works*. Edited by George E. Ganss. New York, 1991. This edition includes the full text of the *Spiritual Exercises*, the *Autobiography of Ignatius*, selected letters, and parts of the constitutions.
———. *Letters of Saint Ignatius of Loyola*. Selected and translated by William Young. Chicago, 1959.
———. *Letters to Women*. Collected by Hugo Rahner. New York, 1960.
Monumenta Ignatiana. *Exercitia spiritualia Sancti Ignatii de Loyola et eorum directoria*. 2nd ed. rev., 2 vols. Monumenta Historica Societatis Iesu (MHSI). Madrid, 1919; Rome, 1969. The Institutum Historicum Societatis Iesu, formerly in Madrid and now in Rome, has edited the early documents of the Society of Jesus. These scholarly editions appear as a series with various contents or themes in the Monumenta Historica Societatis Iesu (MHSI).
Monumenta Ignatiana. *Fontes documentales de Sancti Ignatio de Loyola*. Monumenta Historica Societatis Iesu (MHSI). Rome, 1977.
Monumenta Ignatiana. *Sancti Ignatii de Loyola Constitutiones Societatis Jesu*. 3 vols. Monumenta Historica Societatis Iesu (MHSI). Rome, 1934–1938.
Monumenta Ignatiana. *Sancti Ignatii de Loyola Societatis Jesu fundatoris epistolae et instructiones*. Monumenta Historica Societatis Iesu (MHSI). Madrid, 1903–1911.
Monumenta Ignatiana. *Scripta de Sancto Ignatio de Loyola, Societas Jesu fundatore*. 2 vols. Monumenta Historica Societatis Iesu (MHSI). Madrid, 1904–1918.
Polgár, László. *Bibliographie sur l’histoire de la Compagnie de Jésus, 1901–1980*. 3 vols. Rome, 1981–1990. The most extensive bibliography dealing with Ignatius.
**Secondary Sources**
De Dalmases, Cândido. *Ignatius of Loyola: Founder of the Jesuits*. Translated by Jerome Axalá. St. Louis, 1985.
Ganss, George E. *Saint Ignatius’ Idea of a Jesuit University*. Milwaukee, 1954.
O’Malley, John W. *The First Jesuits*. Cambridge, Mass., 1993.
Ravier, André. *Ignatius of Loyola and the Founding of the Society of Jesus*. Translated by Maura Daly, Joan Daly, and Carson Daly. San Francisco, 1987.
Tellechea Idígoras, José Ignacio. *Ignatius of Loyola: The Pilgrim Saint*. Edited and translated by Cornelius Michael Buckley. Chicago, 1994.
MICHAEL W. MAHER
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**IMPERIAL CITIES.** See Free and Imperial Cities.
**IMPERIAL EXPANSION, RUSSIA.** The transformation of the tiny principality of Moscow into a Eurasian empire took place over several centuries, but by the end of the seventeenth century Russia had become the largest country in the world. No single motivation (“urge to the sea,” fear of foreign invasion or domination, control of trade routes, unbridled expansionism) explains all Russian territorial acquisitions in the early modern period, and the process is best viewed as a series of ad hoc decisions, opportunities, and actions. Recent commentators have concluded that no messianic (“theory of the Third Rome”) or programmatic (the spurious “testament of Peter I”) texts guided Russian expansion.
Between the thirteenth and fifteenth centuries, the Grand Principality of Moscow (called Muscovy by European observers) expanded primarily at the expense of other Rus’ principalities by conquering, inheriting, purchasing, and annexing the lands of other Rurikid princes. The rise of Moscow was marked by cooperation with Tatars rather than struggle against them. Monasteries (which doubled as forts and centers of economic activity) played a considerable role in advancing Russian settlement into areas originally inhabited by Finno-Ugric peoples.
The conquests of Novgorod (1478) and Kazan’ (1552) were central to the course of Russian expansion. While the former signified Moscow’s triumph over the other Rus’ principalities, the latter solidified its position vis-à-vis the Chingissid successor states and the steppe. In both cases Russian diplomats advanced historic claims to neighboring territories, but strong economic interests and rivalries over trade routes played key roles. Conquest was preceded by decades of diplomatic maneuvering, Muscovite intervention, and struggles between factions within those political structures. Novgorod gave Muscovy a trading emporium in proximity to the Baltic basin and control over vast northern hinterlands. The conquest of Kazan’ facilitated an advance into the middle and lower Volga regions, the North Caucasus, and Siberia. In both cases lands were confiscated and redistributed to Muscovite military men, but this was a policy of selective, rather than wholesale, displacement of traditional elites.
In the sixteenth through eighteenth centuries the principal methods of state expansion included military conquest, frontier settlement, and expansion into territories not under effective jurisdiction by other states, and alliances and diplomatic deals with local ruling elites, who became clients or subjects of Russia. Throughout the early modern period, decisions about western strategy had to be carefully correlated with developments in the south to avoid coordinated actions by Russia’s rivals. Along its open southern and eastern frontiers the Russian state pursued a strategy of annexing lands, building settlements, constructing fortified lines to impede nomadic attacks, and concluding flexible alliances with groups in the outer zones of the frontier (Cossacks and/or pastoralist groups such as the Nogays, Kalmyks, etc.) to further interests in the steppe. Fortified lines expanded steadily into the steppe, Siberia, and the Northern Caucasus from the second half of the sixteenth century to the mid-eighteenth. They incorporated forts, wooden and earthen ramparts, ditches, watchtowers, and steppe patrols.
The conquest of Siberia (1581–1649) was clearly one of the largest, swiftest, and most durable imperial conquests in global history. After establishing themselves in Western Siberia, Cossacks and government forces advanced along the course of major river systems (Ob-Irtysh by 1605, Yenisey by 1628, Lena by 1640, and Amur in the 1640s) until all of Siberia was under Russian control. By 1689, in spite of the fact that Russia maintained only a few thousand armed men in eastern Siberia, the Chinese state recognized the bulk of Russia’s eastern conquests in the Treaty of Nerchinsk.
In the west, protracted wars and treaty negotiations defined the process of Russian expansion. In contrast to other expansion into other regions, western expansion primarily involved the introduction of Russian garrisons, administrators, and merchants to towns in the Baltic region and Dnieper basin, but it did not result in the migration of Russian agriculturalists. Struggles over adjacent lands served as a constant source of cross-border conflict between Moscow and its western neighbors. Traditional rivalries with Sweden and the Polish-Lithuanian Commonwealth escalated into a major international conflict when Russia attempted to contest control of the Baltic coast during the Livonian Wars (1558–1583). The conflict failed to give Russia a foothold on the Baltic, and during the Time of Troubles (1603–1613) Polish and Swedish borders expanded at the expense of Russia. The alliance between Tsar Alexis Mikhailovich and Bohdan Khmelnytsky in 1654 initiated a long struggle for domination of Ukraine that raged intermittently until the partitions of Poland in the late eighteenth century. As a result of its deepening military commitments in Ukraine, Russia abandoned its longstanding policy of friendship toward the Ottoman Empire and concluded its first anti-Ottoman alliance (1667). During the Great Northern War (1700–1721) Tsar Peter I established a permanent Russian presence on the Baltic coast and succeeded in annexing much of modern-day Latvia and Estonia. In a series of agreements negotiated between
local elites and Russian administrators, the Baltic Germans were confirmed in their rights and privileges over local populations.
Outside the predominantly Russian central provinces of the empire (in which serfdom, the old Muscovite service class, and the Law Code of 1649 predominated) a mosaic of local arrangements characterized Russian rule. While the peoples of the Volga region were incorporated into the Russian landholding and legal systems, several regions were administered under separate deals with the tsar and retained their own legal traditions and considerable local autonomy: the Hetmanate (Ukraine), the Baltic Provinces, and the Cossack Hosts. Siberian peoples came under differing levels of government control: groups such as the Yakuts came under intense pressure to convert and acculturate while groups living in the far north continued their traditional ways and sporadically provided tribute. Russian rulers claimed sovereignty over certain peoples of the North Caucasus, but the state had little effective authority over the region in the early modern period. Nomadic groups in the steppe often received subsidies and provided occasional services to the tsar but were not under direct control. Although conversion to Orthodoxy was encouraged, few resources were actively committed to the goal of Christianization. Orthodox Christians were prohibited from converting to other religions. Although the term Rus’ continued to be employed to refer to the Orthodox heartland of the empire, in the seventeenth century the term Rossia (Russia) was increasingly employed to designate the diverse territories under Romanov jurisdiction.
See also Andrusovo, Truce of (1667); Black Sea Steppe; Cossacks; Fur Trade: Russia; Khmelnytsky, Bohdan; Livonian War (1558–1583); Northern Wars; Russia; Time of Troubles (Russia); Ukraine.
BIBLIOGRAPHY
Kappeler, Andreas. *The Russian Empire: A Multiethnic History*. Translated by Alfred Layton. Harlow, U.K., 2001.
Liubavskii, Matvei Kuz’mich. *Obzor istorii russkoi kolonizatsii s drevneishikh vremen i do XX reka*. Moscow, 1996.
Rieber, Alfred J. “Persistent Factors in Russian Foreign Policy: An Interpretive Essay.” In *Imperial Russian Foreign Policy*. Edited by Hugh Ragsdale. Cambridge, U.K., and New York, 1993.
Brian Boeck
IMPERIALISM. See Colonialism.
INDEX OF PROHIBITED BOOKS. The origin of the Index of Prohibited Books (*Index librorum prohibitorum*) dates to the 1520s, following Martin Luther’s revolt in 1517, when the printing press became the principal means for the spread of the Protestant Reformation. Universities, ecclesiastical and civil authorities, and local inquisitors published many lists of condemned books and authors that paved the way for the Index.
The first printed Index of Prohibited Books was published in 1544 by the Faculty of Theology of the University of Paris, followed by editions appearing in 1545, 1547, 1549, 1551, and 1556. The Faculty of Theology of the University of Louvain published its own catalogues in 1546, 1551, and 1558. These academic initiatives were followed by lists compiled by local and national inquisitions, especially in Italy, with Indices issued at Venice in 1549 and 1554, in Portugal, with editions appearing in 1547, 1551 and 1561, and in Spain, with Indices published in 1551 and 1559.
The Inquisition in Rome prepared the first Roman Index, issued by Paul IV in 1559. It contained more than a thousand interdictions divided into three classes: authors, all of whose works were to be prohibited; individual books that bore the names of their authors; and anonymous writings. The Index compiled by a commission established by the Council of Trent, published by Pius IV in 1564, was distinguished principally by the ten general rules it promulgated, which became the basis of Catholic censorship policy for the entire modern period. In 1571 Pius V created the Congregation of the Index as a permanent organ of government in the Church. The Index published in 1596 by Clement VIII added more than eleven hundred condemnations to those contained in the Tridentine Index.
From the early seventeenth century, the Congregation of the Index conducted the prohibition of books through the promulgation of particular decrees that combined the congregation’s own condemnations with those pronounced by the Holy Office of the Inquisition and the pope. Editions of the Index appeared at intervals incorporating the
new titles prohibited in these decrees. Two catalogues published in the seventeenth and eighteenth centuries are of special significance.
For the entire modern era, the Spanish and Portuguese Inquisitions also issued their own catalogues, which had authority in the Iberian Peninsula as well as in their American, African, and Asian colonies. The Spanish and Portuguese Indices were at the same time prohibitory and expurgatory, while the Roman Indices, with rare exceptions, were exclusively the former.
Prefacing the different editions of the Roman Index are the papal documents and general rules proscribing in an absolute manner various categories of works and determining the modalities according to which control over the printed book must be exercised. The general rules contained in the Tridentine Index prohibit in their entirety all books by heretical authors treating religious subjects, lascivious and obscene writings, and works of astrology, divination, and the occult arts. The reading of the Bible in the vernacular was permitted only to persons holding a written license issued by an inquisitor or bishop. Other rules added to the Index in the course of the centuries prohibited other categories of books as well. The Index of Benedict XIV, published in 1758, by its constitution “Sollicita ac Provida” reorganized the condemned materials and considerably liberalized the procedures for the inclusion of new works.
The number of writers and works placed on the Roman Index from the mid-sixteenth century to the end of the eighteenth amounted to about four thousand.
Brought into being to prevent the circulation of Protestant writings, the Index evolved over time, always maintaining a twofold objective: to defend the Catholic Church against external attacks and to protect the homogeneity of the faith and of morality against dangers occurring from within. The defense against Protestantism always remained a major preoccupation of Roman censors. Protection of the political and juridical rights and privileges of the church, the pope, and the hierarchy also find a notable echo in the Index. Thus, writings favoring Gallicanism and those advocating the right of civil authorities to intervene in ecclesiastical affairs appear prominently, alongside polemical works dealing with the political intervention of the Holy See, such as during its conflict with the Republic of Venice in 1606–1607, or the oath of loyalty in England during the pontificate of Paul V (1605–1621).
Writings favorable to Jansenism represent an important part of the seventeenth and eighteenth century condemnations, just as one finds a considerable number of works concerning the debates over casuistry and probabilism. Mystical literature is represented by numerous titles, such as those supporting the Quietism of Miguel de Molinos (1628–1696) and the pure love of Madame de Guyon (1648–1717) and of Archbishop Fénelon (1652–1715). The struggle against popular superstitions explains the prohibition of countless prayers, false indulgences, novenas, apocryphal histories, and legends of the saints.
The presence in the Index of works by the great philosophers is quite remarkable, such names as Blaise Pascal, René Descartes, Nicolas de Malebranche, Baruch Spinoza, Immanuel Kant, Francis Bacon, Thomas Hobbes, John Locke, David Hume, George Berkeley, and of the greatest French writers of the Enlightenment, Pierre Bayle, Denis Diderot, Jean d’Alembert, Voltaire, and Jean-Jacques Rousseau. The interdiction of the writings of Nicolaus Copernicus in 1616 and of Galileo Galilei in 1634, not removed from the Index until 1822, is the most glaring example of the chasm separating the church and science.
The moral obligation to submit to the Index has unfailingly been opposed by heterodox and progressive groups, and especially by intellectuals. But if one examines the attitudes of Catholics as a whole, it would appear that the constraints imposed on the written word gradually came to be considered acceptable practices in the pastoral mission of the church.
Censorship and the Index have undoubtedly hindered literary productivity and the expression of original ideas. Many Catholic authors, Pascal among them, practiced self-censorship and renounced embarking on some projected works. It can also be maintained that the close surveillance imposed by the Index over printing and the book placed a brake on the growth of publishing in the Catholic world, and we can query the effect that
censorship and the Index exerted on the religious, cultural, and social development of the modern world. But it is also possible to ask whether the Church of Rome could have succeeded in neutralizing the many centrifugal forces pulling against it, maintained religious unity within Catholicism, and reaffirmed its authority without the weapons of censorship and the Index.
See also Censorship; Copernicus, Nicolaus; Enlightenment; Galileo Galilei; Gallicanism; Inquisition, Roman; Inquisition, Spanish; Jansenism; Papacy and Papal States; Printing and Publishing; Quietism.
BIBLIOGRAPHY
Primary Sources
Bujanda, Jesús Martínez de. *Index des livres interdits*. 10 vols. Sherbrooke, Canada, and Geneva, 1984–1996. Vol. 1, *Index de l’Université de Paris*, 1544, 1545, 1547, 1549, 1551, 1556. Vol. 2, *Index de l’Université de Louvain*, 1546, 1550, 1558. Vol. 3, *Index de Venise, 1549, et de Venise et Milan*, 1554. Vol. 4, *Index de l’Inquisition portugaise*, 1547, 1551, 1561, 1564, 1581. Vol. 5, *Index de l’Inquisition espagnole*, 1551, 1554, 1559. Vol. 6, *Index de l’Inquisition espagnole*, 1583, 1584. Vol. 7, *Index d’Anvers*, 1569, 1570, 1571. Vol. 8, *Index de Rome*, 1557, 1559, 1564. Vol. 9, *Index de Rome*, 1590, 1593, 1596. Vol. 10, *Thesaurus de la littérature interdite au seizième siècle*. Historical surveys, analyses of the expurgations, and critical editions of all sixteenth-century Indexes of Prohibited Books.
———. *Index librorum prohibitorum* (1600–1966). Montreal and Geneva, 2002. This volume offers succinct biographical information on approximately 3,000 authors as well as a brief description and the location of the *editio princeps* for more than 5,000 forbidden books.
Secondary Sources
Fragnito, Gigliola. *La Bibbia al rogo: La censura ecclesiastica e i vulgarizzamenti della Scrittura* (1471–1605). Bologna, 1997. Based on assiduous research in civil and ecclesiastical repositories, especially the Archive of the Holy Office in Rome, presents a detailed history of the prohibition and control of vernacular biblical translations and commentaries.
Fragnito, Gigliola, ed. *Church, Censorship and Culture in Early Modern Italy*. Cambridge, U.K., 2001. Collaborative volume containing nine studies devoted to ecclesiastical censorship activity in Italy.
Grendler, Paul F. *The Roman Inquisition and the Venetian Press, 1540–1605*. Princeton, 1977. Influential study based on the large collection of Venetian Holy Office trials and other primary documents. Examines the impact of Inquisition and Index on the book trade and the reactions on all fronts to the invasive controls and prohibitions.
Rozzo, Ugo, ed. *La censura libraria nell’Europa del secolo XVI*. Udine, Italy, 1997. Conference volume containing thirteen studies devoted to the Indexes, the activities of the congregations of the Inquisition and Index, and ecclesiastical censorship activity in various European countries.
J. M. De Bujanda
INDUSTRIAL REVOLUTION. To the end of the early modern period, Europe remained a preindustrial society. Its manufactured goods came from small workshops, and most of its machinery was powered by animals, wind, falling water, or human labor. These two facts reinforced each other, and together they constricted Europe’s economic development. Water-powered manufacturing, for instance, could develop only in favored regions and remained constantly subject to weather-related interruptions; with limited supplies of power, there was little reason to concentrate manufacturing processes in large workshops. By 1850, however, these descriptions no longer applied to large areas of western Europe, and by 1914 the European economy as a whole was dominated by large factories, many of them employing thousands of workers. Both manufacturing and transportation now relied on steam power, and gasoline and electric motors were becoming common. The quantity and variety of goods manufactured rose accordingly, a transformation suggested by the development of the British iron industry: Britain produced about 30,000 tons of pig iron in 1760, about one million tons in 1810. Contemporary awareness of change advanced even more quickly than the reality. In his 1848 *Manifesto of the Communist Party*, written at a time when most Europeans still worked in agriculture and when even British manufacturing was still evenly divided between factories and small workshops, Karl Marx (1818–1883) presented industrialization as the obvious destiny of all European society. The rapidity of these changes and their far-reaching effects amply justify historians’ designation of the period as the “industrial revolution.” In the century after 1780, European life was transformed.
Industrialization thus numbers among the most important processes that brought the early modern period to a close, and as such it raises important questions about the period itself. Signs of dramatic
economic and technological change were already apparent in later eighteenth-century Britain, prompting historians to ask how this phase of rapid change could have emerged from the relatively stable early modern economy and why it emerged first in Britain. More broadly, historians have asked why Europe industrialized ahead of other regions of the globe, and what contributions Europe’s empires in the Americas and elsewhere made to its industrialization. Answers to these questions have been varied and surprising. Though the concept of industrialization itself remains unchallenged, recent historical research has overturned much conventional wisdom about how the process took place.
**MANUFACTURING BEFORE INDUSTRIALIZATION**
Though it lacked factories and steam engines, pre-industrial Europe did not have a static economy, and manufacturing counted for a significant share of its total economic activity—about one-fourth of France’s gross national product and almost 40 percent of Britain’s in the early eighteenth century, one historian has estimated. In some regions, such as the Netherlands and northern Italy, the percentages might have been even higher, but the difficulties of early modern transportation meant that manufacturing was widely dispersed; with transportation costs high, producers had a strong incentive to establish their workshops near the sources of their raw materials and to focus on meeting the needs of regional markets. Despite this fragmentation, early modern producers regularly introduced new products and adopted new techniques. In the thirteenth century, for instance, Italian craftsmen learned how to make silk cloth, and their techniques spread north of the Alps in the fifteenth and sixteenth centuries, so that by the eighteenth century the French city of Lyon numbered several thousand silk weavers. The technology of silk weaving changed as well, most dramatically with the invention of the Jacquard loom in the 1720s. The new loom had mechanical codes that governed the weaving process, allowing a relatively unskilled weaver to produce a complex product. In an early version of a process that would be frequently repeated during the industrial revolution, the balance between machine and worker had shifted; knowledge could be embedded in the machine, rendering differences among workers less important. Likewise, calico cloths from India created a sensation when first introduced in later seventeenth-century England. They were quickly imitated by British manufacturers, who effectively established an altogether new industry.
A stream of inventions thus changed manufacturing over the early modern period, but the most important changes that the period witnessed had to do with the organization of work rather than its technology. Most European cities restricted manufacturing work, limiting access to some trades so that those already established in them could continue to enjoy respectable incomes and controlling the amounts that workshops might produce to prevent any one manufacturer from acquiring too dominant a position. Impatient with such restrictions, from the seventeenth century on, merchants in many regions organized new forms of production in the countryside. Labor there was cheap and abundant since contemporary agriculture left many peasants underemployed, and economic restrictions were weak. Cloth merchants were especially well placed to take advantage of this opportunity. They supplied villagers with raw materials, transported goods from one stage of production to the next, and finally marketed the finished product, taking as well the largest share of the profits. Other goods too could be manufactured in this way: in eastern France and Switzerland, merchants organized clock making on these lines. By the mid-eighteenth century, the balance between agriculture and manufacturing had shifted in many regions; for most villagers, farm work had become a supplemental source of income, and they relied mainly on spinning, weaving, and other artisanal activities for their livelihoods.
Historians have applied several names to this process. The term *cottage industry* accurately captures the fact that this system of manufacturing left unchanged the basic conditions of its workers’ lives. Spinners, weavers, and others continued to live in small villages and continued to work according to their own preferences, as independent contractors who owned their equipment. But historians have also spoken of this process as *proto-industrialization*, a term that emphasizes the new economic relationships and expectations, as well as the demographic consequences, created by this system. Though they set their own pace of work, those
involved in cottage industry nonetheless depended on far-flung economic networks; their goods were produced for national and international markets, and the workers were subject to the economic power of the merchants who sold what they produced. The proto-industrial workforce was in some sense a proletariat, whose economic fate rested with others; some historians have suggested that these workers were in effect learning the habits that they would eventually need to work in the factories of the nineteenth century.
But as important as its implications for work discipline were, the rise of cottage industry also changed European buying. As the historian Jan de Vries has argued, seventeenth- and eighteenth-century families were working harder than they had in the past in exchange for the ability to buy more goods: cottage industry allowed women and children to earn cash incomes, and it converted what had been the family’s leisure time—especially the slow phases of the agricultural cycle—into cash as well. Well before the onset of industrialization, European manufacturers thus had available to them a large consumer market, one eager for small luxury goods. Historians have turned to probate inventories to demonstrate the breadth of the consumer revolution that these centuries brought to England, the Netherlands, France, and Germany. Even backward areas showed the effects of these changes, with families buying mirrors, clocks, brightly printed clothing, prints, and a variety of other manufactured goods. But the effects were most visible in the developing cities of the age. The largest city of early modern Europe, London, by itself concentrated about 16 percent of England’s population—an enormous, conveniently centralized and accessible market for manufactured goods. Paris was smaller in absolute numbers and much smaller relative to total French population, but it too offered manufacturers an enormous, fashion-conscious market for new goods.
TOWARD THE NEW ECONOMY
A critical aspect of the industrial revolution was the effort of manufacturers to take advantage of these markets, most visibly in the clothing industry. By the early eighteenth century, a fundamental step had already been taken: clothing manufacturers increasingly devoted their attention to lightweight, cheap, easily-colored fabrics, rather than the high-quality woolens that had dominated the medieval textile industry. In the early seventeenth century, they shifted to producing the lightweight woolen fabrics known in Britain as “new draperies”; later in the century, the arrival of cotton calicoes and muslins from India produced enormous enthusiasm among consumers and led to efforts both to exclude such imports and to replace them with British-made cotton goods. Over the eighteenth century, manufacturers produced a variety of fabrics that mixed cotton with other fibers, because British thread was usually too weak for producing all-cotton cloths. Throughout, popular demand played a crucial role, and in mid-eighteenth-century Britain cotton producers could not keep up with the demand for their products. In response they introduced a series of technological innovations designed to speed up the manufacturing process and to create other attractive new cotton products. Improvements in weaving starting in the 1730s created pressure on the spinning process, which produced cotton thread; at this point it took eight spinners to produce enough thread to supply one weaver, and several inventors sought to produce machines that could do the job more quickly. Solutions came in the 1760s and 1770s, with the spinning jenny, the water frame, and the spinning mule, all devices that allowed a single operator to manage multiple spindles—and that produced a higher-quality, more even thread than hand spinning. Contemporaries immediately recognized the value of these machines, and they spread rapidly, transforming the relationship between spinning and weaving. With spinning increasingly mechanized, there was now pressure to mechanize weaving—a more difficult task, with a first power loom invented in 1787 but not widely used until the early nineteenth century. But though handloom weaving remained dominant, a revolution in the cotton industry had already occurred by the end of the eighteenth century: between 1770 and 1800 imports of raw cotton to Britain increased twelvefold.
New machinery encouraged new ways of organizing work. The spinning jenny was designed as a hand-operated device, and could be adapted to the needs of cottage industry. But the water frame was larger and from the beginning required an external power source to drive it. Richard Arkwright (1732–
1792), who held the patent on it, immediately established a set of water-driven mills to exploit the new invention, and the economies of scale that these factories enjoyed meant that by 1800 cottage spinning had largely disappeared. The larger machinery also required a new approach to managing labor. Necessarily centralized around a single source of power, the new machines required close management in order to repay their heavy costs. The factory thus encouraged a new degree of labor discipline, with workers required to report to work at exact hours and labor at a pace set by the factory’s managers. The Arkwright mills and their competitors made an immediate impression on contemporaries; the artist Joseph Wright of Derby (1734–1797) painted them, and the poet William Blake (1757–1827) in about 1805 already spoke of “dark Satanic Mills” transforming the British landscape.
Blake found the mills “Satanic” partly because by his time a growing number of them relied on steam power. The development of steam technology represented a second critical strand in the industrial revolution, and, as with the development of cotton manufacturing, its origins lay in the seventeenth century, in a combination of scientific, technological, and ecological developments. As late as the mid-seventeenth century, scientists such as René Descartes (1596–1650) doubted that a vacuum was even possible, but his contemporary, the Italian physicist Evangelista Torricelli (1608–1647), and others demonstrated both the possibility and its practical implications. Inventors developed a series of pumps based on this idea, and in 1698 the Englishman Thomas Savery (c. 1650–1715) developed the first working steam engine, essentially a machine for creating a vacuum and using its suction to lift water. A much-improved version was developed by the Englishman Thomas Newcomen (1663–1729), and in 1712 a Newcomen engine was set to work pumping out coal mines in northern England; by the 1730s such engines were in operation in several European countries. As the economic historian Joel Mokyr has observed, this was the world’s first economically viable mechanism for transforming heat into regular motion, the artificial power that would be at the center of industrialization. The Newcomen engine performed its task very inefficiently, though, and in 1776 the first of James Watt’s (1736–1819) engines was put into commercial operation, allowing a fourfold improvement in efficiency. By 1800, about 2,500 steam engines had been built in Britain, most of them used in mines, but many powering iron foundries, cotton-spinning machines, and other industrial processes. Contemporaries understood that a technological revolution was underway, and despite the inefficiency of the early engines, inventors immediately began exploring new ways to use them. Steam hammers, rolling mills, and bellows revolutionized the British iron industry from the 1760s on; in 1783 a first steamboat was constructed (in France), and in 1803 a first steam locomotive. By the 1820s, railway construction had begun, and a steam-powered ship had crossed the Atlantic.
This sequence of inventions and applications was closely bound up with the availability of cheap fuel, yet another element of the early modern economy that came to full development during the industrial revolution. Coal had long been known as a fuel, but contemporaries disliked its smoke and smell. By the mid-seventeenth century, however, Britons had little choice but to make use of it, for the country was running short of wood and it was becoming too expensive to use as fuel for even the basic needs of heating, let alone for novel industrial uses. The enormous size of seventeenth-century London, over half a million people within easy reach of cheap water transport, and its insatiable demand for fuel ensured that coal mining could be profitable even in the face of technological obstacles. As mines became deeper, for instance, there was the problem of removing the water that seeped into them—the problem that steam-driven pumps eventually answered. Steam-driven vehicles and carts that moved along rails (radically reducing friction) were first employed in the British coal fields as well. The economics of coal-mining made even the inefficiencies of early steam power acceptable; operating in the coal fields themselves, the first steam engines had a readily available supply of cheap fuel and could even use some of the waste from the mining process. With a fully developed coal-mining industry, and increasingly sophisticated means of using the energy that coal contained, Britain suddenly increased its supply of power many times over. The historian Kenneth Pomeranz has argued that only with this step did Europe move clearly ahead of Asian technology, setting the stage for Europe’s
domination of the world economy during the nineteenth and twentieth centuries. This interpretation probably understates the significance of other differences, but it accurately captures an important aspect of the industrial revolution: during the eighteenth century, Britain acquired a seemingly limitless supply of power.
Coal played an especially important role in the iron industry, which constituted the fourth strand of industrialization. Iron and steel had been important to European technology since the Middle Ages, but expensive production processes limited their uses. Like other early modern manufacturing, iron-making relied on the experience and skill of a mass of individual artisans, whose small foundries permitted close inspection of each piece that they produced. Steel was even more clearly a specialized product, requiring superior iron ore found mainly in Sweden; forged by hand, it was reserved for such uses as weaponry, and was much too expensive for more mundane products. But starting in the early eighteenth century, the availability of coal and steam engines to power blowers (to create very high temperatures) and hammers (to remove impurities) stimulated a sequence of new iron-making processes, and these dramatically changed the industry’s economics. Because expensive machinery was essential to these techniques, iron production was increasingly concentrated in huge enterprises, most dramatically that of the ironmaster John Wilkinson (1728–1808); but once the machinery was in place, it allowed the use of lower-grade, cheaper ores. Costs fell accordingly, and by the late eighteenth century, the availability of cheap iron made it possible to envision an entirely new range of uses for it.
This enthusiasm for spreading innovations to new economic domains was a further characteristic of the later eighteenth century, and it meant that the industrial revolution transformed numerous areas of the British economy, not just cotton, iron-making, and steam power. Cheap iron, for instance, allowed for the creation of new machine tools, and when combined with steam power, these made possible mechanized production of numerous products that once had been made by hand. Steam power and coal fuel allowed the potter Josiah Wedgwood (1730–1795) to establish mass production processes in making porcelain, until then a luxury good. Inventors began to think about the possibilities of using iron in buildings and ships. Economic transformations of these kinds did not mean the end of small workshops or skilled artisans. On the contrary, the development of machine making required more workshops and highly skilled laborers, and many consumer products lent themselves to small-scale production. Even after the advent of power looms, handloom weavers remained numerous and prosperous well into the nineteenth century. But by 1800 it was clear to all that dramatic change was likely to affect all domains of the economy; technological advances had become normal, and contemporaries expected that it would transform new areas of economic activity.
**GEOGRAPHIES**
Overwhelmingly, the technological innovations that marked eighteenth-century industrialization took place in Britain. Understanding this British dynamism has been an enduring historical problem, producing both classic answers and intense debate among historians. Geographical accidents offer one explanation for British success. Britain had abundant supplies of coal of a quality especially well suited to iron production, and its lack of wood forced it to exploit this resource from the seventeenth century on; in contrast, France had plenty of wood and relatively little coal, and Holland had only peat, which could not produce the high temperatures needed for large-scale iron production. As a relatively small island with numerous navigable rivers, Britain also enjoyed the advantages of cheap water transportation, which allowed the development of an unusually well-integrated national market. The remarkable development of seventeenth-century London offered further economic advantages; as the British historian Anthony Wrigley pointed out a generation ago, London offered a large, concentrated market for industrial products, far more important as a share of the nation’s population than contemporary Paris, and it provided a laboratory for new social practices, encouraging both producers and consumers to try out new products. Historians have also noted the chronological accidents that aided British industrial development. During most of the eighteenth century, French economic growth roughly equaled British, but the generation of political chaos that followed the French Revolution of 1789 gave British manufacturers a chance to establish themselves in new markets, with
little competition from continental industry. By the end of the Revolutionary Wars, in 1815, Britain had fully established its economic supremacy in Europe.
Efforts to explain British economic successes in terms of culture, politics, and social organization have stimulated more debate among historians. In its social structure, Britain was as aristocratic as other European countries, and its merchants were as eager as merchants elsewhere to achieve acceptance among the landed gentry. But the British aristocracy was probably unusual in the respect that it accorded commerce and manufacturing, and the gentry-dominated British Parliament energetically defended commercial and manufacturing interests against foreign competition. British law was certainly unusual in the protections it gave inventors and property holders. Between 1624 and 1791, Britain was the only European nation with a system of patent laws, designed to give inventors the profits of their achievements. The system both encouraged innovation and expressed British society’s admiration for it. In other respects, however, differences between Britain and other countries were less significant. Acquisitive, profit-oriented economic attitudes characterized most of eighteenth-century Europe; and Britain was like other Protestant countries of the early modern period in having a relatively well-educated working class. As for advanced education in the sciences and engineering, eighteenth-century Britain lagged well behind France.
By the late eighteenth century, Britain was also Europe’s leading imperial power, holding territories in North America, the Caribbean, and India, and benefiting from the trade in African slaves. Many historians have seen in this global power a further important explanation for British industrialization. Colonies, they have argued, offered raw materials at a discount and ready markets for industrial goods, and the high profits generated by colonial trade permitted British merchants to make expensive investments in machines and factories. But recent scholarship has tended to present colonial markets and materials as only a secondary cause of British economic successes. Few historians would deny the capacity of eighteenth-century imperialism or the determination of British governments to use any means that might advance the country’s economic interests; to protect domestic cotton manufacturers, for instance, importation of Indian cloth was rigorously prohibited. As the Spanish empire of the sixteenth century had demonstrated, however, colonial possessions were no guarantee of industrial development; and the profits of colonial trade were not especially high in the seventeenth and eighteenth centuries. The critical fact in Britain’s economic development seems to have been the demand for goods within the country itself and the readiness of manufacturers to use novel means to meet that demand. Colonialism perhaps mattered less as a source of capital than as a source of economic novelties, encouraging Europe as a whole and Britain in particular to undertake business innovations. Such colonial products as tea, coffee, tobacco, and sugar were among the early mass-market luxuries that became the model for later industrial production. More substantial goods like Chinese ceramics and Indian cotton fabrics stimulated determined, and eventually successful, efforts at imitation. The eighteenth-century global economy thus helps to explain Britain’s industrialization; indeed, based on a product that did not grow in Europe, the cotton industry itself was only conceivable in the setting of a global economy. But the critical fact was manufacturers’ readiness to respond to opportunities that the global economy presented.
THE EXPERIENCE OF WORK AND THE ORGANIZATION OF SOCIETY
“Everything that is solid melts into air,” wrote Karl Marx to describe the changes that he saw accompanying the industrialization of Europe. Until well after World War II, most historians of the industrial revolution shared Marx’s sense of the period as one of overwhelming social change, both positive and negative. Like contemporaries, historians have been dazzled by the wave of new products and processes that the period brought forth during what Mokyr has called “the age of miracles.” Historians have also been struck by the new kinds of work organization that machines required. Preindustrial work tended to be individualistic, with workers setting their own pace; in cottage industry, moments of intense activity alternated with moments of relaxation, and as independent contractors, workers could take on as much work as they chose. Factory work allowed for no such freedoms. Work had to be continuous and coordinated if investments in steam engines, machinery, and buildings were to pay off. Labor discipline thus represented an important aspect of the transition to the factory system; for many ordinary people, this was the point at which clock time became an essential component of daily life and the pocket watch the sign of one’s responsibility. The role of skill also diminished in the factory setting. What was needed was someone to tend machines, and this could just as easily be children as adults. Deskilling of this kind represented a loss of both status and income to workers who had been used to the freedom of working on their own. Having reduced the role of skill, factory owners could effectively control the wages they paid; an unskilled worker dissatisfied with his income could easily be replaced by another.
On the other hand, much recent scholarship has drawn attention to continuities between the preindustrial world and what followed, and to the complexities of industrial development itself. As a result, this line of scholarship has offered more nuanced views of the society that early industrialization produced than were previously available. One reason for this caution has been historians’ growing knowledge of preindustrial economies, both in Europe and in the world at large. These economies were capable of considerable growth, and they offered their inhabitants considerable material abundance. Rather than a complete break with the past, therefore, the industrial revolution in significant ways represented a culmination of earlier developments. Historians have also given more attention to the survival of small workshops and skilled work during the industrial revolution. Because the factory system relied so heavily on complex machinery, it created whole new forms of skilled labor in the trades that built and maintained machinery. Small workshops thrived in many other developing trades as well, notably those that produced small metal goods like buttons, buckles, cheap jewelry, guns, and so on, trades that employed about half the workforce of Birmingham, one of Britain’s most important industrial cities. The historian Maxine Berg has shown that even the introduction of steam power did not bring the factory system to these trades; instead, several small workshops could share the power of a single steam engine, for instance by renting space in a large building. Even the early textile factories retained some aspects of preindustrial work organization. Family relations continued to count in the factory, and for many manufacturing processes small groups needed to work closely together.
In one respect, however, traditional depictions of industrialization retain their full force: already in late eighteenth-century Britain, early industrialization had created zones of intensive industrial activity that grouped together mining, metallurgy, and a variety of related trades, creating a new kind of physical environment and new social relations. Coal was expensive to transport, and breakage during shipment made it useless in the blast furnaces that produced wrought iron. It thus proved economical to concentrate iron making near the coal fields, and other industrial processes tended to follow. Cotton textiles tended to concentrate also, around the fast-growing city of Manchester, while metal working developed in the city of Birmingham. With the expansion of these highly developed industrial centers, the more evenly dispersed industrial activity of the early eighteenth century tended to disappear. A number of regions that had been important manufacturing centers in the early modern period returned to purely agricultural pursuits, while the new industrial zones became crowded with manufacturing activities, reducing any mixture with agriculture to mere vestiges. Contemporaries found these new industrial regions appalling. As rapidly growing new towns, they lacked basic services and traditional forms of social organization. The combination of haphazard development, inadequate water supplies, coal smoke, and industrial wastes made them unhealthy, and contemporaries believed that the social conditions of industrial life added to the problem. Young people, for instance, earned wages that freed them from the controls that parents earlier exercised over them, and allowed them to indulge in a variety of unwholesome pastimes; they had little or no time for school. Industrial zones like these were genuine challenges to the established order of European society. They offered the spectacle of new disorder among laborers—and of new wealth among factory owners. From a modest background, Richard Arkwright became extremely wealthy from his cotton-spinning mills, and made a point of displaying his wealth in conspicuous ways. He was only one of many industrialists to do so.
But historians have become cautious in interpreting descriptions of this sort, and more alert to the ideological commentaries they contained. If observers were impressed at the forms of misbehavior that characterized the new industrial towns, this to some extent reflected their fears of social change and their inability to see the social relationships that in fact characterized them. It also reflected their limited attention to the evils of preindustrial work, which was altogether ready to employ women and children. Despite their unhealthy conditions, the new industrial centers paid high wages and attracted workers. In the same way, the dramatic rise of new fortunes from industry to some extent obscured from contemporary observers the ability of old elites to profit from economic innovation. Britain’s great aristocrats were especially well placed to benefit from the development of mining and metallurgy, controlling as they did many of the country’s coal deposits; during the eighteenth and early nineteenth centuries, they showed themselves alert and inventive in profiting from these opportunities, so that their wealth rose in tandem with that of the new industrialists—allowing them to continue dominating Britain’s politics down to the eve of World War I. Historians have demonstrated similar adaptations in continental Europe, with old ruling groups effectively profiting from industrialization. If the industrial revolution helped bring the early modern period to a close, it thus also preserved some of that period’s characteristic forms of social organization.
See also Clocks and Watches; Industry; Laborers; Mining and Metallurgy; Proto-Industry; Textile Industry.
BIBLIOGRAPHY
Adas, Michael. *Machines as the Measure of Men: Science, Technology, and Ideologies of Western Dominance*. Ithaca and London, 1989.
Berg, Maxine. *The Age of Manufactures, 1700–1820*. New York and Oxford, 1986; 2nd edition, 1994.
de Vries, Jan. *The Economy of Europe in an Age of Crisis, 1600–1750*. Cambridge, U.K., 1976.
———. “The Industrial Revolution and the Industrious Revolution.” *Journal of Economic History* 54, no. 2 (June 1994): 249–270.
Deane, Phyllis. *The First Industrial Revolution*. Cambridge, U.K., 1965; 2nd edition, 1979.
Gutmann, Myron. *Toward the Modern Economy: Early Industry in Europe, 1500–1800*. Philadelphia, 1988.
Landes, David. *The Unbound Prometheus: Technological Change and Industrial Development in Western Europe from 1750 to the Present*. Cambridge, U.K., 1969.
Mokyr, Joel. *The Lever of Riches: Technological Creativity and Economic Progress*. New York and Oxford, 1990.
Pomeranz, Kenneth. *The Great Divergence: China, Europe, and the Making of the Modern World Economy*. Princeton, 2000.
Reddy, William. *The Rise of Market Culture: The Textile Trade and French Society, 1750–1900*. Cambridge, U.K., and New York, 1984.
Thompson, E. P. *The Making of the English Working Class*. London, 1963; 2nd edition, 1972.
JONATHAN DEWALD
INDUSTRY. The subject of industry is part of the general pattern of economic development in the early modern period. This development had three basic phases: the first, a period of expansion running from the middle of the fifteenth century through to the very end of the sixteenth; the second, a long stagnation during the seventeenth century that lingered well into the eighteenth; the third, an upswing beginning no earlier than 1730 and perhaps as late as 1750.
The first period began with signs of recovery from the long recession associated with the Black Death (1348–1350) and its recurrent visitations. Among the most significant of those signs were population growth and overseas expansion, particularly the influx of precious metals from the New World. The stagnation of the seventeenth century was marked by the disruption of markets in central Europe by the Thirty Years’ War (1618–1648), and by the continued decline of the Mediterranean region. Nevertheless, England and Holland enjoyed continuing economic growth during this period, especially in manufactures, which held significant implications for the future. The upturn of the eighteenth century was sustained by the breaking of the vicious circle of uncertainty created by war, famine, and plague in the preindustrial era. The eighteenth century is the only one to which the term *industrialization* may reasonably be applied, and then perhaps only to the machine tool inventions and eventually the steam power that were beginning to change the processes of production in Britain.
It is also vital to take careful account of fundamental continuities throughout the period in order to keep the scale of industrial activity in proper
proportion. An industrial sector did not exist in its own right but was part of a complex network linking the needs of people in different regions. Villagers needed their cobbler, smith, miller, and butcher. The workshops of the towns were much smaller in scale than the industries of the mountains—mining, smelting, and quarrying. Some urban merchants employed and thus controlled large numbers of workers in rural areas. Throughout the following discussion, it is essential to remember that industry cannot be viewed in isolation from the gradual unfolding of commercial and agricultural circumstance or from social and political evolutions, both planned and unplanned, for industry was in part shaped by these and in turn helped to shape them.
**RURAL ECONOMY**
In seeking to locate industry in the early modern economy, therefore, several observations must be made. First, whatever the signs of industrial growth, it was the condition of the rural economy that most affected everyday life. Moreover, concentrations of labor on a truly “industrial” scale were to be found not in the cities but in the serf-based manorial estates of the landlords of eastern Europe. Harvest failure was the trigger of social unrest—as was to be proved in 1789 and 1848. Even in the nineteenth century, something like 70 percent of the urban wage was spent for bread. Second, industrial activity must be seen in relation to the predominance of commerce at the international level and to artisan manufacture in urban workshops. Put another way, the possibilities of “mass production” were very limited. The only goods produced mechanically in identical form were coins and printed books. Third, evidence of “industrialization” was patchy and confined to specific regions and cannot be seen as a truly European phenomenon until well into the nineteenth century.
In turn, this means that the idea of “the rise of the bourgeoisie” as a social phenomenon in the early modern period must be used with great caution—if at all. The social structure fundamentally lacked the plasticity that began to manifest itself only in eighteenth-century Britain. Put more directly, society was still essentially composed of estates, and the old feudal vision of the three orders—clergy, nobility, and those who lived by their labor—still prevailed. Those who prayed (*oratores*) sanctioned the social predominance of those who fought (*bellatores*), while those who worked (*laboratores*) owed their masters labor in return for protection and prayer. The overthrow of this model was the aim—very imperfectly achieved—of the revolutionaries of 1789. Even at that late date, there seemed to be little room in the recognizable social hierarchy for the towns, the state, or the women. Status was a question of function or of birth rather than of money. The church was suspicious of profit, and nobles disdained commerce and handicrafts as unworthy. It is essential to be aware of the social matrix as resistant and often overtly hostile to capital and manufacture. This overrides—and in many ways overwhelms—any scattered examples of the confrontation of capital and labor. By this reasoning, any connection between the “Protestant ethic” and the “spirit of capitalism” must be set in the context of a world in which something approaching 90 percent of the population were peasants.
**THE ROLE OF THE STATE**
There is also a fundamental paradox in the subject. While industrial activity is usually linked to capitalist free enterprise, the concentration of human and material resources on an unprecedented scale in the early modern period was usually the work of the state. The growth of European armies in the period was staggering, and the state’s monopoly on the means of destruction is far more noticeable than the ownership of the means of production by a capitalist entrepreneur. In their scale and power, the new militarized states of the early modern era dwarf any industrializing tendencies in manufacture at that time. Louis XIV of France (ruled 1643–1715) had something like 400,000 men under arms in 1700. The unit of manufacturing production, the urban workshop, rarely exceeded a dozen members. When Louis’s minister Jean Baptiste Colbert sought in 1673 to reform manufactures with an edict and with policies often described as “mercantilist,” armaments and gun foundries began to employ hundreds of workers. Even so, they did not form anything approaching an industrial proletariat. Instead, they were a privileged category of labor subsidized by the state.
The theme of paradox may be extended and strengthened. Too often, and for too long, historians have sought the seeds of the industrial world in the early modern era, and terms such as *preindustrial* and *proto-industrialization* imply some sort of primitive rehearsal for the real thing, which is unhelpful. When considering industrial activity before the industrial revolution, it is essential to be aware of two abiding problems: teleology and anachronism. The teleology insists upon the gradual but inevitable development of a capitalist “world system” and a capitalist civilization, ideas that identify the early modern period as marking a “transition from feudalism to capitalism” in the European economy. Instead, industry in the early modern era should be understood in relation to precedents, precocities, false dreams, and blind alleys. The Middle Ages had experienced its own “industrial revolutions”: in the smelting of base metals in the later twelfth century, for instance, and in the introduction of the fulling mill in textile manufacture at about the same time. Moreover, the great cloth towns of Flanders and Italy had witnessed, in the later fourteenth century, startlingly “modern” confrontations of the labor force and the bosses as wage laborers and owners of the means of production clashed in conflicts that bore the features of “class war.” Anachronism—the application of terminology and concepts inappropriate to the early modern period—is a common fallacy in our own “post-industrial” era. The modern tendency to describe virtually any economic activity as an industry—for example “farming industry,” “food industry,” “tourism industry,” “music industry,” or “film industry”—has no relevance to the early modern era and can prove very misleading. In the early modern world, “industry” was a quality, not a sector of the economy. In the Renaissance, an *ingegnere* was not so much an “engineer” in the modern sense as someone marked out by their *ingegno*, which meant “talent” or “genius.”
**LARGE-SCALE INDUSTRY**
With those qualifications in mind, “industry”—meaning a large-scale enterprise concentrating a numerous work force that is dependent on the owner of the means of production—is applicable in the early modern era to three major economic activities: mining, building (including shipbuilding), and textiles. These were not exclusively urban activities: mining and some processes of textile production were carried out in rural areas, and the workforce often consisted of peasants. Indeed, concentrations of peasant labor—as in the case of the millions of serfs in the great manorial estates of central and eastern Europe—often seem to provide the prototype for the exploitation of labor on a truly “industrial” scale. More starkly still, the mines in the New World, where millions of people from the indigenous population were literally worked into the ground at the will of their Spanish lords, set a pattern for factory production that was perhaps re-exported to Europe via the plantation.
Both in eastern Europe and in the New World, therefore, large-scale enterprises were run by essentially “feudal” lords. Somewhat surprisingly, in western Europe at the same time, industrial activity involved the state in a central coordinating role. The most precocious example of this pattern is to be found in the Arsenal of Venice, which concentrated resources on a scale impossible for private enterprise. The Arsenal was the largest industrial complex in the preindustrial era. It employed some five thousand workers (some estimates are three times that figure) as carpenters, caulkers, and makers of sails (many of whom were women), rope (in a factory of some one hundred workers), and oars. Rather than being a repressed proletariat, the workers known as the *Arsenalotti* were highly skilled and were something approaching an “aristocracy of labor.” They formed the personal bodyguard of the doge on ceremonial occasions. The shipyards produced more than half the Christian fleet of more than two hundred galleys that defeated the Turks at Lepanto in 1571. Three years later, the workforce demonstrated that they could fit out a galley in the time it took for the Republic’s honored guest—on his way to being crowned Henry III of France in 1574—to dine.
Venetian warships protected and advanced the material interests of the republic in a precocious colonial empire run along mercantilist lines in the Middle Ages. However, the first phase of economic expansion in the early modern period, sometimes referred to as the “long” sixteenth century, witnessed significant developments in patterns of demand that had new implications for manufacture. The increase in population was especially marked in towns, and city-dwellers were, in some important ways, the material beneficiaries of the Renaissance and the Reformation.
**LUXURY GOODS**
The mercantile wealth of cities and the new educational opportunities for the laity brought about a considerable increase in demand for inessentials—goods that went beyond the fundamentals of food, clothing, and shelter. There were new delights in household furnishings and the embellishments of the interior: compare the cool and simple lines of an interior in fresco by Giotto from the fourteenth century with the swaggering opulence of a Holbein from the sixteenth. From the fifteenth century onward, tapestries, furniture, tableware, paintings, porcelain, and metal goods were symptoms of changes in material culture, which scholars now see as significant generalized manifestations of the cultural achievements of the Renaissance. In Florence, a wedding chest for the bride or a birth tray for the newborn child might be decorated by Ghirlandaio or Botticelli, and the fireplace or the dining room might be graced with majolica inspired by the designs of Andrea and Luca della Robbia. Candelabra, lanterns, locks, scales, and weights, along with warming pans and scissors, were the specialist wares of Nuremberg. Moreover, as the period unfolded, such developments were not confined to towns. As the power of the state advanced, the country house came to replace the fortress in the lifestyle of the nobility. In terms of demand and manufacture, we might ponder the significance of replacing defensive walls with glass windows.
**GUILDS**
Whatever the changes in taste and demand, it is essential to bear in mind that the processes of production remained in traditional patterns associated with medieval guilds and the workshops that they regulated. The complexity and rigor of a workshop training ensured passage from apprenticeship to mastery through the submission of a “masterpiece” for examination, using materials inspected by the officers of the guild. This was an assurance of the quality of workmanship. Thus, in Nuremberg, clockmakers had to produce a standing timepiece that struck the quarters and the hours with different rings, with mobile representations of the Sun and Moon along with the date and the positions of the heavenly bodies, as well as a watch that was worn round the neck and operated as an alarm clock. Each master had to be able to practice a trade with his own hands. Handicraft training thereby acted as protection against overconcentration of labor in dependence on a single capitalist. Day laborers worked as “journeymen” within the workshop. Their position was more vulnerable than that of the apprentice, and they could easily join the ranks of the poor in the event of a sudden downturn in demand. In Lyon and in Venice, however, there is plenty of evidence to suggest that journeymen had their own robust organizations and social networks.
The traditional structures of guilds and workshops were not as hostile to technical innovation as once supposed. Nuremberg provides a fascinating case history of technological changes in the production of metal goods and the development of new possibilities in the making of scientific instruments and weaponry, still very much within the traditions of the corporate structures of guilds. However, the printing of books marked the beginning of a revolution in communications that has persisted through
the industrial and postindustrial eras. In the workshop of Aldus Manutius (c. 1450–1515) in Venice in the early sixteenth century, artisans rubbed shoulders with great writers such as Erasmus in an extraordinary combination of the refinedly learned and the strictly practical. Manutius’s invention of the elegant italic script made possible the pocket edition with important implications for price and accessibility. The revolutionary quality of book production demanded a new organization of labor. Market forces began to intrude on the workshop. In Lyon in the 1560s fierce competition between groups of journeymen drove wages down as each group sought to outdo the other. Their conflicts were exacerbated by religious differences, a feature that sets them firmly in their time, but there was a clear pointer to the future in the recasting of relations between workers and bosses.
While the printed word is rightly seen as crucial to the spread of the Reformation, one should also bear in mind the significance of the press in spreading new techniques and ideas. Among the most notable works in this category were the *De Re Metallica* (Concerning metals) of Georgius Agricola (1494–1555), and Vannoccio Biringuccio’s (1480–1539) studies of industrial chemistry in *Pivotechmia* (1540; The art of fireworks). This influential work included studies of gunpowder technology and typecasting, which can still be regarded as the symbols of a new age. Other works spread knowledge of precision instruments: one thinks here of Galileo’s writings on telescopes.
**PATTERNS OF PRODUCTION**
However, most such treatises were not strictly instructional manuals but aimed to flatter their princely dedicatees. There is no simple causal connection to be made between the new ideas of the seventeenth century and changing patterns of production. Indeed, it should be emphasized that the scientific revolution of the seventeenth century occurred in a period of economic stagnation and had little immediate impact on production processes. Moreover, in some places, traditional structures took on a new social and political significance. Guilds were organizations that could offer young, unattached males (a group vulnerable to natural decrease) shelter, training, and work. That work might be shared, a further safeguard against abject poverty. In Nuremberg in 1556, eleven workshops of cloth shearers deposited their profits with the Sworn Master who divided up the total “in such a way that the highest producer and the lowest producer get each an appropriate share.” In seventeenth-century Leiden, guild structures remained buoyant and vital during the city’s growth from twelve thousand people in 1582 to seventy thousand by 1660. By that time, its workshops were producing 130,000 pieces of cloth per year. The provision of work and forms of social insurance took considerable pressure off the limited welfare available from the city authorities. Within the age of economic stagnation, demand for luxuries continued to expand. A vast concentration of labor and materials produced Versailles for Louis XIV, and Christopher Wren (1632–1723) was to remark that scarcely a surface could be found in the palace that did not support some decorative object. The extraordinary project, far from looking forward to a new age, looks back to the two thousand or so workers on site for the building of the new St. Peter’s in Rome in the mid-sixteenth century. Versailles itself was to become a symbol of the *ancien régime*.
At a much more humdrum level, many of the most important changes in patterns of production in the seventeenth century are summarized by the term *proto-industrialization*. This is a term to be used with caution, since its explicit sense of being a rehearsal for industrialization “proper” is strongly tinged with the teleology mentioned above. However, it is a concept that takes careful account of new forms of the organization of production associated especially with “putting out” or the “domestic system” in the manufacture of cloth. This is helpful to an understanding of early modern industrial activity because it seeks to trace economic change over the broad long term rather than in relation to technological invention. The new organization of production took shape roughly in the following manner. As economic conditions tightened, merchants sought ways to avoid the overheads—particularly high wages—that guilds jealously protected in towns. Instead merchants offered work—especially spinning and weaving—to people who worked at home in rural areas, where such work was a welcome source of supplementary income. The decline of certain urban centers was sometimes startling. In 1612
Augsburg had more than three thousand master weavers, but barely four hundred by 1720. However, there were clear logistical limitations to putting out work in this way. Quality was difficult to control (a serious disadvantage when compared with urban workshops and guild regulation), pilfering was widespread, and the coordination of the delivery of raw materials and the collection of finished products over relatively long distances was slow and difficult.
Nevertheless, “putting out” was an important underpinning of the production of the so-called “new draperies” in England and the United Provinces. These cloths were light kerseys and worsteds that proved much cheaper than the heavier traditional broadcloths and enabled northern merchants to penetrate the markets of the Levant, to the detriment of centers such as Venice. In fact, Venetian broadcloths remained competitively priced throughout the seventeenth century—but for the tax that the government imposed upon them. That said, during the early modern period, the Venetian economy experienced a huge shift (which its guild system seems to have fostered) from manufacture to retail and services. In terms of production, the balance of economic predominance moved to the north.
The emergent capitalism of seventeenth-century Amsterdam was tied to the extension of the vast serf estates in all the lands that might send grain to Gdańsk (Danzig) in the willing barges of the Dutch. Having thrown off the yoke of the Spanish monarchy in 1648, the Dutch developed the most enterprising, tolerant, “bourgeois” society of the early modern era. And—within the context of their times—they were great industrialists. Peter I the Great of Russia (ruled 1682–1725) visited Amsterdam to find out how to build his ships. Leiden was one of Europe’s leading centers of textile production. Dutch entrepreneurs organized the exploitation of the copper mines and iron foundries of Sweden. Dutch printing presses produced some of the seminal works of the scientific revolution and the Enlightenment, and Dutch telescopes and maps furthered overseas commercial interests.
However, the interiors painted by the great Dutch artists show a cultivated taste for comfort—clothing, drapes, tiles, wall hangings, musical instruments, furniture and glass—that only the highest standards of manufacture could sustain. Workshops continued to depend on the appropriate guild’s stipulations for training, and the units of production remained small: a workforce as large as fifty people in a glassworks was quite exceptional. In some ways, then, the expansion of the Dutch economy in the seventeenth century may be seen as the culmination of the “material Renaissance” rather than a foreshadowing of the industrial world. The United Provinces played no significant role in the launching of the industrial revolution. The chief reason for this appears to be environmental accident. The Dutch had plenty of peat, but no coal, and peat cannot generate sufficient heat to smelt iron. In England, by contrast, albeit from a very small initial base, domestic coal output rose by 1,400 percent between 1560 and 1690. This was the basis of what is sometimes known as “carboniferous capitalism.”
**THE EIGHTEENTH CENTURY**
Many more statistics and data are available from the eighteenth century than from the preceding period. It is important, therefore, not to exaggerate the nature and scale of change in the era because in reviewing the evidence we may not always be comparing like with like. Yet some cautious generalizations are possible. First, wars became more disciplined, and a clearer distinction developed between military and civilian spheres. Climatic conditions marked a distinct improvement over the “Little Ice Age” of the seventeenth century, making for fewer disastrous harvests. Plague made its last visitation (though no one could have known that it would not return). The chances of survival were greater, and the resultant population expansion known as the “vital revolution” has continued into modern times. There were new concentrations of demand for products, and again the political dimension is essential here since urban growth was particularly marked in the case of capital cities. Following its foundation in 1703, St. Petersburg grew to 220,000 people by 1789, Berlin grew from 8,000 people to 180,000, Paris had more than 500,000 inhabitants by the late eighteenth century, and by then perhaps 900,000 people lived in London. Such expansion dramatically increased the available labor force, and challenged guild monopolies (which were often limited in jurisdiction to the area within
the old city walls). Considerable improvements were made in communication and distribution between such centers, too, brought about in Britain in particular by vast programs of canal building and road construction. The broader potential of expansion was boosted by the underpinning of state banks—in England in 1694, Scotland 1695, Prussia 1765, and France 1776.
However, the new concentrations of labor in the same workplace provide the most potent signs of industrialization. Whether we cite the two thousand people who worked for the Wilkinson foundry at Bersham, or the 300,000 workers in the mines and forges of the Urals, such numbers are considerably higher than what was usual in the earlier part of our period. However, it is in textile production that the reorganization through concentration was most marked. Nowhere was it especially sudden, and it is important to acknowledge its beginnings in the seventeenth century in regions such as northeastern France, Westphalia, Silesia, Saxony, Flanders, and the West Riding of Yorkshire in England. The rural dimension of production remained highly significant. Even in the 1780s, 73 percent of all the looms in Picardy in France were located in rural areas. In 1748 in Silesia, 81 percent of all the linen produced was made in the countryside. By mid-century in Sedan, twenty-five merchants were employing around 15,000 people. In 1765, one Prussian *Manufaktur* employed more than 750 workers in the same place. In Abbeville, after Anne Robert Jacques Turgot’s abolition of France’s old corporations in 1776, the Van Robais Company had ten thousand employees in domestic industry, but also eighteen hundred working under one roof.
Striking evidence can be found of dramatic increases in textile production. French cloth production rose 126 percent between 1700 and 1785, and Scottish linen production increased sevenfold between 1730 and the end of the century. While the production of English woolen cloth doubled, it soon became clear that cotton would be king. Britain imported a million pounds of it in 1700, and 15 million in 1780, a figure that had doubled to 30 million by 1789. Cotton cloth was to be the first sizeable industry of the industrial revolution, depending as it did on mechanical inventions, notably James Hargreaves’s spinning jenny (c. 1764; patented 1770), Richard Arkwright’s waterframe (patented 1769), and Samuel Crompton’s mule-jenny (1779). However, the china factories of Dresden prove that new patterns of production were not entirely confined to textiles in Britain, and signs of the development of industrial regions can be found not just in the north of England, but also in Biscay and in Catalonia.
Soaring production was accompanied by falling prices. It is appropriate to quote Adam Smith, who remarked in *Inquiry into the Nature and Causes of the Wealth of Nations* (1776) on the price of a watch, for it seems to symbolize a reshaping of the relationship between time and money. At the beginning of the early modern period, merchants were still hemmed in by church teaching—and laws—on usury. Traditionally, time belonged to God, and to make money over time was to appropriate what belonged to God. Such action was an expression of pride, the capital sin of Lucifer. By the last quarter of the eighteenth century, trade and manufacture, with the profit and prosperity they generated, were celebrated as an expression of humanity’s control over the world and its resources. This in turn was the result of the scientific revolution of the seventeenth century with its new emphasis on direct observation and material demonstration. In the Enlightenment of the eighteenth century, these ideas began to find more extensive application. Smith wrote, “the diminution of price has, in the course of the present century, been most remarkable in those manufactures of which the materials are the coarser metals. A better movement of a watch, that about the middle of the last century would have been bought for 20 pounds, may now perhaps be had for 20 shillings.”
This confidence in the direction of things seemed to be reflected in the physical environment. Apothecaries’ shops and candlemakers continued in their traditional ways in Shropshire, but they now stood in the shadow of a coal mine and close to Europe’s first iron bridge—which gave its name to the town (Ironbridge). However, as the new era of mechanical progress opened, abrupt changes in the workplace and in the natural landscape made the new mills—at least to Luddites and saboteurs—look dark and satanic.
*See also* Agriculture; Capitalism; Commerce and Markets; Feudalism; Guilds; Industrial Revolution; Laborers;
INFLATION. Inflation is a long-term, sustained rise in the general level of prices, as measured by a consumer price index. For early modern European history, the best known of these are the “basket of consumables” indexes devised by Earl Hamilton for Spain (for the period 1501–1650), by Henry Phelps Brown and Sheila Hopkins for southern England (1264–1954), and by Herman van der Wee for the Antwerp-Lier-Brussels region of Brabant (1401–1700). In European economic history, undoubtedly one of the longest and certainly the best-known era of inflation was the so-called price revolution of circa 1515–1650 (See Table 1). If we take the decade 1501–1510 as the base, for which the average price index in all three regions equals 100, and then calculate five-year means of these price indexes, we would find, by the final quinquennium 1646–1650, that the Spanish index had risen to 457.09; the English index to 697.54; and the Brabantine index to 845.07 (i.e., an 8.45-fold increase). Thus, one may observe that, during this 135-year period, inflation was a Europewide phenomenon, but that its intensity and impact varied by region, according to local circumstances. Thereafter, prices fell in most of western Europe, as, by 1656–1660, to an index of 614.45 in Brabant and to 569.56 in England.
REAL (DEMOGRAPHIC) AND MONETARY FACTORS IN INFLATION: THE EQUATION OF EXCHANGE
In the literature of early modern economic history, the predominant though quite misleading explanation for this inflation has been population growth. To be sure, population growth, acting upon relatively fixed (inelastic) land and other natural resources, resulting in diminishing returns and rising marginal costs, may well explain the rise in the relative prices of some specific commodities, such as grain and timber (whose English prices did rise the most over this 130-year period). But demographic factors alone cannot explain a rise in the price level; for inflation is fundamentally though not uniquely monetary in origin and character. Indeed, since England’s population in the early 1520s was only
about 2.25 million, evidently less than half the late-medieval peak of about 5.0 million in 1300, it is inconceivable that any renewed population growth in the following three decades could have produced the ensuing inflation, by which the mean price index more than doubled, to a mean of 218.12, in the quinquennium 1546–1550.
The relationship between monetary and so-called “real factors” (population, investment, technology, trade) can be best expressed by the Equation of Exchange, $M.V = P.y$, which is a modified version of the famous Fisher Identity. On the right-hand side, $P$ stands for the price level, as measured by one of the aforementioned “basket of consumables” indexes; and $y$ represents the real (deflated) value of net national income ($NNI = \text{net national product} (\text{NNP} = \text{Gross National Product minus depreciation})$, replacing the unmeasurable $T$ (total transactions) in the original Fisher Identity. On the left-hand side, $M$ is the total stock of available money, which, in this era meant gold and silver coins, supplemented by some credit instruments; and $V$ represents the income velocity of money: the rate at which a unit of money (e.g., the silver penny) circulates in producing aggregate national income $y$.
A much earlier generation of economists had quite fallaciously believed that both $V$ and $T$ (or $y$)
were fixed, at least in the short run, so that changes in the quantity of money M necessarily produced a proportional change in the price level P. But since all four of these variables are in fact always variable, an increase in M need not produce any inflation, because it could be offset by a fall in V and a corresponding rise in y, that is, by stimulating real economic growth. Indeed, Keynesian economists believe that, since a high level of V reflects society’s efforts to economize on scarce stocks of money, an increase in M should be offset by some fall in V, a theorem that can be historically demonstrated for much of western Europe from the thirteenth to nineteenth centuries, with one significant exception: the price revolution era, when V may have doubled.
For this era, we may conclude that the product of M.V ultimately expanded to a greater extent than did the real growth of national income y (or NNP), so that inflation (rising P) ensued. Population growth (more than doubling, in England, to 5.60 million by 1681) may have played a dual role in this inflation: by inducing diminishing returns and rising marginal costs in the agricultural and extractive industries, thus restricting the rate of economic growth; and by inducing a rise in V (income velocity), through changes in demographic structures (higher dependency ratios) and market structures, with increased urbanization and commercialization.
**THE CAUSES OF THE EUROPEAN PRICE REVOLUTION, 1515–1650**
But if the crude quantity theory of money is historically fallacious, nevertheless changes in money stocks and money instruments do remain paramount in explaining the price revolution. Monetary expansion in fact had begun far earlier, with Portuguese imports of West African gold from the 1460s, but most especially with the central European silver-copper mining boom, also from the 1460s. It may have increased European silver stocks fivefold by the 1540s (to possibly 90,000 kg per year); and a considerable stock of underutilized resources may explain why inflation did not ensue until after 1510. Only from the 1540s did an influx of Spanish American silver become truly important, with imports rising from an annual mean of 16,816 kg in 1541–1545 to a peak of 273,705 kg in 1591–1595 (223,027 kg in 1621–1625). But of equal monetary importance was a veritable financial revolution in negotiable credit, established in the Habsburg Netherlands and England from the 1520s: with effective institutions for legally enforceable transactions in negotiable bills of exchange, bills obligatory (promissory notes), and government annuities (*rentes*). Indeed in Habsburg Spain the issue of negotiable annuities (*juros*) (many of which were traded on the Antwerp Bourse) rose from 3.6 million ducats in 1516 to 80.4 million ducats in 1598 (death of Philip II). The impact of such changes in both private and public credit increased both the effective money supply and certainly its velocity of circulation.
One may therefore wonder why the degree of inflation was so much less in Spain than in the Netherlands (Brabant) and England. The principal reason lies in another monetary factor. For coinage debasements were absent in Spain before 1597 but had become quite drastic in sixteenth-century England (“Great Debasement” of 1542–1552) and in the southern Netherlands (less drastic, though more prolonged). Furthermore, credit undoubtedly played a smaller role in the relatively undeveloped Spanish economy.
**THE CONSEQUENCES OF THE EUROPEAN PRICE REVOLUTION**
Only a summary of the consequences of inflation may be suggested here. In general, inflation redistributes income from wage earners and those living on fixed incomes, especially landowners with many hereditary tenures, or leaseholds on long-term contracts, to merchants and industrialists, in particular. Many in the latter group certainly benefited from a general lag of wages behind prices, even if industrial prices rose much less than did grain prices; and, given the vital importance of capital in the economy, most merchants and industrialists benefited from a fall in real interest costs, all the more so since nominal as well as real interest rates fell over this entire period throughout western Europe. Many peasants or small landholders also gained, insofar as their rents remained fixed, while the prices of the products that they sold in the market continued to rise. On the other hand, some undoubtedly did suffer the consequences of population growth, at least in areas of partible inheritance, which thus meant a significant subdivision of holdings. A balance sheet of winners and losers from inflation
would be most difficult to construct for the price revolution era.
See also Capitalism; Economic Crises; Landholding; Money and Coinage; Peasantry.
BIBLIOGRAPHY
Fisher, Douglas. “The Price Revolution: A Monetary Interpretation.” *Journal of Economic History* 49 (December 1989): 883–902.
Goldstone, Jack A. “Urbanization and Inflation: Lessons from the English Price Revolution of the Sixteenth and Seventeenth Centuries.” *American Journal of Sociology* 89 (1984): 1122–1160.
Lindert, Peter. “English Population, Wages, and Prices: 1541–1913.” *Journal of Interdisciplinary History* 15, no. 4 (spring 1985): 609–634.
Mayhew, Nicholas. “Population, Money Supply, and the Velocity of Circulation in England, 1300–1700.” *Economic History Review*, 2nd ser., 482 (May 1995): 238–257.
Munro, John. “The Monetary Origins of the ‘Price Revolution’: South German Silver Mining, Merchant-Banking, and Venetian Commerce, 1470–1540.” In *Global Connections and Monetary History, 1470–1800*. Edited by Dennis O. Flynn, Arturo Giráldez, and Richard von Glahn. Aldershot, U.K., 2002.
Outhwaite, R. B. *Inflation in Tudor and Early Stuart England*. Studies in Economic and Social History series, 2nd ed. London, 1982.
Ramsey, Peter H., ed. *The Price Revolution in Sixteenth Century England*. London, 1971.
JOHN H. MUNRO
INHERITANCE AND WILLS. For the overwhelming mass of the population, both rural and urban, early modern material life was anchored in the ownership of fixed capital assets, above all land and buildings. The perpetuation of society depended upon the transmission of these assets from one generation to another, making inheritance (together with marriage, for which inheritance was usually an implicit, and in some cases an explicit, requirement) one of the essential social processes in early modern Europe. Inheritance also had significant, though equivocal, implications for patterns of demographic growth and long-term economic change. Relative to its importance, early modern inheritance remains a subject about which we know embarrassingly little. The prescriptive rules of postmortem succession, codified with increasing frequency from the sixteenth century across the entirety of Europe, have been well studied. At the same time, it has become obvious not only that formal norms were heavily modified by actual practice, but also that postmortem succession was normally only the final stage of a more drawn-out process of generational replacement.
PARTIBILITY
The classic point of reference for the analysis of European inheritance customs is the issue of partibility. Nineteenth-century investigations of peasant inheritance customs in western and central Europe divided the continent into regions of partible inheritance (East Anglia and Kent, Aragon-Castile, Italy, the French Riviera, northern France, the Low Countries, and much of Rhineland Germany) and impartible inheritance (most of the British Isles, Catalonia, southern France, northeastern and southeastern Germany, Austria, and Scandinavia), although there was considerable small-scale regional variation. The historicity of this division is uncertain. It can certainly be dated back to c. 1550–1600, but in some impartible zones like Upper Swabia there is clear evidence of partibility during the later Middle Ages. At least among the European aristocracy (whose inheritance practices are admittedly only an uncertain guide to the customs of commoners), there was a definite drift toward impartibility during the sixteenth century, a trend underscored by a burgeoning legal literature on the practice and ethics of unigeniture (inheritance by a single heir). The reasons for the partibility/impartibility division are less clear. There is considerable truth to the suggestion that impartibility was usually a product of strong feudal overlordship (and the attendant pressure to preserve the integrity of rent-paying units) in regions of arable agriculture, but this is hardly a universal association.
For all the attractive simplicity of the partibility/impartibility division, the reality on the ground was much more complex, and the seemingly stark opposition of the two regimes was in practice mitigated by a host of qualifications. Systems of partible inheritance often explicitly advantaged one heir over the others, a custom known as *préciput* in northeastern France. Even in Normandy, the “egalitarian” obligation to return any premortem
endowment to ensure the absolutely even division of family property at the parent’s death was modified by the exclusion of daughters from inheriting land. Conversely, impartible arrangements in both England and Germany typically required the heir to buy out or otherwise compensate the other siblings (“yielding heirs,” as they were often called in Bavaria) for their exclusion from the family farm. Most inheritance systems, in other words, attempted to strike a balance (often at the expense of the weaker members of the kindred, especially women) between security and equity, between preserving an ancestral property and providing the foundation for the next generation of kin.
Partibility and impartibility are thus best understood as the poles of a continuum of strategies for the regulation of household formation in conformity with the socioeconomic context. Impartibility, however modified, tended to limit the creation of new households by restricting access to property, which helps to explain the spread of such inheritance practices during the demographic surge of the sixteenth century. Partibility imposed fewer restrictions on household formation, and in the case of the German territory of Lower Saxony, it has been demonstrated that regions of partible inheritance experienced significantly higher rates of population growth than regions of impartibility. Variations in inheritance customs had similarly divergent implications for household structure. Despite the overall dominance of nuclear households in early modern Europe, impartible inheritance often led to an extended phase of the household’s life cycle, with either a retired parent living with the principal heir (as in central Europe), or with a number of brothers co-owning an undivided ancestral property (as in Italy or southern France). Regions of partible inheritance were less likely to evince this pattern, as the facility with which children could establish independent households militated against coresidence.
**SPOUSAL RIGHTS**
The recognition that postmortem transfers from parent to child were only one facet of the dynamics of inheritance has in recent years redirected scholarly attention to other aspects of the nexus between kinship and property, in particular to the property rights of widowed spouses. In many regions, especially in urban areas, the property brought by each spouse to a marriage was merged indivisibly, so that in the event of one partner’s death, an irreducible fraction, and sometimes the entirety, of the property devolved upon the survivor (in some regions this merger only took place if there had been issue from the marriage). In some areas (for example, England) the widow’s estate was an interest for her lifetime only, but in many places on the continent (for example, Wallonia) a widow could remarry in situ and effectively disinherit the children from the first marriage. Allowing as it did for the inheritance (albeit temporary, in some cases) of property by women, this widespread custom of “conjugal community” was a characteristic feature of European inheritance practices, marking them off sharply from customs in sub-Saharan Africa and many parts of Asia.
**WILLS**
Given the complex and drawn-out nature of generational replacement in early modern Europe, the will turns out (ironically) to be a much less important instrument of inheritance than might be expected, especially outside of cities. In continental Europe the peasant will was more important for the registration of pious legacies than for the disposition of land. In much of Germany, this latter allocation was normally accomplished by premortem conveyance, while in northern France, a householder was explicitly forbidden to dispose of more than a fraction (one-third in Picardy, Artois, Touraine, Anjou, Maine, and Brittany; one-fifth in the Paris Basin, the Beauvaisis, the Nivernais, and the Orléanais) of his property by will, with the kindred retaining an inextinguishable claim to the remaining “reserve.” Even in southern France, where a Roman Law regime contributed to a more absolute conception of private property, the customs of Gascony and Aquitaine prohibited the alienation of more than a fraction of the testator’s property (in Languedoc, however, a testator was free to convey his property to whomsoever he wished). The most important exception to these restrictions on testator freedom was England, where a long tradition of individualistic property rights was enshrined in the 1540 Statute of Wills, which for the first time legalized the conveyance of land by will. Nevertheless, the theoretical power of an English father to disinherit his children was only rarely resorted to in practice.
*See also Family; Gender; Law; Property.*
INQUISITION. Scholars distinguish between the medieval, or papal, Inquisition, which evolved in the thirteenth century to combat the Cathar heresy in southern France, and the modern Inquisition, reestablished in parts of Europe during the fifteenth and sixteenth centuries.
FOUNDATIONS
The first two modern Inquisitions were established in Spain (1478) and Portugal (1536) to deal with a heresy peculiar to the Iberian Peninsula, Crypto-Judaism, or a reversion to Judaism among converts to Christianity (conversos). To punish this form of apostasy, the Catholic monarchs Ferdinand and Isabella obtained authorization in 1478 from Pope Sixtus IV to establish a new Inquisition in Castile, and later, in 1483, to revive Aragón’s medieval tribunals. Nonetheless, cases of Judaizing continued to occur, so the Catholic monarchs took the extreme decision in 1492 of ordering all Jews to either convert to Christianity or leave Castile. Many Jews crossed the border to Portugal to join the large numbers of conversos who had already fled there from Spain. In 1496, the king of Portugal, John II, ordered the expulsion of Jews from his territory, and in 1497, the conversion of any who remained, who joined ranks with the Spanish refugees. The presence of this group of New Christians eventually forced John III to bring the Inquisition to Portugal in 1536.
Pope Paul III, who had authorized the foundation of the Portuguese Inquisition, six years later (1542) revived the Holy Office of the Inquisition in the Italian Papal States. Here, however, the Roman Inquisition’s concern was not Judaizing, but the threat to Italy from Protestantism. Soon, other states in the Italian peninsula reinstated local tribunals of the Inquisition: Naples and Venice in 1547, and Milan in 1562.
INSTITUTIONAL STRUCTURE AND PROCEDURE
The modern Inquisitions generally followed the body of jurisprudence developed by the medieval Inquisition, compiled in 1376 by Nicolau Eimeric into the Directorium inquisitorum, revised in the late sixteenth century by Francisco Peña. Unlike their medieval predecessor, however, the Spanish and Portuguese Inquisitions were controlled by the crown, and in Italy, there was considerable secular oversight as well, except in the Papal States. In Spain, Ferdinand created a government board, the Council of the Supreme and General Inquisition, which established policies and procedures, oversaw the appointment of officials and functioning of tribunals throughout the Spanish realms, and served as the court of appeals. Until 1560, the number and territories of the Spanish districts fluctuated considerably; thereafter they remained stable at fourteen peninsular tribunals and four island tribunals (Mallorca, Sardinia, Sicily, and the Canaries). Additional tribunals were added as the empire expanded: Mexico, Lima, Cartagena de Indias, Manila, and finally, the royal court at Madrid.
Portugal’s Inquisition was also placed under the direction of a royal board, known as the General Council. Ultimately, there were tribunals in Lisbon, Coimbra, and Evora, plus another in Goa, the Portuguese colony in India.
In Italy, the papacy attempted to exert some control over the Inquisitions outside the Papal States; this process culminated in the establishment of the Congregazione del Sant’ Ufficio in 1588. As was the case in Portugal and Spain, the Congregation functioned as the supreme appellate court for the tribunals in Italy. In each of the states with Inquisitions, the network of local tribunals followed the preexisting structure of bishoprics. For example, in the Republic of Venice, aside from the head tribunal in Venice itself, there were tribunals at Brescia, Padua, Udine, Treviso, Cyprus, Rovigo, Picenza, Bergamo, Vicenza, Verona, and Capo d’Istria.
Thanks to a shared legal tradition, the operation of the Inquisition in each area was similar. In Spain each tribunal consisted of one or two inquisitors, a fiscal prosecutor, defense attorney, various employees who were charged with record keeping and care of the prisoners, unpaid theological and legal consultants, and a network of local legal representatives (comisarios) and messengers/jailors (familiares), also unpaid, who created an inquisitorial presence in the hinterland. Strict guidelines established the qualifications for various members of the tribunal. Inquisitors had to be at least forty years old, licentiates or doctors in theology or canon law. After the fifteenth century, few Spanish inquisitors were drawn from the religious orders such as the Dominicans, who had once dominated the medieval institution. Comisarios were drawn from the local secular clergy, and familiares were laymen of uncontested Christian ancestry. Portugal’s tribunals were structured along the same lines, while in Italy, often only one inquisitor led the court (in Iberia there were two), while the local legal representatives, known as vicarii, held more power than their Iberian counterparts. Unlike their Iberian counterparts, both the inquisitors and the vicars came from the ranks of the regular religious orders, primarily the Dominicans and Franciscans.
A tribunal generated its cases in a variety of ways. The standard method was for the inquisitor to go on a visitation of his district. First, the inquisitor would issue the Edict of Grace, a sermon that defined the heresies sought after and promised leniency for those who confessed within thirty days. The follow-up sermon, the Edict of Faith, offered no leniency but continued the exhortations to confess. Voting members of the tribunal would examine the resulting confessions and issue a warrant for arrest. Once detained, the prisoner disappeared to the outside world: in order to inspire fear and prevent reprisals, the courts attempted to conduct their business in the strictest secrecy. Similar secrecy within the proceedings kept the prisoner at a disadvantage. Not until well into the trial did the prisoner learn the charges against him, and never was the accused allowed to know who had given evidence against him—or, once freed, to speak about his experiences. With the inquisitor acting as both judge and investigator, the prosecution presented its case first, and the defendant, with the aid of a court-appointed lawyer, could respond. At this point, if the defendant’s confession was not seen as sufficient, the tribunal would vote on the question of torture: what kind and how much. In reality, torture was employed rarely (in less than 3 percent of cases) and frequently was overcome. The large majority of cases ended in guilty verdicts. In Spain and Portugal, the final act in the trial was the public auto-da-fé, where prisoners were sentenced amid great ceremony; actual punishments were carried out separately. An important tool of the Iberian Inquisition was public humiliation: those convicted of serious offenses were required to wear the sanbenito, a distinctive outer tunic that was also displayed in the convict’s parish church.
Abolition came slowly, with the advance of the Enlightenment and then French troops to southern Europe. Generally, the Italian tribunals were disbanded between 1774 and 1800, and the Iberian ones disappeared between 1812 and 1834, although the Spanish and American tribunals effectively ended operation in 1820. The fate of each tribunal’s archives is capricious: some survive virtually intact, while others disappeared during the Napoleonic Wars. Major repositories exist in the Archivo General de la Nación (Mexico), Arquivo Nacional da Torre do Tombo (Lisbon), Archivo Histórico Nacional (Madrid), and in the Archivi dell’Inquisizione Romana (The Vatican, opened in 1998), but substantial numbers of trials and other papers remain outside these repositories.
Considerable controversy exists over how many individuals were tried and executed by the courts, but the loss of so many records makes precise accounting impossible. A survey of nineteen Spanish tribunals from 1540 to 1700 yielded 49,092 cases. The Portuguese Inquisition tried 44,817 cases between 1536 and 1767, the most active court being Goa. Naples between 1564 and 1740 tried 3,038 cases, and Venice between 1547 and 1794 tried 3,592 cases. The death sentence was invoked in less than 5 percent of all trials. In Spain and Portugal the first victims were conversos, many of whom were sentenced to death (often in absentia), while the Italian courts pursued Protestants. With time, the
tribunals changed their focus and moderated their severity: in Spain, converted Muslims (Moriscos), homosexuals, Protestants, witches, and ordinary Spaniards guilty of making crude theological statements all at some point became the focus of the tribunals’ attention. Indeed, relatively minor crimes such as blasphemy accounted for much of the Spanish Inquisition’s caseload. In addition to punishing religious crimes, all of the Inquisitions were responsible for enforcing censorship of printed materials and searching for contraband.
**IMPACT AND LASTING SIGNIFICANCE**
Because of the Inquisition’s role in censorship, many have accused the institution of curbing scientific inquiry, dampening literary creativity, and even hindering economic growth. Historians now reject these charges. A few cases achieved notoriety in their day and continue to define the image of the Inquisition in the public’s mind. Most infamous is the case of Galileo Galilei (1564–1642), who was summoned before the Roman Inquisition in 1632 to account for his public defense of the Copernican system, earlier deemed heretical by the church. He was condemned to perpetual house arrest and silence on the issue. For many, this trial epitomizes the conflict between scientific reason and free speech on the one hand, and religious fanaticism on the other. The philosopher Giordano Bruno (1548–1600) was not so lucky as Galileo; he was burned at the stake for his radical ideas about revealed religion and the possibility of an infinite universe with multiple worlds. In Spain, fear of religious experimentation led the inquisitors to target some of the leading mystics of the sixteenth century—St. Theresa of Jesus, St. John of the Cross, and Luis de León—although none was executed. Such cases, added to the Inquisition’s role in censorship, the stream of Protestant propaganda directed against the papacy, and the Enlightenment’s championship of basic freedoms, combined to create a lasting image of an arbitrarily cruel and inhumane institution. In the last twenty-five years, however, new scholarship has done much to mitigate the fearsome image of the Inquisition and to place the institution in its proper historical context.
*See also Censorship; Conversos; Ferdinand of Aragón; Galileo Galilei; Index of Prohibited Books; Isabella of Castile; Moriscos; Papacy and Papal States; Persecution.*
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**BIBLIOGRAPHY**
**Primary Sources**
Del Col, Andrea, ed. *Domenico Scandella Known as Menocchio: His Trials before the Inquisition (1583–1599).* Translated by John Tedeschi and Anne C. Tedeschi. Binghamton, N.Y., 1996.
Eimeric, Nicolau, and Francisco Peña. *Le manuel des inquisiteurs.* Translated and with introduction by Louis Sala-Molins. Paris, 1973.
Firpo, Massimo, and Dario Marcatto, eds. *Il processo inquisitoriale del Cardinal Giovanni Morone: Edizione critica.* 6 vols. Rome, 1981–1995.
Simancas, Diego de. *Institutiones catholicae quibus ordine ac brevitate discritur quicquid ad praecavendas et extirpandas haereses necessarium est.* Valladolid, 1552.
**Secondary Sources**
Bethencourt, Francisco. *La Inquisición en la época moderna: España, Portugal, e Italia, siglos XV–XIX.* Madrid, 1997.
Grendler, Paul F. *The Roman Inquisition and the Venetian Press, 1540–1605.* Princeton, 1977.
Henningssen, Gustav, and John Tedeschi in association with Charles Amiel, eds. *The Inquisition in Early Modern Europe: Studies on Sources and Methods.* De Kalb, Ill., 1986.
Kamen, Henry. *The Spanish Inquisition: An Historical Revision.* London, 1997.
Lea, Henry Charles. *A History of the Inquisition of Spain,* 4 vols. New York, 1906–1908.
———. *The Inquisition in the Spanish Dependencies.* New York, 1908.
Netanyahu, Benzion. *The Origins of the Inquisition in Fifteenth-Century Spain.* New York, 1995.
Perry, Mary Elizabeth, and Anne J. Cruz, eds. *Cultural Encounters: The Impact of the Inquisition in Spain and the New World.* Berkeley, 1991.
Peters, Edward. *Inquisition.* New York and London, 1988.
Vekene, Emil van der. *Bibliotheca bibliographica historiae sanctae Inquisitionis. Bibliographisches Verzeichnis des gedruckten Schrifttums zur Geschichte und Literatur der Inquisition.* 3 vols. Vaduz, Liechtenstein, 1982–1992.
Sara Tilghman Nalle
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**INQUISITION, ROMAN.** The Roman Inquisition was a penal and judicial institution brought into being by the Catholic Church in mid-sixteenth century Italy as a response to the Protestant challenge in that country. Prior to this time, a loosely knit, decentralized network of individual
clerics drawn from the early-thirteenth-century mendicant orders investigated specific instances of heresy. Neither the Roman Inquisition nor its medieval predecessor should be confused with the more famous Spanish Inquisition, which started in 1478, was controlled by the crown, had a separate history, and operated in virtual independence of the papacy.
ORIGIN AND STRUCTURE
The chief features the reorganization set in motion in Rome by Paul III (1534–1549) with his bull *Lictet ab Initio* of July 1542 were as follows: a centralized authority for the pursuit of heresy in the form of a commission of cardinals, which appointed and closely supervised the work of the local inquisitors; the expansion of local tribunals throughout the peninsula, the seats of which were usually Dominican and Franciscan convents; and the repeal of privileges that exempted from prosecution regular clergy who previously had to answer only to their superiors in the religious orders, a measure that preceded the major reorganization by a few months.
The addition of new tribunals took place gradually over the course of the century, with new seats erected at intervals or elevated to full status only after existing for many years. Concurrently, the definition of what was heretical and proper for the Inquisition to prosecute was also expanded to include such offenses as apostasy from the religious orders, blasphemy, and bigamy, among others; this resulted in squabbles between the Inquisition and competing authorities, episcopal courts, and secular magistracies.
The customary provincial tribunal consisted of an inquisitor, his vicar, a notary, and such “familars” as prison guards and messengers. A network of lesser officials called *vicari foranei*, ‘external vicars’, selected from the ranks of the regular clergy and parish priests, represented the parent tribunal in the small towns under its jurisdiction. The judicial role of the *vicari foranei* was generally limited to conducting preliminary inquiries and receiving depositions. The presence of a bishop or, usually, an episcopal vicar was required when the court wanted to proceed to such grave stages as judicial torture or final sentencing.
Every court was assisted in its deliberations by a body of “consultors” drawn from the ranks of prominent lawyers and theologians. Except in the most ordinary of cases, a local tribunal would not reach the point of final sentencing until the Supreme Congregation in Rome, which received and closely scrutinized copies or summaries of trials in progress, had expressed its binding opinion.
JURISDICTION
The jurisdiction of the reconstituted tribunal was limited to the Italian peninsula, excluding Sicily and Sardinia, where the Spanish Inquisition prevailed. It was also barred from working openly in Naples, part of the Spanish empire, where Rome had to act under the cover of the episcopal courts. The island of Malta and the city of Avignon in France fell under Roman purview. As for the rest of Italy, although inquisitors were able to proceed in their duties freely in the states of the church, their activities were curtailed to varying degrees in independent principalities and republics where arrests, incarceration, confiscations, and extraditions to Rome were dependent on the approval of the local ruler. Although they had no official roles, lay functionaries appointed by the secular government sat on the tribunals to guarantee the correctness of the proceedings. Venice, perhaps more than any other state, limited the Inquisition by a series of special dispositions.
PROCEDURES
Recent research has overturned many long-standing assumptions connected with the Roman Inquisition, framing its juridical theory and procedures in a new, more favorable light. For example, it has been determined that in trials conducted under the Inquisition’s jurisdiction, accusers had to make their depositions under oath. Other findings include the following: the arraigned had the benefit of a defense attorney; transcripts of the proceedings were provided to prisoners in writing; and an appropriate interval allowed for the preparation of counterarguments and the summoning of friendly witnesses. Judicial torture (universally practiced by all courts in Europe) could be applied only after the defense had made its case and where the indicia (the evidence of heresy) were compelling. Appeals were also permitted and were made regularly to a higher court, namely the Supreme Congregation in Rome. First offenders were dealt with much more leniently than recidivists. A sentence to *carcere perpetuo*, ‘life imprisonment’, by the Holy Office meant parole after
a few years (generally three) subject to good behavior; house arrest, which often included permission to work outside one’s home, was frequently imposed, especially given the lack of secure prisons outside Rome. Sentences pronounced by provincial tribunals were scrutinized by the Supreme Congregation of the Inquisition in Rome, and implausible confessions that contradicted the defendant’s testimony during the trial were unacceptable. There were many additional safeguards in witchcraft proceedings, not the least of which was the Supreme Congregation’s 1588 decision that alleged participants at Sabbaths were not allowed to implicate supposed accomplices, a measure that spared Italy (and Spain) the panics that swept through northern Europe until well into the seventeenth century.
**PUNISHMENT**
The stake, incarceration, and galley sentences are dramatic forms of penal procedure that are associated with inquisitorial practice. But a survey of the thousands of surviving sentences shows that milder forms of punishment actually prevailed, the most common being the wearing of the penitential garment (the *sanbenito*), abjurations read on the cathedral steps on feast days, and such salutary penances as fines, communal service, and the recital of prayers and devotions.
Death by burning at the stake was reserved for three categories of offenders: the obstinate and unrepentant who refused to be reconciled to the church; the relapsed, namely those who had suffered a previous sentence for formal heresy; and, following bulls promulgated by Paul IV (1555–1559) in July 1556 and February 1558, persons convicted of an attempt to overturn such central doctrines as the virgin birth and the full divinity of Christ.
Although there are serious lacunae in the documentation, the available numbers of those executed by the Roman Inquisition suggest that there were fewer than has generally been believed. For example, only four of the first thousand defendants who appeared before the Friulian tribunal of Aquileia-Concordia (1551–1647) were put to death, and only one, in 1567, for religious heresy in Modena, out of the hundreds of trials conducted in that city. And of the more than 200 sentences contained in the Trinity College manuscripts for parts of 1580–1582, only three called for condemnations to the stake.
**SOURCES**
Existing knowledge of the Roman Inquisition is based on a broad array of surviving sources. Even before the 1998 opening of the central archives of the old Roman Holy Office (now the Congregation for the Doctrine of the Faith) to the scholarly public, there was no shortage of original inquisitorial documents. Numerous printed legal manuals written between the early fourteenth and mid-seventeenth centuries are still in existence.
Large quantities of dispersed manuscript records are also available. The suppression of the Inquisition throughout the Italian peninsula in the eighteenth century, in addition to the closing of many of the religious establishments that had housed the local tribunals, brought about the transfer of long runs of inquisitorial records to public repositories and to episcopal archives. Thousands of trials have survived intact in Udine, Venice, Modena, Rovigo, Naples, and elsewhere; extensive series of correspondence between the Supreme Congregation of the Inquisition in Rome and its outlying outposts in Bologna, Modena, Naples, and Udine still exist; and a large body of sentences spanning a century and a half (c. 1556–c. 1700) found their way in the nineteenth century to Trinity College, Dublin, as part of the considerable archival material that changed hands during the time of Napoleon.
An important new infusion of pertinent documents became available with the opening of the previously inaccessible Roman Archive of the Holy Office. Scholars now could consult the archive of the Congregation of the Index, which was transferred intact to the Holy Office in 1917; the complete, original, sixteenth-century trials of a few highly placed ecclesiastics, such as Cardinal Giovanni Morone, Bishop Vittore Soranzo, and the prothonotary Pietro Carnesecchi (thousands of “lesser” trials were consciously destroyed in Paris after the fall of Napoleon); the long runs of the *Acta Sancti Officii*, namely the decrees coming out of the weekly meetings of the Roman Congregation, at which the pope generally presided, ranging in date from 1548 to the twenty-first century (with lacunae); the correspondence from provincial inquisitors to Rome, numbering some 225 volumes (previously only the letters from Rome were available in local repositories); and the records of the Sienese Inquisition, which were transferred to the Supreme Congregation in 1911 from the episcopal archive in Siena.
See also Index of Prohibited Books; Inquisition; Papacy and Papal States; Paul III (pope); Persecution.
BIBLIOGRAPHY
Primary Source
Del Col, Andrea. Domenico Scandella Known as Menocchio: His Trials before the Inquisition (1583–1599). Translated by John and Anne C. Tedeschi. Binghamton, N.Y., 1996. The original Italian edition of the proceedings against the celebrated Friulian miller was published in 1991.
Secondary Sources
Borromeo, Agostino. “The Inquisition and Inquisitorial Censorship.” In Catholicism in Early Modern History: A Guide to Research, edited by John W. O’Malley, pp. 253–272. St. Louis, 1988. Historiographical survey.
Henningsen, Gustav, and John Tedeschi, eds., in association with Charles Amiel. Inquisition in Early Modern Europe: Studies on Sources and Methods. De Kalb, Ill., 1986. Volume based on several papers presented at a Danish symposium, September 1978.
Romeo, Giovanni. L’Inquisizione nell’Italia moderna. Bari, 2002. The best comprehensive treatment in brief compass.
Tedeschi, John. The Italian Reformation of the Sixteenth Century and the Diffusion of Renaissance Culture: A Bibliography of the Secondary Literature. Modena, 2000. Devotes ample attention to the role of the Inquisition in the suppression of the Reformation in Italy.
———. The Prosecution of Heresy: Collected Studies on the Inquisition in Early Modern Italy. Binghamton, N.Y., 1991. Il giudice e l’eretico: Studi su l’Inquisizione romana. Revised and updated Italian translation. Milan, 1997. Pioneered the new perspective on the Roman Inquisition.
Vekene, Emil van der. Bibliotheca Bibliographica Historiae Sanctae Inquisitionis. Bibliographisches Verzeichnis des gedruckten Schrifttums zur Geschichte und Literatur der Inquisition. 3 vols. Vaduz, Liechtenstein, 1982–1992. The standard bibliography on the Inquisition in general, listing both the primary and secondary literature.
JOHN TEDESCHI
INQUISITION, SPANISH. Since its inception the Spanish Inquisition has been controversial. In 1478 Ferdinand of Aragón (ruled 1471–1504) and Isabella of Castile (ruled 1474–1504) requested papal permission to establish the religious tribunals in Castile. Unlike the medieval papal Inquisition, the Spanish Inquisition was a hybrid religious-secular institution under the authority of the crown, which appointed its officials and supervised its operation. The tribunals employed judicial procedures that were both contrary and offensive to existing Castilian legal practice. The establishment of the Spanish Inquisition in the kingdom of Aragón, which already had its own (albeit moribund) papal Inquisition, was seen as an affront to the kingdom’s privileges, and one inquisitor was assassinated in the cathedral of Zaragoza in 1485. During the sixteenth century northern Protestants used the Inquisition as a cornerstone of the anti-Spanish propaganda campaign later dubbed the Black Legend. Even in its abolition the Inquisition was controversial, as it took three attempts to suppress the court, which lingered until 1834.
Since the fifteenth century the Inquisition has inspired a lively and sometimes lurid debate over the nature of its policies and practices.
EARLY YEARS OF THE INQUISITION
The first inquisitors arrived in Seville in November 1480. Their mission was to extirpate heresy and punish the guilty. Court procedures drew on medieval inquisitorial practice, distilled into the Directorium Inquisitorum by Nicolau Eimeric in 1376. The medieval Inquisition had been founded to combat Catharism, but the Spanish Inquisition’s special target was the new heresy of “Judaizing.” During the fifteenth century, either by force or choice, many Spanish Jews had converted to Christianity. Some of these New Christians (conversos) continued to practice Judaism secretly while advancing rapidly in Christian society. Seville, the first city targeted by the Spanish Inquisition, was home to a large and wealthy converso community. Several hundreds of people were tried and punished in a short period of time, and similar scenes were repeated in Córdoba, Ciudad Real, Toledo, and Valencia.
The Inquisition used several degrees of sentencing. For those found guilty of heresy, there was relaxation to the secular arm of justice (for death by burning), relaxation in effigy for those heretics who had fled or previously had died, and reconciliation for those who abjured and promised to return to the Christian fold. In all cases, the property of those found guilty of heresy was confiscated. Both during and after public humiliation and sentencing at the ceremony known as the *auto da fé*, the condemned were obligated to wear a distinctive penitential tunic (the *sanbenito*) over their clothes, and they and their male descendants were banned from holding public office for several generations. Undoubtedly, for those Old Christians who were determined to eliminate unwanted competition from the *converso* class, the Inquisition was an efficient weapon.
The Inquisition’s formative phase lasted until 1517. A well-defined institutional structure took shape. At the top were the inquisitor general (also called the grand inquisitor; the first was Friar Tomás de Torquemada [1420–1498]) and the royal council, known as La Suprema. Several permanent tribunals emerged at this time, while others functioned briefly and then disappeared. During the formative years the tribunals focused almost exclusively on Judaizers. The limited evidence that survives from this period suggests that perhaps as many as 15,000 to 20,000 people were tried during this time, nowhere near the 340,592 suggested in 1808 by the Inquisition’s critic and former secretary Juan Antonio Llorente (1756–1823). One must remember furthermore that a great many of the sentences were handed out in absentia or posthumously, so even during this period of fierce persecution about 30 to 40 percent of those arrested ultimately faced the death penalty.
**PERIOD OF GREATEST INFLUENCE**
The Inquisition’s period of greatest influence occurred in 1569–1621, during the reigns of Philip II (ruled 1556–1598) and Philip III (ruled 1598–1621). Before then, under Charles V (ruled 1517–1556), the Inquisition had suffered from a lack of direction. Prosecution of Judaizers had run its course, and aside from prosecuting the heretics known as *alumbrados* and the followers of Desiderius Erasmus (1466?–1536) in the 1520s and 1530s, the tribunals were left without a well-defined mission. The decade of the 1550s changed all that, however, when Protestants were found in Seville and at the royal court at Valladolid. Under inquisitor general Fernando de Valdés (1483–1568), the tribunals were reformed and redirected toward combating Protestantism.
Eventually numbering a total of sixteen tribunals in Spain, two in Italy, and three in the New World, the Inquisition took over responsibility for censorship and contraband and greatly expanded its prosecution of various religious crimes. In addition to Protestants, *conversos*, Moriscos (converted Muslims), and foreigners, ordinary Spaniards were drawn into the tribunals, as even the most casual religious oaths and statements became worthy of scrutiny and correction. Detailed questioning of prisoners, once limited to those accused of the most heinous heresies, now was applied to the most unlikely suspects, who were usually fined a ducat or two (a heavy fine for most) and sent on their way without further ado. The large majority of all cases undertaken by the Inquisition took place during this period.
During this period each tribunal functioned at a high level of efficiency thanks to the efforts of two groups of officials, one consisting of professional, salaried career men and the other made up of unpaid volunteers. The professional core of each tribunal included two inquisitors, lawyers for the prosecution, secretaries, a jailor, a bailiff, and a doorman. Periodically one inquisitor was required to go on a circuit (the *visita*) of his district, while the other inquisitor remained at home to handle business there. The tribunals relied heavily on various types of unpaid officials. First, there were the two networks of familiars and *comisarios*. The familiars were laymen charged with carrying messages and arresting suspects and delivering them to the Inquisition, but they were not spies and informers. The *comisarios* were priests who assisted in the gathering of evidence at the local level. To assess the heretical content of the accusations, the inquisitors were advised by theologians known as *calificadores*. At key stages in a trial inquisitors were required to consult with voting members of the tribunal, who voted on whether or not to indict, torture, and convict. Cases involving the death penalty were sent to the Suprema for review and approval, and each tribunal
was required to maintain detailed correspondence with the Suprema about all of its affairs.
The period 1569–1621 also witnessed a series of controversial trials. First, the archbishop of Toledo and primate of Spain, Bartolomé de Carranza (1503–1576), was sucked into the vortex of court intrigue that consumed the early years of Philip II’s reign. Carranza’s trial, which lasted from 1559 to 1576, started in Spain and ended in Rome. He was all but exonerated of the charges of heresy in 1576 but died shortly thereafter. A second politically motivated trial was the case of Philip II’s secretary Antonio Pérez (1539–1611), who was implicated in the murder of another secretary. After Pérez escaped to Aragón in 1590, Philip tried to recapture him using the Inquisition of Zaragoza. The use of the Inquisition in this manner provoked such widespread discontent in Aragón that Philip was forced to order in the army. Despite these two famous cases, such overt political abuse of the Holy Office’s power was rare. However, the Inquisition believed it was entirely justified in closely monitoring Spain’s spiritual writers and preachers, who were suspected of having Protestant tendencies. Nowadays the list of those tried or called in for questioning reads like a who’s who of Spain’s most famous religious men and women, including, among others, Saint Ignatius of Loyola, Saint John of Ávila, Friar Luis de Granada, Saint Francisco de Borja, Friar Francisco de Osuna, Saint Teresa of Ávila, and Friar Luis de León.
**DECLINE OF THE INQUISITION**
The Inquisition declined with the Spanish empire in the seventeenth century. As the tribunals pulled back from their ambitious program of vigilance, caseloads and revenue fell. The tribunals focused on cases of Portuguese *conversos* living in Spain, witchcraft and superstition, and censorship. In the eighteenth century the Inquisition could not stop the slow spread of Enlightenment ideas to Spain, and the country’s intellectuals increasingly began to see the tribunals as out of step with the times. With the Napoleonic invasion of 1808, the courts were suppressed for the first time, at the hands of French officials and Spanish liberals. Conservative nationalists, however, fighting for independence and the return of Ferdinand VII (ruled 1808, 1814–1833), claimed that the court was the guardian of Spanish identity and morals. The Inquisition was restored without powers in 1814, only to undergo a lingering death between 1820 and 1834.
The Holy Office was suppressed for the final time by official decree in 1834, but historians have argued about its significance ever since. In the nineteenth century Protestant historians and Spanish liberals blamed Spain’s backwardness on the Inquisition and the Catholic Church, which were seen as having terrorized the country, suppressed the basic rights of freedom of speech and religion, and retarded economic growth and scientific thought. In the twentieth century, with the advent of murderous anti-Semitic and totalitarian regimes, the focus shifted to understanding the Inquisition’s role in the long history of the persecution of Jews and repression of entire populations. Under the pro-Catholic dictatorship of Francisco Franco (1892–1975; ruled 1939–1975), censorship prevented Spaniards from freely evaluating the Inquisition’s legacy, and in the 1970s the most objective work was carried out by foreign historians interested in the new social history and history of *mentalités*. After the collapse of the regime in 1975, Spaniards in the 1980s and 1990s joined in a renaissance of Inquisition studies to understand their country’s complex history. The large body of scholarship produced since 1975 has considerably modified and fleshed out understandings of the Holy Office, which has come to be seen as considerably less monolithic and ruthless than was previously thought.
*See also* Catholicism; *Conversos*; Ferdinand of Aragón; Isabella of Castile; Persecution; Philip II (Spain); Spain.
INSURANCE. Insurance is a contract of indemnification in which an underwriter agrees to compensate a policyholder for specified losses during a certain length of time, or term, in return for a payment, or premium. Insurers hedge their financial exposure by adjusting premiums to the perceived likelihood that a policy will result in a claim and by underwriting a number of policies, thereby dispersing individual risks among many. During the early modern period insurance evolved from a specialized device utilized mainly by merchants and financiers to a firmly established industry offering marine, life, and fire insurance to a rapidly growing market.
ORIGINS
While insurance-like mechanisms for distributing risk have been identified in the ancient world, the first recognizable policies of insurance originated in Florence and other northern Italian towns in the early fourteenth century. These early policies, the first surviving example of which was issued at Genoa in 1347, covered losses at sea. In the following decades Italian merchants transmitted the practice of marine insurance across the Mediterranean basin and into northern Europe. By the early sixteenth century the marine insurance business, still largely under Italian control, had spread to Flanders and the Netherlands, and thence by mid-century to England and the Baltic countries. Marine insurance was by far the largest and most widely practiced branch of underwriting in early modern Europe.
Life insurance appeared, around the year 1400, as an incidental circumstance when marine insurance policies covered embarked travelers or slaves. It was quickly adapted to the money-lending business to collateralize loans by insuring the debtor’s life, as was done on the life of Pope Nicholas V in 1454. The growth of life insurance was hindered, however, by its increasing use as a device for wagering on human longevity and by the concomitant suspicion that it incited fraud and murder. The alleged immorality of life insurance led to its prohibition, from the fifteenth through the seventeenth centuries, everywhere in Europe except Florence, Naples, and the British Isles. Its use as a long-term device guaranteeing family welfare had to await the formation, at the end of the seventeenth century, of the first life insurance societies in England, the most enduring of which was the Amicable Society (1706–1866).
A system of fire insurance that went beyond the traditional mutual aid arrangements of guildsmen was first established on a municipal basis in Hamburg’s General Feuerkasse as early as 1591. Similar town-sponsored offices were founded in London (1682), Altona (1713), Berlin (1718), and in French cities in the same period. These public initiatives proved less successful than the private provision of fire insurance, which began in London in the years following the Great Fire of 1666. The earliest of these companies were transient, but Nicholas Barbon’s pioneering Fire Office (1680) demonstrated the long-term viability of the fire insurance business. Other notable ventures included the Hand-in-Hand (1696), the Sun Fire Office (1710), and the Royal Exchange Assurance and London Assurance Corporations (both 1720). In France, the use of fire insurance was slower to develop. The first large company insuring against fire losses was the Compagnie d’assurances générales (1753), later joined by the Compagnie royale d’assurance (1786).
ORGANIZATION
Unlike marine insurers, whose risks were short-term and dispersed on various sea routes, fire and life insurers faced the daunting challenge of providing long-term coverage against contingencies that sometimes occurred catastrophically, such as urban conflagrations or outbreaks of epidemic disease. As a consequence, marine insurance remained overwhelmingly the preserve of underwriters working individually or in partnerships, even if they also entered into larger associations like Lloyd’s (originally Lloyd’s Coffee House, established in 1688), whereas fire and whole life underwriting required a corporate or mutual structure in order to ensure the payment of claims. Many of the early fire and life companies were mutual associations in which members contributed as need arose, with the result that either the cost of membership or the amount of compensation for loss was variable. This arrangement was necessitated by a lack of reliable statistical data from which the liabilities attached to life or fire risks might be calculated. Although Edmond Halley in 1693 published a mortality table (giving the average expectation of life at different ages), life insurers were very slow to place much trust in mortality statistics. Instead, they excluded the very young, the very old, and the obviously infirm or drunken. Similarly, fire insurers discriminated among “common,” “hazardous,” and “doubly hazardous” risks based more on intuition than hard data, and until the foundation of the Phoenix Assurance Company in 1782 simply refused to insure fire-prone sugar bakers. By the second half of the eighteenth century insurance was acquiring a more secure statistical basis. The Equitable Life Assurance Society (1762) was the first insurer to graduate policy premiums according to age at purchase, although it continued, conservatively, to price its policies above their actuarial value.
SOCIAL AND ECONOMIC IMPACT
Insurance played a major role in European economic expansion and in the social management of risk. Marine underwriting reduced the risks of maritime commerce, especially during wartime. Fire insurers during the eighteenth century provided increasing coverage for commercial stocks and industrial plants, thereby fostering the expansion of industrial capitalism. The provision of life insurance protected the fortunes of middle-class families against the premature death of a breadwinner. Insurers also lowered economic losses more subtly by disciplining risk-taking, since ship captains who failed to sail in convoys during wartime or manufacturers who practiced hazardous trades in timber-framed buildings were subject to higher premiums or the withdrawal of coverage altogether. Fire insurance companies contributed to a generally safer urban environment by organizing fire brigades to protect the properties that they insured. With time, these brigades were amalgamated into municipal squads. Insurance furthermore had an important mental influence on early modern society by serving as a major conduit (along with gambling) for the transmission of probabilistic and statistical thinking to the eighteenth-century public. Despite its power, this new statistical worldview supplemented rather than supplanted older magical or religious beliefs, even among practitioners of insurance. Seventeenth-century English merchants queried the famous astrologer, William Lilly, whether ships overdue in port could be insured for profit, while a century later underwriters in Barcelona still had masses sung for the deliverance of ships they insured.
See also Commerce and Markets; Shipping.
BIBLIOGRAPHY
Primary Sources
Magens, Nicolas. *An Essay on Insurances*. 2 vols. London, 1755. A valuable summary of European insurance practices and laws, with incisive commentary.
Park, James Allan. *A System of the Law of Marine Insurances, with Three Chapters on Bottomry, on Insurances on Lives, and on Insurances against Fire*. London, 1789. A classic
INTENDANTS. The term *intendant* usually refers to provincial administrators in seventeenth- and eighteenth-century France. The term also had other meanings: there were between one and ten *intendants des finances*—financial administrators who worked at the highest level with the controller-general, or superintendent of finances; There were also administrators often qualified as “intendants” in the French naval, military and colonial administrations, but the latter were not normally concerned with the fiscal matters that so preoccupied the provincial intendants.
**ORIGINS**
In the sixteenth and the early seventeenth centuries, junior members of the king’s royal council, known as masters of requests (*maîtres des requêtes*), were commonly sent to deal with specific problems of justice or administration in the provinces. However, with the fiscal crisis caused by France’s warlike foreign policy in the 1630s and the consequent increases in direct taxes (the *taille* and associated levies), these officials became resident commissioners in most provinces, usually under the name of “intendants of justice, police, and finances.” Traditionally, in each province, local venal officeholders (*élus* and *trésoriers*) had been responsible for dividing the total amount of direct tax to be assessed among subregions and parishes, and for hearing complaints about assessments. They often used their powers to favor their clients and tenants; this impeded the war effort. Intendants now worked side-by-side with the local financial officials, and their royal commissions gave them power to impose their will. Unlike the officeholders, they were the king’s creatures; they held a revocable royal commission; their careers depended on success and loyalty to the ruler and his ministers. Suits against them were directed to the king’s council, thereby bypassing local courts and the parlements, where local influence might have blunted their effectiveness. Although their concerns were principally fiscal, intendants had extensive police and extraordinary judicial powers.
The civil war known as the Fronde (1648–1652) was fueled in part by officeholder resentment against the intendants and the higher taxes; the grievances drawn up by the Paris “sovereign courts” in the spring of 1648 forcefully echoed these complaints. Cardinal Jules Mazarin (1602–1661) and the regent, Anne of Austria (1601–1666), gave way and abolished the intendants, but subsequently brought them back, at first surreptitiously, then openly when the Fronde was over.
**REFORM**
The end of the long conflict with Spain in 1659, the death of Mazarin, and Louis XIV’s (ruled 1643–1715) assumption of personal power in 1661 did not bring the use of intendants to an end. Jean-Baptiste Colbert (1619–1683), who became Louis’s chief financial adviser, had made up his mind that the intendants would be essential to carrying out any program of reform. Before 1661, the chancellor, the chief law officer of the crown, gave most orders to the intendants; after that date, Colbert and his successors in the post of controller general became their effective superior, and although the intendants continued to have some judicial functions, they became primarily fiscal and administrative agents. They were used, particularly in the eighteenth century, to implement schemes for economic development and social reform and control: welfare, hospitals, road building, industrial development, poor relief, managing the food supply, and mobilizing the peasantry through the royal *corvée* to build a national road network.
One of Louis XIV’s main declared aims was to reform justice. This meant drawing up new law codes and streamlining the courts, but it also implied a quantum leap in the statistical information and intelligence of all kinds to be supplied to government at the local and national levels. Among other projects, Colbert wanted to improve the tax yield by imposing lower but fairer levies, reducing the number of privileged persons exempt from tax, and rooting out corrupt officials. In the 1660s and 1670s, the intendants usually played the major role in the numerous purges of recent or fake nobles, putting them back on the assessment rolls, thereby gaining a powerful hold over local notables in the process. When large-scale war became quasi-permanent after 1672, their original function as fiscal supervisors made them even more necessary, particularly when the direct tax base was widened by wartime emergency taxes (*capitation*, 1695; *dixième*, 1710) to take in nobles and privileged people of all kinds.
Colbert’s measures to control spending by town and parish governments culminated in the edict of April 1683, which made all changes in town and village government spending subordinate to the intendant’s approval. A regular police presence was also needed to keep down resistance to wartime taxation and to the policy of religious uniformity that culminated with Louis’s revocation of the Edict of Nantes (1685). All this required the continued presence of the intendants and longer stays in their provinces. Under Cardinal Richelieu (Armand-Jean du Plessis; 1585–1642) and Mazarin they had only remained three years on the average; between 1666 and 1716 the average stay was five years; in the eighteenth century it was seven.
With the increased activity (under Louis XIV and later) came the strengthening of the intendants’ local control and accountability to their superiors. The practice grew up whereby intendants informally co-opted local officials, called “subdelegates” (*subdélégués*), usually from among the lesser local officeholders. Colbert did not like this, but the logic of the system he was building required it. The numbers of permanent sub-delegates increased impressively: by 1700 there were probably between four and five hundred sub-delegates; by the 1780s, there were about seven hundred. In larger intendancies, the intendants often appointed *subdélégués généraux* as executive assistants who could replace them during absences and built up a little staff of secretaries and domestics. The growth and development of the intendancy as a regular institution, and the intendant as a bureaucratic functionary, is evident when we compare the sporadic, often frantic or desperate correspondence of the intendants of Richelieu and those of Louis XIV. The latter reveal a central administration with an agenda, enforcing frequent correspondence with the offices of the controller general, demanding replies to uniform and regularly recurring questionnaires, and a yearly work cycle built around annual reports on the economic state of the intendancy and the routine administration of direct tax collection. The degree of control was always weaker in the *pays d’États* like Brittany, Languedoc, and so forth, where local institutions still assumed some of these tasks and the intendant’s role was often more political than administrative.
**SELECTION**
Intendants were usually chosen among the seventy or eighty-odd masters of requests in the royal council. In the eighteenth century, these recruits were supposed to be thirty years of age, to have a law degree or equivalent legal experience, and to serve six years as a junior member (*conseiller*) of a parliament or other high court; the length of this study and service was often reduced by dispensation. Throughout the period, 40 to 50 percent of masters of requests had sat previously as junior members in the Parlement of Paris, around a third (until 1774) came from the Grand Conseil, a specialized high court. At the time, critics of the intendants, such as financier and statesman Jacques Necker (1732–1804), said that they were too young to bear such responsibilities. But the average age of a beginning master of requests under Louis XV (ruled 1715–1774) was twenty-nine, not inordinately young (though it appeared to be falling somewhat toward the end of the Old Regime). In any event, throughout the entire period from Richelieu onward, the overwhelming majority did not get their first posting as intendants until their mid-thirties or later. Intendancies were often a springboard to higher functions as royal councillors (*conseillers*
d'état), or even as secretaries of state and ministers. The Royal Council was a good training ground. It had a certain collective mentality: councillors worked harder than the members of the parlement; they were self-effacing, career-oriented, consensus-minded. Working there gave future intendants wide experience in preparing and judging disputed issues in taxation, administrative law, jurisdictional disputes, and the like—the sort of administrative and political problems that they would later face in the provinces.
The nineteenth-century historian and writer Alexis de Tocqueville (1805–1859), misled perhaps by the diatribes of Claude-Henri de Rouvroy, comte de Saint-Simon (1760–1825), said that Louis XIV’s intendants were bourgeois, whereas those of Louis XVI (ruled 1774–1792) were nobles. This was wrong. Even in the days of Richelieu and Mazarin, all the intendants claimed noble status. At that time, the families of about a third of them had acquired transmissible nobility by the purchase of the offices of secrétaire du roi, one-third by hereditary office, and the rest by letters of nobility, and so forth, and all of them held personal nobility by virtue of their offices of masters of requests. This pattern continued. The true quality of nobility, however, was measured by the number of generations it had been in a family. Paradoxically, at the end of the eighteenth century more intendants were sons and grandsons of “new nobles” than at the end of the seventeenth, so in a sense the institution had become more open. But the truly significant social ties of the intendants and masters of requests were to the Parisian and financier milieu. Fully two-thirds of the councillors of state and masters of requests under Louis XIV were born in Paris, and this trend continued; they generally came from wealthy families and tended either to intermarry or to find wives in the milieu of royal financiers. They were thus true representatives of the Old Regime state elite; the families that waxed wealthy and powerful and gained prestige from the king’s service, and their loyalty to the Colbertian model and service ethic was never in question.
At the end of Louis XIV’s reign, criticism of the intendants’ powers resumed. Their jurisdiction was the target of increasingly bold attacks from provincial parlements and estates from the 1750s onward. From the days of François de Salignac de La Mothe-Fénelon (1651–1715) and his coterie at the end of Louis XIV’s reign through Victor Riqueti, marquis de Mirabeau (1715–1789) and René Louis de Voyer de Paulmy, marquis d’Argenson (1694–1757) at mid-century to Anne-Robert-Jacques Turgot (1727–1781) and Jacques Necker in the 1770s, there were projects to create or restore provincial estates or assemblies, which would have reduced or eliminated the role of intendants. A couple of provincial assemblies were created by Necker as pilot projects in the 1780s. Étienne-Charles de Loménie de Brienne (1727–1794), in the monarchy’s last desperate reforms of 1787, actually set up advisory boards filled by prominent landowners in each intendancy to work with the intendant. When the Constituent Assembly reorganized France in 1789, it assumed from the outset that the intendants had to go. The division of France into eighty-three self-administering departments on 15 February 1790 left no place for them; but Napoleon’s prefects, created by the law of 28 Pluviôse Year VIII (17 February 1800) regained most of the intendants’ powers within the framework of an authoritarian regime sanctioned by popular sovereignty, and many of them still survive today.
See also Absolutism; Colbert, Jean-Baptiste; France; Fronde; Louis XIV (France); Louis XV (France); Louis XVI (France); Mazarin, Jules; Parlements; Provincial Government; Richelieu, Armand-Jean Du Plessis, cardinal; State and Bureaucracy; Taxation.
BIBLIOGRAPHY
Antoine, Michel. *Le cœur de l’État: Surintendance, contrôle général, et intendances des finances, 1552–1791*. Paris, 2003.
———. *Le dur métier de roi*. Paris, 1986.
———. *Le gouvernement et l’administration sous Louis XV: Dictionnaire biographique*. Paris, 1978.
Bonney, Richard. *Political Change in France under Richelieu and Mazarin, 1624–1661*. Oxford, 1978.
Bordes, Maurice. *L’administration provinciale et municipale en France au XVIIIe siècle*. Paris, 1972.
Esmonin, Edmond. “Les origines et les débuts des subdélégués des intendants.” In *Études sur la France des XVIIe et XVIIIe siècles*, pp. 131–166. Paris, 1964.
Goubert, J.-P., G. Arbellot, and A. Laclau. “Les subdélegations à la veille de la Révolution de 1789.” In *Atlas de la Révolution française*, edited by Serge Bonin and Claude Langlois, vol. 5, pp. 47–52, 81, and Map 4. Paris, 1989.
INTEREST. Usury laws, inspired both by Scripture and by a misunderstanding of monetary economics, have probably never prevented lenders from charging interest. Throughout early modern Europe, not only states, businesses, and private individuals, but even religious institutions from mosques to monasteries commonly lent and borrowed with interest. Nonetheless, usury laws have shaped the history of credit by forcing contracting parties to disguise interest payments as something else. No one, of course, is fooled by the subterfuge, but it has often determined the nature of monetary institutions and severely limited the survival of documentation through which historians might study the movement of the interest rate. By the eighteenth century, as religious objections weakened, the debate over usury laws became utilitarian rather than doctrinal. At the same time, a new debate over the determination of the interest rate became central to the economic theory of the Enlightenment, and to the rejection of earlier mercantilist policies.
USURY LEGISLATION
“Lend without expecting any return,” counsels Jesus in the Sermon on the Mount (Luke 6:34–35), and though the context would suggest that one should not even expect repayment of the principal, the medieval church read his statement as a prohibition on interest. The lesson was reinforced by certain passages of the Old Testament that denounce “usury” without clearly defining the word (Exodus 22:25; Deuteronomy 23:19–20; Psalms 15:5), as well as Aristotle’s doctrine that money is sterile (*Politics* 1:10; *Ethics* 5:5). Jews were often permitted to lend to Christians at interest since they fell outside the spiritual authority of the church, thus demonstrating that the original purpose of usury legislation was to protect the lender from sin, not to protect the borrower from exploitation. The reputation of Jews as moneylenders was greatly exaggerated, however, and they never played more than a minor role in credit markets before the rise of the Rothschild Bank in the nineteenth century.
A papal bull of 1425 permitted Catholics to buy and sell perpetual annuities, at least when mortgaged against real property (a distinction that was eventually ignored). The Orthodox Church also relaxed usury laws by the sixteenth century. Though the Koran also denounces usury (2:275, 3:130, 4:161, 30:39), in the early fifteenth century the Ottomans came to allow a form of perpetual annuity known as the *cash waqf*. Originally created to fund charitable institutions such as schools and mosques, it became a common form of private investment by the sixteenth century.
In western Europe in the sixteenth century, Protestant reformers began to chip away at the remaining religious prohibitions on interest, which they associated with Scholasticism. Luther, Calvin, and Zwingli variously argued that interest is not usurious so long as the rate charged is moderate and the contract is in accordance with the Golden Rule (“Do unto others as you would have them do unto you”). Luther, moreover, insisted that one should submit to the laws of the state and not invoke biblical usury prohibitions as an excuse for default. In Catholic Europe, the Jesuits played a similar role in promoting the toleration of interest. The effect of such teachings was not so much to extinguish as to secularize discussions of usury law, so that by the eighteenth century the debate had become almost entirely utilitarian rather than exegetical.
Some Enlightenment writers, including John Locke and Jeremy Bentham, insisted on the complete deregulation of interest. Adam Smith believed that a legal ceiling on interest rates was justified to prevent consumption loans to spendthrifts, since lenders would consider them a bad risk at the legal rate. He agreed, however, that if the ceiling were set below the market rate for commercial loans, it would be counterproductive since merchants would be forced to borrow outside the law. Without the security provided by the law courts, lenders would charge a risk premium, thus actually raising, not lowering, interest rates. Anne-Robert-Jacques
Turgot made much the same point when he described an incident in Angoulême in 1769, in which a group of insolvent debtors brought financial panic, and thus extraordinarily high interest rates, on the entire city by attempting to prosecute their creditors for usury.
**LONG-TERM INTEREST**
Long-term bonds in early modern Europe usually took the form of perpetual annuities. The purchaser of the annuity (that is, the lender) paid a lump sum, in return for which the seller (or borrower) promised to pay a fixed coupon once a year forever. On the Continent the contract of sale had to pass before a notary (thus incurring notarial fees), as did any resale to a third party. The lender could not require the borrower to repay the principal, though the borrower could do so voluntarily at any time, and thus extinguish the loan. Throughout Europe, permissible coupon rates tended to fall from 10 percent or more in the sixteenth century to 5 percent or less in the eighteenth century. In any given period, coupon rates recorded in notarized contracts were usually simply the maximum allowed by law, and thus seemed to represent a legal fiction. That is, contracting parties presumably varied the yield rate of the bond simply by agreeing to a sales price somewhat higher or lower than that stated in the contract. For historians, the fluctuation of long-term interest rates on private bonds is thus largely unrecoverable.
European states also borrowed primarily through perpetual annuities, the most famous being the Consols with which Britain consolidated its national debt after the Glorious Revolution (1688–1689). By the eighteenth century state bonds were actively traded on national stock exchanges, and yield rates can often be inferred from the quotations printed in commercial newspapers. In Britain and the Netherlands, where representative assemblies managed the national debt to the advantage of their wealthy constituents, the risk on state bonds was essentially zero, and yield rates fell as low as 3 percent. In France, on the contrary, the monarchy issued partial defaults on its debt every few decades and could only continue to borrow by offering exceptionally high interest rates (which, of course, rendered future defaults more likely). The need for cheap credit to finance increasingly costly wars thus seems to have worked to the advantage of representative regimes, a fact that goes a long way toward explaining the widespread movement for constitutional reform in the second half of the century.
**SHORT-TERM INTEREST**
Starting in northern Italy at the end of the thirteenth century, merchants developed a variety of new forms of short-term credit that bore hidden interest. By far the most important were the promissory note and the bill of exchange. A promissory note is little more than an IOU by which the debtor (who in most cases is purchasing merchandise on credit rather than actually borrowing cash) promises to pay to the creditor, “or his order,” a given sum on a given date. Typically written at term of two to six months, rarely more than a year, such notes make no mention of interest, but the interest is in fact included in the face value. At any given moment the market value of a promissory note is thus its face value minus the “discount,” or interest over the remaining term. If, for instance, the discount rate is currently 8 percent per year (0.08), then a promissory note with a face value of 100 ducats payable in six months (0.50 year) is worth:
\[ 100 \text{ ducats} - [(0.50)(0.08)(100 \text{ ducats})] = 96 \text{ ducats} \]
The discount rate thus expresses interest not as a percentage of the principal borrowed, but as a percentage of the final payment (interest plus principal). If \( r \) is the interest rate as conventionally calculated, \( d \) is the discount rate and \( t \) is the term, then:
\[ r = \frac{d}{(1 - dt)} \]
At short term, however, the difference between \( r \) and \( d \) is negligible.
Through the bill of exchange, a merchant sells the right to collect a sum of money from his correspondent in a different city. Rather than an IOU, it is thus a sort of “he-owes-you” used to transfer funds between two geographically distant locations, either within the same country (inland bills) or in different countries (foreign bills). The value of the bill of exchange depends on the going exchange rate, expressed as a percentage premium or loss for inland bills, and as a rate of exchange between two national currencies in the case of foreign bills. As with the promissory note, the bill of exchange nowhere mentions interest, but merchants openly charged less for bills written at longer term. Even sight bills (technically payable one day after acceptance by the party on whom they were drawn) included a small amount of hidden interest, since it would take them several weeks to reach their destination through the mail. Bills payable one, two, or more months after acceptance sold at correspondingly more advantageous exchange rates. One of the curious results is that the going rate of exchange at any city A on another city B was consistently different from the rate of exchange at B on A. If a merchant purchased a bill of exchange at A on B, sent it to B, instructed his correspondent to use the funds to purchase another bill at B on A, and finally cashed the latter in A, he would end up with more than he started with, the difference corresponding to the interest on his initial outlay.
Bills of exchange and promissory notes did not require notarization. By the seventeenth century (and probably earlier) they were negotiable throughout Europe by simple endorsement. Issued by businesses large and small, they circulated widely. Unlike cash, commercial paper, with its hidden interest, constantly gained value until it came due. The portfolio of credits outstanding thus came to replace cash as the largest reserve of liquid wealth, not only for wholesale merchants but even for humble artisans and shopkeepers. The movement of the interest rate therefore directly concerned all business people.
**THE MOVEMENT OF INTEREST RATES**
The economic history of Europe has been written largely on the basis of grain prices. The movement of interest rates, though equally important, is less well known, largely because the habit of disguising interest makes the rates so difficult to recover. Eighteenth-century economists asserted that interest rates had fallen steadily from about 10 percent in the sixteenth century, to 6 to 8 percent in the seventeenth century, and to 5 percent or less in the eighteenth century. This long-run movement has been substantiated by the research of Sidney Homer and Richard Sylla.
The short-run movement of the discount rate at Paris and Amsterdam came to light suddenly in the eighteenth century, thanks to exchange rate quotations in *The Course of the Exchange*. Beginning in 1723, this British commercial newspaper printed two exchange rates at London on Amsterdam, one for sight bills and one for two-month bills. The percentage difference between the rates corresponds to the discount rate in Amsterdam, at least as it was known to London exchange agents. The newspaper similarly printed twin rates on Paris from 1740. For the period through 1789, discount rates in Paris averaged 5 percent and tended to peak in the autumn months as grain merchants borrowed heavily to finance the purchase of the harvest. Discount rates at Amsterdam averaged 4.5 percent and were not clearly tied to the agricultural cycle. Discount rates at Paris correlated poorly with those at Amsterdam, demonstrating that the two markets were not highly integrated. The most pronounced feature of each series was the sharp rise of interest rates during financial panics that tended to occur two or three times a decade.
Several studies have demonstrated that the London and Amsterdam capital markets were highly integrated with each other in the eighteenth century, and that one of the principal mechanisms of integration was interest rate arbitrage. That is, speculators frequently used the exchange market to move funds between these two cities in order to take advantage of the higher rate of return. London and Amsterdam were probably the exception, however. Interest rate arbitrage appears to have been far less significant at Paris, and the same was probably true in other financial centers.
**THE EIGHTEENTH-CENTURY DEBATE**
The economists of the Enlightenment shared with their mercantilist predecessors the conviction that high interest rates are a disincentive to invest, since any investment earning less than the interest rate will be unprofitable. Early modern economic policy was thus largely a set of strategies for reducing the interest rate. Enlightenment writers came to differ sharply from the mercantilists, however, in their theory of the determination of the interest rate, and thus in the specific strategies that they considered advisable.
Mercantilist writings of the seventeenth and early eighteenth centuries, including those of John Locke, are marked by a belief that the rate of interest is an inverse function of the money supply. Though often poorly articulated, this quantity theory of interest, suggestive of John Maynard Keynes's "liquidity curve," was clearly central to monetary thought and went largely unchallenged until the mid-eighteenth century. Like many late mercantilists, Montesquieu, in his *Spirit of the Laws* (1748), saw proof of the quantity theory of interest in the decline of interest rates from roughly 10 percent to 5 percent since the discovery of the Americas, which he thought was due to the resulting influx of silver. Thus, to encourage investment, mercantilists sought to draw bullion into the country by means of a favorable balance of trade. At times they also proposed more creative devices for increasing the money supply, such as John Law’s 1705 scheme to issue a paper currency based on the value of land.
Inspired in part by the early eighteenth-century writings of Richard Cantillon and Pierre de Boisguilbert, the Enlightenment subjected the quantity theory of interest to systematic critique. Boisguilbert had pointed out that most of the money supply was quasi-money in the form of commercial paper, and that its quantity was not dependent on stocks of coin. Cantillon argued effectively that an increase in the money supply would raise prices and thus leave the real money supply unaltered, with no long-run effect on interest rates. Adam Smith, David Hume, and the French Physiocrats repeated and developed these arguments. As Hume pithily remarked in 1752, “Silver is more common than gold; and therefore you receive a greater quantity of it for the same commodities. But do you pay less interest for it?”
Enlightenment writers came thus to argue that the rate of interest is an inverse function not of the supply of money, but of the supply of productive capital. The new theory, like the old one, offered a plausible explanation of the gradual decline of interest rates since the sixteenth century. Since the supply of capital was thought also to determine the rate of profit, the hope was now that at equilibrium the interest rate would fall below the profit rate, rendering all regulation of the interest rate unnecessary. Smith asserted that in England the profit rate was currently about 10 percent, and the interest rate about 5 percent. Though he acknowledged that the relationship was not strictly linear, he believed that the interest rate would rise or fall with the profit rate in such a way as to leave investors with a reasonable net profit. Still, the Physiocrats feared that excessive government borrowing might crowd out private investment by artificially bidding up the interest rate, and consequently sought to persuade the French monarchy to reduce budget deficits.
See also Banking and Credit; Capitalism; Hume, David; Law’s System; Locke, John; Mercantilism; Physiocrats and Physiocracy; Smith, Adam.
**BIBLIOGRAPHY**
**Primary Sources**
Hume, David. “Of Interest.” In *Essays Moral, Political and Literary*. Revised ed. Edited by Eugene F. Miller. Indianapolis, 1987.
Smith, Adam. *An Inquiry into the Nature and Causes of the Wealth of Nations*. Edited by Edwin Cannan. New York, 1937.
Turgot, Anne-Robert-Jacques. *Écrits économiques*. Edited by Bernard Cazes. Paris, 1970.
**Secondary Sources**
De Roover, Raymond. “What Is Dry Exchange? A Contribution to the Study of English Mercantilism.” *Journal of Political Economy* 52 (1944): 250–266.
Eagly, Robert V., and V. Kerry Smith. “Domestic and International Integration of the London Money Market, 1731–1789.” *Journal of Economic History* 36 (1976): 198–212.
Ferguson, Niall. *The Cash Nexus: Money and Power in the Modern World, 1700–2000*. New York, 2001.
Heckscher, Eli F. *Mercantilism*. 2nd ed. 2 vols. Translated by Mendel Shapiro. New York, 1955.
Hoffman, Philip T., Gilles Postel-Vinay, and Jean-Laurent Rosenthal. *Priceless Markets: The Political Economy of Credit in Paris, 1660–1870*. Chicago, 2000.
Homer, Sidney, and Richard Sylla. *A History of Interest Rates*. 3rd ed. New Brunswick, N.J., 1991.
Mandaville, Jon E. “Usurious Piety: The Cash Waqf Controversy in the Ottoman Empire.” *International Journal of Middle Eastern Studies* 10 (1979): 289–308.
Neal, Larry. *The Rise of Financial Capitalism: International Capital Markets in the Age of Reason*. Cambridge, U.K., 1990.
Rist, Charles. *History of Monetary and Credit Theory from John Law to the Present Day*. Translated by Jane Degras. New York, 1940.
Taetsch, Carl F. “The Concept of ‘Usury’: The History of an Idea.” *Journal of the History of Ideas* 3 (1942): 291–318.
Thomas M. Luckett
**INTERNATIONAL LAW.** See Law: International Law.
IRELAND. Ireland’s history has been shaped by the inescapable facts of geography. A small island at the western edge of Europe, barely within the mainstream of Continental experience, it lay beyond the reach of the Roman Empire (with all that that entailed for the development of law and modes of administration) yet would later become one of the great depositaries of Christian art, spirituality, and learning. The European context is crucial to an understanding of Ireland’s past, but the critical geographical fact is the island’s proximity to Britain. On a clear day, the Mull of Kintyre in southwest Scotland is visible from the Antrim coast in northeast Ireland. Gaelic civilization, moreover, extended like an arc along the western and northern coasts of Ireland into the Scottish Highlands. Scottish Lowlanders and the English referred to Scots Gaelic as the “Irish language.” From the importation by Gaelic lords of Highland mercenary soldiers—the gallowglass and the redshanks—to the role of Scots settlers in the Ulster plantation and the Scots army in the North in the 1640s, a strong Scottish dimension runs through early modern Irish history, though ultimately Ireland’s troubled relationship with its larger neighbor, England, would have the greater impact.
THE FALL OF THE HOUSE OF KILDARE
In 1450 Ireland was a lordship, and the king of England its lord. The English crown’s claim to sovereignty over the whole island had never been vindicated in practice, however, and during the later Middle Ages English power and jurisdiction were in retreat. Effectively, the king’s writ and the common law were confined to the Pale, the area of English settlement around Dublin, capital city and seat of royal authority. Beyond the Pale and the towns, the great Anglo-Norman magnates negotiated the shifting frontiers of Gaeldom through “march law,” a bastardized amalgam of common and Irish brehon (native) laws and customs. Even the levers of royal authority began to slip from the king’s grasp. The crown in Ireland was represented either by a lord lieutenant, a lord deputy, or, in the absence of one or the other, by lords justices. Between 1447 and 1460, Richard of York’s (1411–1460) political standing conferred stature upon the lord lieutenancy and, equally important, kept it within the orbit of the court. Then, between the 1470s and 1520, successive earls of Kildare virtually monopolized the office, using it as a source of patronage to extend their local power base and network of alliances.
The local autonomy enjoyed by the “Kildare ascendancy” has struck some historians of the old nationalist school as part of a wider pattern of incipient Anglo-Irish separatism. But it is surely anachronistic to attribute proto-nationalist ambitions to a political community, the descendants of the original Anglo-Norman settlers, that had no concept of an Irish “nation” in the modern sense. It did, however, have a strong sense of English identity, albeit “English by blood” rather than by birth. Nevertheless, from Parliament’s declaration that Ireland was “corporate of itself” (1460) to its declaration of legislative independence in 1782, Anglo-Irish constitutional relations provides a major framework for Irish political history. Subordination of Ireland to England (and, after 1707, Great Britain) and Irish resistance to subordination, though rarely rising to outright separatist aspirations, runs like a leitmotiv through these centuries.
The ascendancy of the earls of Kildare entailed a sometimes spectacular loss of royal control over Irish affairs, most vividly in 1487 when the Yorkist eighth earl, Garrett Mor, crowned the pretender, Lambert Simnel (c. 1475–1535), king of England in Christ Church Cathedral, Dublin. Kildare’s survival in office, despite his treason, underlines the weakness of the English crown in the fifteenth century. From a position of greater strength and internal stability, however, Henry VIII would not countenance such overmighty subjects anywhere within his realm. Thus, when the ninth earl was summoned to London under the shadow of the executioner in 1534, his son, Lord Offaly, “Silken Thomas,” led his followers in the Geraldine League into rebellion. The Geraldine revolt, which lasted until 1540, opened a new, blood-drenched chapter in Irish history. The advent of a new era was signaled by the first ever use of artillery—against the Kildare stronghold of Maynooth—by the ruthless suppression of the rebellion, and by the first stirrings of anti-Reformation Catholicism among the rebels.
The fall of the house of Kildare also inaugurated a prolonged phase of direct rule from London. That practice became the sine qua non of England’s Irish policy, and several illustrious names among EnIreland’s governing elite occupied Dublin Castle, namely the earls of Essex (1599), Strafford (1633–1640), and Chesterfield (1745–1747). There were notable exceptions to the rule: the Irish-born Protestant first duke of Ormond served as lord lieutenant under both Charles I and Charles II, while the Irish-born old English Catholic, the earl of Tyrconnell, held the office under James II in the 1680s. But after the first decade of the eighteenth century (when the second duke, Ormond’s grandson, served) occupation of Dublin Castle was reserved for Englishmen. Until the very end of that century, and the appointments of John Fitzgibbon as lord chancellor and Viscount Castlereagh as chief secretary, Englishmen monopolized all senior executive posts, including the lord lieutenancy, chief secretaryship, lord chancellery, and the archbishopric of Armagh. On one level, official Ireland, especially its established church, functioned merely as a patronage outpost for a British political system oiled by the disbursement of places, preferments, pensions, promotions, titles, and favors. On another level, control of the executive rested on British security considerations.
ENGLAND’S DIFFICULTY,
IRELAND’S OPPORTUNITY
Security underpinned England’s Irish policy. In essence, the concern was strategic. As Thomas Waring put it in the wake of the Cromwellian reconquest of 1649–1650, “humane reason and policie dictate’s that the hous cannot bee safe so long as the back door is open.” Ireland served as England’s “back door” as early as 1497, when another Yorkist pretender, Perkin Warbeck, landed at Cornwall with a
retinue of Irish supporters. Then, as Reformation and Counter-Reformation Europe split into warring camps, the vulnerability of Protestant England’s western seaboard (and the dangers of Spain’s sponsorship of Irish Catholic rebels) concentrated the Tudor mind. Spain (and the papacy) twice intervened in Ireland, landing troops at Smerwick, County Kerry (1580), and, in greater force, at Kinsale, County Cork (1601). Strategic necessity lent urgency to the Tudor reconquest of the sixteenth century and galvanized English determination to hold onto Ireland thereafter. Enemies changed, geography did not: French soldiers fought in Ireland in 1690 and 1798.
England’s dominance depended, at bottom, on coercive force. Beyond that, Whitehall and Westminster exercised an array of political, legislative, and administrative controls. These included the retention in English hands of key public offices and the imposition of restrictive laws limiting the autonomy of the Irish Parliament and regulating Irish trade. A few legislative landmarks plot the troubled course of Anglo-Irish relations. First, “Poynings’s Law” (1494), aimed originally at too-powerful lord deputies of the Kildare type, evolved into a procedure whereby all Irish parliamentary bills were subject to amendment—amounting to a veto—by the English Privy Council. The repeal of Poynings’s Law constitutes the so-called revolution of 1782. Second, the Irish Parliament’s subordinate status, institutionalized under Poynings, received confirmation in the Declaratory Act of 1720, a forthright assertion of Westminster’s supremacy in the Kingdom of Ireland. Finally, Westminster used its claim of jurisdiction to impose laws prohibiting the import of Irish cattle to England (1667) and the export of Irish wool (1699). Both laws long caused bitter resentment in Ireland, the preliminary controversy surrounding the latter provoking the classic defense of Ireland’s historic right to legislative independence, William Molyneux’s *The Case of Ireland Being Bound by Acts of Parliament in England, Stated* (London, 1698).
The roots of England’s perennial “Irish problem” lay in the failures of England’s Irish policies. By 1450, although the territory of the Pale had contracted, it still boasted the most densely populated, intensively cultivated, and economically diverse region of the country. Yet Gaeldom had also demonstrated its military and cultural vitality. And, as Sir John Davies recognized in his *Discovery of the True Causes Why Ireland Was Never Entirely Subdued* (1612), the Irish problem would remain intractable for so long as the Gael remained outside—and indeed resistant to—the boon of common law, civility, and, by Davies’s time, Protestantism or “true religion.” “All the world knows their barbarism,” Cromwell remarked of his Irish enemies. Only the adoption of English customs, Reformed religion, language, and law—in a word, anglicization—could save them from their wretched condition.
**GAELIC IRELAND**
The Gaelic Irish saw matters differently, and while the story of English–Irish conflict supplies the historian with a ready, dramatic, and compelling narrative structure, it is vital that historians not view the past solely in terms of that conflict. Early modern Ireland, viewed from the Atlantic shores of Donegal, looks rather different from the anglophone Ireland mapped and preserved in the Public Record Office. For the historian, the question of perspective is precisely about rescuing the Gaelic-speaking O’Donnell retainer and MacSweeny swordsman from the enormous condescension of the state papers. Gaelic politics, economy, and society are more difficult to reconstruct than Anglo-Ireland because they never generated the sorts of records—tax rolls, bureaucratic memoranda, even paintings—upon which historians usually rely. The Gaelic world has thus either remained hidden, or, as recently as 1988, been caricatured on the basis of the naive or hostile reportage of outsiders. Fortunately, the dearth of conventional sources has been circumvented somewhat by the mining of a rich, if tricky, lode of non-traditional evidence: Irish-language poetry. Excavations (and cataloguing) are still in the heroic phase, but already the findings of scholars working with these hitherto underused sources have altered and enhanced our understanding of, for example, the depth and range of Irish Jacobite sentiment in the eighteenth century.
English late medieval society, including the Irish Pale, was organized around legally binding principles of mutual obligation and services based on land tenures. In contrast, in Gaelic society land ownership and inheritance, obligation, and political
succession were determined by kinship. A chief’s power rested on his ability to enforce it, and under the system of “tanistry” his designated heir was as likely a brother or cousin as an eldest son. Kinship, alliances through marriage and fosterage and the receipt of tribute from lesser clans defined a great chief’s status more than territory or even cattle—the staple of the Gaelic pastoral economy. Certain families, notably the O’Neills and O’Donnells in Ulster, the O’Connors in Connacht, and the MacCarthys and O’Briens in Munster, predominated. They inhabited a world of insistent, low-intensity warfare and comparative political instability. Exactions of tribute—in kind, or in military or labor services—lacked regulation, and by the early modern period were epitomized by the abuses of “coign and livery”—the billeting at free quarters by a chief of his dependants on his tenants.
The crown and the Dublin administration were not prepared to leave the natives to their own ways for three reasons. First, the inevitable processes of intermarriage, cultural interaction, and linguistic borrowings (in both directions) of the Gaedhil (or Irish) and the Gaill (or foreigners)—which historians call gaelicization but which the English called degeneracy—could not be permitted to continue. Second, the English “common law mind” embraced legal uniformity and abhorred local particularism. Ireland, reported an early-sixteenth-century English observer, comprised a patchwork of over sixty “countries” ruled by captains, each of whom “maketh war and peace for himself, and holdeth by the sword, and hath imperial jurisdiction within his room, and obeyeth to no other person.” Worse still, degenerate “captains of English noble family . . . follooth the same Irish order.” The gaelicized Anglo-Norman House of Desmond cast its shadow across the common law mind. Finally, particularistic march law and Gaelic custom rooted in local power bases challenged royal sovereignty as well as legal uniformity.
**CONQUEST AND “REFORM”**
Whereas conventional nationalist histories of sixteenth-century Ireland focused on reconquest, revisionist historians have recovered the Tudor commitment to reform, although conquest and, in Brendan Bradshaw’s terminology, “the catastrophic dimension of Irish history” are now being reintroduced to a more complicated picture. The set pieces of reform are the Act of Kingly Title (1541), which upgraded Ireland from a lordship to a kingdom, and “surrender and regrant,” under which Gaelic chieftains surrendered their titles to the crown and were regranted them in English law. Several leading figures were ennobled, for example “the O’Neill” now became Earl of Tyrone, and succession and inheritance were at least theoretically stabilized by the extension of primogeniture. In the longer run, however, the prospects for reform were dashed by the rise of confessional conflict.
In Ireland, the Protestant Reformation assumed the character of an alien imposition. Decisively, the old English, as well as the native Irish, remained Catholic. Protestants were—and remained—a minority. When the Tudors completed the reconquest by the subjugation of Hugh O’Neill (1603), Gaelic Ireland had suffered military defeat but retained its cultural identity. Ethnic origin divided the Gael from his fellow Catholic old English almost as much as from the Protestant new English, yet shared adversity during the first decades of the seventeenth century conspired to forge a common Catholic identity. The defeat of O’Neill was followed by “the flight of the Earls” (1607) when O’Neill and others fled to Catholic Europe. Interpreted as an act of rebellion, the fugitives’ lands escheated to the crown and were redistributed to English and Scottish settlers in the plantation of Ulster. The last bastion of Gaelic civilization thereby became the beachhead of British Protestantism in Ireland. The Scottish communities, moreover, laid the seedbed for Presbyterianism.
Stuart Ireland thus hosted four major ethno-religious groups: native Irish Catholics, old English Catholics, new English Protestants of the established church, and (before 1642, informally) Scots Presbyterians. Intra-denominational relations, already tense, strained to breaking point with the crisis of the Stuart monarchies in the late 1630s. Ireland, in fact, helped detonate the wars of the three kingdoms with the Ulster rebellion of 1641. Many Protestant planters were killed by insurgents, and lurid tales of massacre swept England, deepening the rage against popery and suspicion of the king, in whose defense the rebels claimed to act. Ireland, like England and Scotland, experienced the trauma of civil war in the 1640s. Alliances and allegiances shifted bewilderingly but, crucially, the old English were forced into military coalition with their Gaelic coreligionists. When Cromwell arrived in 1649 once more to subjugate the Irish and to revenge 1641, he made no ethnic distinctions among his papist enemies.
The land confiscations begun in the Tudor era and continued by the Ulster plantation reached unprecedented levels with the Cromwellian settlement. In 1603 Catholics owned more than 60 percent of the land; by 1659 that figure had been reduced to about 9 percent. During the reign of Charles II, Catholic ownership climbed back to around 25 percent, thanks to successful pleas in the court of claims, but fell again to 14 percent by the end of the century as a result of the forfeitures that followed the second defeat of Catholic Ireland in 1691. This time there would be no court of claims, but rather a relentless chipping away, by the implementation of penal laws, at the remaining Catholic-owned land. By 1775 it stood at 5 percent. The political nation, like the landowning elite, of eighteenth-century Ireland was Protestant. But the Protestants were a minority, and if anything is inevitable in history, the Catholics could not be excluded from public life and political power forever. A rising Catholic mercantile class had already begun to articulate its grievances by the 1780s, but once more it was events outside the island that catalyzed Irish politics, including the “Catholic question.” With the storming of the Bastille on 14 July 1789, a new epoch opened in European—and Irish—history.
See also Cromwell, Oliver; Dublin; England; Landholding; Law; Nationalism; Provincial Government; Revolutions, Age of.
BIBLIOGRAPHY
Brady, Ciaran, and Raymond Gillespie, eds. *Natives and Newcomers: Essays on the Making of Irish Colonial Society, 1534–1641*. Dublin, 1986.
Connolly, Sean J. *Law, Religion and Power: The Making of Protestant Ireland, 1660–1760*. Oxford, 1992.
Ellis, Steven G. *Ireland in the Age of the Tudors, 1447–1603: English Expansion and the End of Gaelic Rule*. London and New York, 1998.
Moody, T. W., F. X. Martin, and F. J. Byrne, eds. *A New History of Ireland III: Early Modern Ireland, 1534–1691*. Oxford, 1976.
JIM SMYTH
ISABEL CLARA EUGENIA AND ALBERT OF HABSBURG (Isabel Clara Eugenia, 1566–1633; Albert of Habsburg, 1559–1621), archdukes of Austria, governors and sovereigns of the Spanish Netherlands. Isabel Clara Eugenia, eldest daughter of Philip II of Spain and Elisabeth de Valois, learned statecraft at her father’s side. While her sister Catalina Micaëla (1567–1597) married the duke of Savoy in 1585, Philip found no suitable husband for Infanta Isabel. Sebastian of Portugal perished in battle, and Emperor Rudolf II proved too eccentric. In 1590–1593, when Philip vainly pressed Isabel’s claim to the French throne, he considered Charles, duke of Guise (1571–1640) for her hand before settling on Archduke Ernst of Habsburg (1553–1595), who was appointed governor-general of the revolt-torn Netherlands in 1593. Ernst died in 1595, and in 1597, Philip decided that Isabel would marry Ernst’s brother, Cardinal-Archduke Albert, who had succeeded Ernst in the Netherlands, and arranged the necessary dispensations with Rome.
*Isabel Clara Eugenia*. Portrait by Atelier of Pourbus. *The Art Archive/Musée du Château de Versailles/Dagli Orti*
Albert, sixth son of Emperor Maximilian II and Philip II’s sister Maria, had gone from Austria to Spain in 1570 with his sister Ana when she married Philip II. Groomed for the church, Albert was nominated cardinal in 1577 and was soon designated archbishop of Toledo to follow the aged Gaspar de Quiroga, who did not die until 1594. Cardinal-Archduke Albert meantime filled political offices. Appointed viceroy of Portugal in 1583, he learned about military matters during preparations for the Spanish Armada and the defense of Portugal in 1589 against the English counterattack led by Sir Francis Drake. In 1593 Philip brought Albert to Madrid to assist him and guide Prince Philip, who later became Philip III. Appointed governor of the Netherlands in 1595, Albert had mixed success in his battles with the Dutch stadtholder Maurice of Nassau, the son of William of Orange, and with Henry IV of France. In May 1598 Albert achieved the treaty of Vervins with France. The same month, Philip II bestowed sovereignty of the Netherlands on him and Isabel, with the proviso that if either died childless, the Netherlands would return to the Spanish crown.
Philip II died that September, and his son Philip III (1598–1621) had come to the throne when Albert, never priest and no longer cardinal, married Isabel at Valencia in May 1599. Together the “archdukes” returned to Brussels. Maurice invaded Flanders briefly in 1600 and defeated Albert in battle. Albert’s army became mutinous without pay, yet with Isabel’s encouragement in 1601 he laid siege to Ostend, the remaining rebel stronghold in Flanders. He also achieved peace with England. Ambrogio Spinola (1569–1630), Genoese banker turned soldier, repaired the army’s finances and took over the siege. Pressured by Madrid, Albert gave him command of the army. In 1604, Ostend surrendered.
In the same years Albert, in collaboration with Isabel, sought through diplomacy to end the Dutch revolt and reunite the provinces of the Dutch Republic with the “obedient” provinces known as the Spanish Netherlands. Isabel and Albert were often at odds with Madrid. In religion they favored persuasion and Catholic revival rather than fire and the stake. But religious differences remained profound and talk of toleration too vague for either Catholic or Calvinist. The archdukes’ centralization of government, however efficient, and their ignoring of the southern States General after 1600, ran contrary to Dutch republican ideals. Amsterdam did not want Antwerp as a rival. Trade concessions in Spain’s empire seemed too conditional, its plunder more appealing. Refugees who moved their businesses to the Dutch Republic did not relish a revived Flanders. And all knew that the archdukes remained dependent on funds from Spain and a consideration in Spanish strategy.
The fortunes of war seesawed, and both sides became exhausted, while France and England tired of the cost of backing the Dutch. In 1609 a compromise Twelve Years’ Truce was achieved. The years of peace proved unsettled. Industry languished though urban oligarchs prospered, and the nobility tightened its hold on the countryside. Culture flourished. Louvain and Douai became centers of Catholic learning while the baroque style inspired the arts. The archdukes became patrons of Peter Paul Rubens.
International crises, such as the Jülich-Cleves dispute of 1609–1610, proved frequent. In 1618,
the Thirty Years’ War commenced, and Albert sent Spinola to devastate the Rhine (or Lower) Palatinate. In 1621, Albert died as the Twelve Years’ Truce with the Dutch, which he had tried to extend, expired. The Spanish Netherlands reverted to Spain. Infanta Isabel became governor for her nephew Philip IV while Spinola remained in command of the army.
In the field Spinola capped his successes in 1625 when Breda surrendered, but in 1628 he was called to Italy. The war turned against Isabel, and sedition spread although she was personally beloved for her works of charity. In vain she sought peace for the Spanish Netherlands. She summoned the States General in 1632 and employed subtle diplomacy using Rubens. Disheartened, she died in Brussels after a brief illness on 1 December 1633.
See also Dutch Republic; Henry IV (France); Marie de Médicis; Netherlands, Southern; Philip II (Spain); Philip III (Spain); Philip IV (Spain); Rubens, Peter Paul; Thirty Years’ War (1618–1648).
BIBLIOGRAPHY
Allen, Paul C. *Philip III and the Pax Hispanica 1598–1621: The Failure of a Grand Strategy*. New Haven, 2000.
Caiero, Francisco. *O Arquiduque Alberto de Austria Vice-Rei e Inquisiátor-mor de Portugal*. Lisbon, 1961.
Terlinden, Charles. *L’Archiduchesse Isabelle*. Brussels, 1943.
Thomas, Werner, and Luc Duerloo, eds. *Albert and Isabella 1598–1621; Essays*. Turnhout, Belgium, 1998.
Peter Pierson
ISABELLA OF CASTILE (1451–1504), queen of Castile and joint ruler of Aragón. Isabel I was born in medieval Castile; she died in early modern Spain, having had much to do with the transition from medieval to modern. She was three years old in 1454 when her father, King John II (ruled 1406–1454) of Castile, died and her older half-brother, Henry IV (ruled 1454–1474), succeeded him. That year too another event paved her way to the crown and did much to determine the course of her reign: Constantinople, the eastern capital of Christendom, fell to Muslim Turks, causing widespread fear of Turkish advance into the West and a papal call for crusade. Henry IV responded to it by renewing war against Granada, the last Muslim kingdom in Iberia. Some powerful nobles, already perceiving themselves shunted aside by the king, adjudged his pursuit of that war halfhearted. Civil war erupted in the 1460s, ending only when Henry named Isabel, whom the dissidents favored, his heir.
Against Henry’s wishes, Isabel in 1469 contacted, met, and married Ferdinand, prince of Aragón, in what proved a love match and lifelong partnership, and put Spain on the road to national unity. The couple were cousins, their goals similar and their personalities complementary. On Henry’s death in 1474 civil war again broke out. Two years later, it was clear the couple had won. Isabel emerged as reigning queen in Castile with Ferdinand as her consort. Yet from the outset, the reign was publicized as joint at Isabel’s insistence, attesting to her sensitivity to the popular temper and mind cast and her recognition of a queen’s limitations even while she overcame them. A medieval ruler was expected to do justice, lead in war, and lead subjects to God, guiding them to salvation. Having triumphed in war, Isabel immediately and effectively presided over a court of law in Seville, Castile’s largest city. She chose her closest advisers from the two most educated groups, clergy and lawyers (most lawyers were also clergy). In medieval Europe, and especially in Spain, the monarch traditionally headed the church, while the clergy represented rulers as divinely sanctioned and were looked to as intermediaries linking the crowned heads and the people.
Isabel herself exhibited piety, but less the lady-praying-on-her-knees variety often ascribed to her than the militant Christianity of Spain’s greatest kings, those who showed themselves as finding their highest purpose in the crusading endeavor to reconquer Spanish territory held by Muslims since 711. In announcing that such was her intent and thereby also reinforcing her own initially shaky right to rule, Isabel put traditional imagery to work. During her coronation she had a double-edged sword, perceived as the sword of justice, of God’s warriors, and of divine wrath and vengeance, carried before her. As one of her first acts as queen, she commissioned tombs for her parents at Miraflores outside Burgos, their prominent display of the well-understood symbols of star and sun announcing her dynastic commitment to achieving Spain’s cosmic destiny. She sponsored the Toledo church dedicated to her patron saint, San Juan—St. John the Evangelist, whose Book of Revelation promised salvation to the godly and a messianic end to history, promises often interpreted among the Spanish as made to themselves, the new Israel. When she gave birth in 1478 to a son, Juan, the prince was greeted in messianic terms in attendant ceremonies and by chroniclers and clergy. Moreover, it was expected that Juan, as heir to the crowns of both Castile and Aragón, would one day in his person unite Spain.
Isabel grew up in wartime, and war remained central to her evolving reign; no war was more popularly unifying, or of more transcendental purpose, or more capable of centralizing royal power than the by then traditional religious and national mission of reconquest. Resumption of war against Granada was announced in 1480, along with such other centralizing measures as codifying laws and reclaiming crown lands from nobles. Concurrently, Isabel also asserted royal religious authority in instituting the Spanish Inquisition (1478), designed to find and punish religious heretics and apostates. Its focus was those converted Jews, *conversos*, who still held to Jewish beliefs. Thereafter, Isabel’s Spain waged religious warfare on two fronts, both internally and against the Muslim kingdom of Granada.
For nearly a decade, year after year, she relentlessly directed campaigns against the sprawling and mountainous kingdom of Granada. She oversaw recruitment, finances, and supplies, conferred on strategy, and on occasion cajoled Fernando into keeping to the field as military commander, or herself joined Spanish armies at the front during long sieges. On 1 January 1492, she and Ferdinand rode ceremoniously into the city of Granada. It was not simply happenstance that Isabel sent out Christopher Columbus that same year with instructions to find a sea route to the rich East and through it to the goal of all crusaders, Jerusalem, then under Muslim control; nor that in 1492 she and Fernando expelled Spain’s Jews and, in 1502, Castile’s Muslims. Rather, each of those measures was spoken of as advancing Christian conquest in accord with Spain’s mandate.
Veterans of the Granada wars fought on, in Navarre, and in Italy against France and for the papacy, which in appreciation designated Spain’s rulers “Los Reyes Católicos,” The Catholic Kings. Many helped establish Spanish rule in the Caribbean islands and explored mainland coasts. Isabel looked on the peoples encountered as her subjects; she directed that they be instructed in the Spanish language and ways and in the Christian faith and that, if peaceful, they be well treated, but that those who warred on the Spanish be enslaved. A codicil to her will instructed her heirs that “if [the Indians] were receiving any harm, to remedy it, so that it did not exceed the apostolic order of concession.” Arguably, nothing more succinctly expresses a piety that linked the royal role, morality, law, and national interest, and viewed all of them in an international context regulated and guaranteed through a religion and its titular head on earth.
In what was Isabel’s last decade, Spain experienced aspects of the Renaissance. Isabel acquired paintings and tapestries by Flemish masters and pietistic devotional books from the new printing presses. Increasingly ill, she appears to have become more introspective, more concerned with her immortal soul and those of her subjects, and more averse to men dying in wars with no religious aim. And she repeatedly suffered personal loss. She had made grand dynastic marriages for her five children—encircling France and creating an alliance with the powerful Habsburgs who ruled the Lowlands and much of Germany and Austria through the double marriage of her son Juan to the Princess Margaret and her daughter Joanna to the Habsburg heir, Philip. She married her daughter Isabel to the Portuguese King Manuel, and, when young Isabel died in childbirth, had another daughter, María, wed Manuel. And she sent her youngest child, Catherine, to England to wed Prince Arthur. She did not live to see Arthur die and his brother, becoming King Henry VIII, marry the widowed Catherine of Aragón. Probably of greatest impact on Isabel was the death of her son Juan, leaving as heir to Castile her oldest surviving child, the unstable Joanna, known to history as “La Loca” (“The Mad’). Nor did she live to see Joanna’s son Charles I (Holy Roman emperor Charles V) unite Castile and Aragón as well as inherit Habsburg lands and new dependencies in America to make real what she fully expected to be Spain’s future, a globe-encircling empire.
Spain came into modernity as one of Europe’s most powerful and esteemed monarchies, but selectively, as a society closed to all aspects of modernity at odds with its dominant, nation-building religious beliefs.
See also Charles V (Holy Roman Empire); Ferdinand of Aragón; Inquisition, Spanish; Spain.
BIBLIOGRAPHY
Boruchoff, David A., ed. Isabel la Católica, Queen of Castile: Critical Essays. New York, 2003.
Ladero Quesada, Miguel Ángel. La España de los Reyes Católicos. Madrid, 1999.
Liss, Peggy K. “Isabel of Castile: Her Self-Representation and Its Context,” In Queenship in Early Modern Spain, edited by Theresa Earenfight. New York, 2003.
———. Isabel the Queen: Life and Times. New York, 1992. Spanish language edition Isabel la Católica. Madrid, 1999.
———. “Isabel I of Castilla, reina de España.” In Isabel la Católica, edited by Pedro Navascués. Madrid, 2002.
PEGGY K. LISS
ISLAM IN THE OTTOMAN EMPIRE. The Ottoman Empire was an Islamic polity that originated in early-fourteenth-century Anatolia. Islam had been established in Anatolia before the emergence of the empire, but between the fourteenth and sixteenth centuries the religion spread with Ottoman conquest to the Balkan Peninsula and central Hungary. This does not mean that the population was uniformly Muslim. In many parts of the Ottoman Empire, most notably in the Balkan Peninsula, Christians formed a majority of the population, and even in areas where Muslims formed a majority there was usually also a minority of non-Muslim inhabitants. Unlike some of the rulers of western Europe, the Ottoman sultans never attempted to impose religious uniformity. Islam was, however, the dominant religion, and the political structure of the empire reflected this fact. The dynasty itself was Muslim and, before the reforms of the nineteenth century, with rare exceptions, non-Muslims could not hold regular political office or military command. Christians and Jews were able to participate in the maintenance of the empire by serving as tax farmers or contractors supplying, for example, cloth for Janissary uniforms or materials to the naval arsenals, but they could not serve as viziers, provincial governors, or army commanders. In the fourteenth and fifteenth centuries a few Christian fief holders in the Balkans retained their positions in the years immediately after the Ottoman conquest but, as their descendants converted to Islam, this phenomenon disappeared within a generation. In the Balkans, too, some Christian groups served as military auxiliaries into the sixteenth century. More important in the day-to-day lives of the sultan’s subjects, the system of law courts also reflected the dominant position of Islam. The Christian and Jewish communities maintained their own courts for regulating intracommunal affairs, but only the network of Muslim courts covered the entire empire, and only Muslim courts were open to all the sultan’s subjects, irrespective of religion. Any cases involving Muslims or a Muslim and a non-Muslim had to be heard in the Muslim court and, in principle, a non-Muslim could not testify against a Muslim. The exclusion, therefore, of non-Muslims from political office and the supremacy of Islamic law guaranteed the hegemonic position of Islam within the Ottoman Empire. At the same time, the imposition of *jizya*, a poll tax on adult non-Muslim males, and the occasional short-lived imposition of dress restrictions on non-Muslims, symbolized the inferior position of Christians and Jews.
**FORMS OF ISLAM**
By the time of the emergence of the Ottoman Empire in the fourteenth century, Islam was fully formed as a system of belief with its associated intellectual, legal, and cultural attributes. The central concept of the religion was “knowledge,” or *ʿilm*, meaning specifically the knowledge of God through revelation. God had revealed himself to mankind through the missions of the prophets, among whom Abraham (Ibrahim), the monotheistic founder of the Kaʿba at Mecca, Moses (Musa), and Jesus (ʿĪsa) held especially revered positions. The recognition of Abraham, Moses, and Jesus as prophets before the final revelation of Islam justified the tolerated but subordinate positions of Jews and Christians within the Ottoman Empire and other Islamic polities. God’s final and most perfect revelation was through the prophet Muhammad, “the Seal of the Prophets.” The primary text of revelation is the Koran. This is regarded by Muslims as the literal word of God transmitted to mankind through the medium of the Prophet. The record of the sayings and actions—the hadith—of the Prophet, as an exemplar to mankind, form the second text of the revelation. It is through the Koran and hadith, therefore, that man can know God and, in principle, these form the foundation of knowledge, or *ʿilm*.
A seeker after knowledge had first to study Arabic, the language of revelation and the language of science, which acquired a role in the Ottoman Empire and in the Islamic world as the universal language of religion, somewhat similar to the role of Latin in western Christendom. The study of the sacred texts and the sciences in general also required a grounding in logic and rhetoric. With these tools at his disposal, a scholar could embark on any of the specialized branches of *ʿilm*, which developed as discrete, though interrelated genres: the interpretation of the Koran (*tafsīr*), the study of hadith, theology (*kalam*), dogma (*aqīdah*) or law (*fiqh*). These were the sciences through which one acquired a knowledge of God, and which therefore formed the central curriculum of Ottoman and other Islamic colleges. Subsidiary sciences—for example, the life of the Prophet (*sīra*), history (*taʾrīkh*), the vitae of saints or scholars by generation (*tabaqat*)—served to strengthen sectarian or dynastic identity, and all came to form genres of Ottoman literature. Of the sciences, it was the study of law (*fiqh*) that enjoyed the greatest prestige and made the greatest impact on communal and individual lives. It represented not exactly God’s commands to mankind, as these are ultimately unknowable, but the best that humankind can achieve in its efforts to discover God’s law. It regulated not only secular affairs, notably in the sphere of family law, but also rituals such as ablution, prayer, fasting, and forbidden foods. The basics of the law, popularized as the “five pillars of Islam”—the profession of faith, prayer five times daily, charity, fasting during Ramadan, and the pilgrimage to Mecca—are something that every Muslim must know. In many respects, therefore, it was the adoption of Islamic law—the *sharʿ* or *shariʿa*—that gave Ottoman, and other Islamic societies, their distinctive form.
A person who had studied *ʿilm* was an *ʿalim* (‘one who knows [God]’) and enjoyed great prestige. The plural of *ʿalim* is *ʿulama*, and the ulema came to form a respected class within all Muslim societies, often, as in the Ottoman Empire, wielding political as well as legal and spiritual power.
*ʿIlm* was not, however, the only route to knowing God. Already in the early centuries of Islam some claimed to know God through direct revelation, a condition exemplified by the saying of al-Sarrāj (d. 988): “There is no *ʿilm* that is known and nothing that is understood except what exists in the Book of God, or is transmitted from the Messenger of God, or in what is revealed in the hearts of saints.” In order to distinguish the knowledge of God acquired by direct revelation “in the hearts of saints,” its adepts, the Sufis, referred to it not as *ʿilm*, but as *ʿurf* or *maʿrifa*, both words having the sense of “knowledge.” This doctrine had revolutionary potential, since a person claiming knowledge via direct divine inspiration could claim to be above the divine law as professed by the ulema. Indeed some Sufis, notably al-Hallaj (d. 909), who reputedly suffered death for declaring “I am God,” did emerge, in the Ottoman Empire and elsewhere, as opponents of the religious and political order.
What is more remarkable, however, is how *tasawwuf*, the faith of the Sufis—radically different from the religion of the ulema—came to form a branch of orthodox Islam.
In principle, ‘ilm and ‘urf are antagonistic in their fundamental beliefs. In orthodox belief, God created the world ex nihilo; he revealed himself through his prophets; the world will end with the Resurrection and the Judgment, where individuals will be judged and assigned in eternity to Heaven or Hell. In Sufi belief, all creation was originally one with God. God created mankind and the universe because “He was a hidden treasure and wished that He should be known.” Since this separation from the Creator, all Creation has yearned to return to its Maker. The Sufi therefore yearns to be reunited with God, as the lover yearns for union with the beloved. In orthodox Islam, knowledge of God comes through written revelation whose interpretation is the preserve of the ulema. In Sufi belief, knowledge of God is acquired through direct experience, or “taste” of God.
There has at all times been antagonism between some of the orthodox ulema and the Sufis. For example, in the Ottoman Empire of the mid-sixteenth century, the jurist Ibrahim of Aleppo (d. 1549) and the Ottoman chief mufti, Çivizade Mehmed (d. 1542), adopted anti-Sufi positions, while the Sufis for their part conducted a literary polemic against these orthodox opponents. The poet Khayali (d. 1586/57) compared the orthodox ulema who could not recognize that God was in the world around them to “fish who are in the sea, but do not know what the sea is.” Nonetheless, opponents of the Sufis remained a minority and *tasawwuf* in practice became an important strand of mainstream Islam in the Ottoman Empire.
*Tasawwuf* grew in importance through doctrinal development. In the developed Sufi theory of knowledge, the first rule that a Sufi must follow is obedience to the *shari‘a*. This precept brought *tasawwuf* within the bounds of orthodoxy. Second, the spiritual goal of most Sufis was not to declare “I am God,” but to seek “annihilation of the self in God”; the Sufi’s soul became like “a drop of wine in the ocean of God’s love.” In other words, *tasawwuf* became quietist rather than activist. At the same time, *tasawwuf* became institutionalized. Different orders of Sufis formed around the memories of Sufi saints, and these organizations acquired properties and endowments, to preserve which they had to remain acceptable to orthodox Islamic regimes. Finally, the favorable opinions of al-Ghazali (d. 1111), perhaps the most influential Islamic thinker, made *tasawwuf* acceptable to most orthodox opinion. Some orders, it is true, remained unacceptable. In the Ottoman Empire, an offshoot of the Bayrami order of Sufis, which formed after 1450, adopted the activist belief that God is manifest in the human form, thus putting men—or at least their members—above the dictates of the *shari‘a*. These Sufis constituted an underground and ineffective, though persecuted, opposition to orthodox Islam and the Ottoman sultanate.
**THE POLITICAL STRUCTURE OF OTTOMAN ISLAM**
Although *tasawwuf* may have been the strongest influence on the beliefs of many, if not most, Ottoman Muslims and permeated Ottoman literature, music, and visual art, it was the Islam of the ulema that was significant in determining the structures of the empire. A few surviving literary fragments suggest that in the fourteenth century, the level of Islamic learning in the Ottoman Empire was very low. Persons wishing for an advanced Islamic education at this period traveled to the old Islamic world, especially to Damascus or Cairo, and it was largely these returning scholars who transferred Islamic doctrine and law to the Ottoman realms and trained the early generations of Ottoman ulema. By the mid-fifteenth century, with the establishment of a system of colleges within the empire and the formation of a learned class, there was no further need for such learning journeys.
The religious colleges (madrasas) attached to mosques throughout the empire, established on the model of the madrasas in the old Islamic world, were the institutions that trained the ulema. The most prestigious colleges were royal foundations, with the Eight Colleges of Mehmed II (1451–1481) and the colleges attached to the mosque of Suleiman I (1520–1566), completed in 1557, enjoying the highest rank, and the foundations of senior statesmen occupying the second tier. Each college was an independent institution with a separate endowment. In the sixteenth century, however, Suleiman I and later Mehmed III (1595–1603)
made efforts to formalize the hierarchy of colleges and, to a degree, to control the curriculum, which remained firmly based on the medieval Islamic classics. By the seventeenth century there seems to have been a well-recognized hierarchy, based on the wealth of the endowment and the level of the curriculum. From the late seventeenth century, when the empire began to lose territories, some colleges suffered as the lands that provided their endowments passed into foreign hands.
It was the colleges that maintained the level of Islamic learning in the empire. A graduate might find a position as imam in an important mosque; he might stay in the system as a teacher (mudarris); or he might choose a career as a judge (qadi). However, if he opted for a legal career immediately on graduating, he would, at least between the sixteenth and eighteenth centuries, find his career confined to the judgeships of small towns. Judgeships of the great cities, especially of Istanbul, Edirne, and Bursa, were reserved for mudarris from the Eight Colleges or other high-ranking madrasas. Furthermore, between the sixteenth and the eighteenth centuries, a few ulema families monopolized these prestigious teaching positions and judgeships. It was also from the judges of the great cities that the sultan chose the two military judges (kadiaskers), the senior judges of the empire, who sat on the Imperial Council. Below the level of the great cities, however, most of the judges and religious officials tended to be local men, who from the sixteenth century would normally have received part of their education in Istanbul.
The judges, at all levels, administered Islamic law, and in continuing to exercise this function at all times, including times of crisis, they played the major role in ensuring the stability and continuity of Ottoman government. Of the four schools of law within Sunni Islam—the Shafi'i, Maliki, Hanbali, and Hanafi—the Ottomans adopted the Hanafi school, presumably because this is the school that was already established in pre-Ottoman Anatolia. As the Hanafi jurists typically offer more than one acceptable solution to each legal problem, the Hanafi was perhaps the most flexible of the schools and, for this reason, the most suitable to form the basis of a working legal system. After their formative period in the early Islamic centuries, the four schools remained mutually exclusive. According to Hanafi theorists, for example, a person could have recourse to a Shafi'i judge only in the two cases for which the Hanafi school offered no solution: the dissolution of an oath or when a deserted wife seeks a dissolution of marriage. The Ottomans endorsed this exclusivity, although among the general population in the Arab lands there was some movement between schools.
Judges in the Ottoman Empire as elsewhere put the law into effect by virtue of the delegation to them of sultanic power. Above the judges stood the muftis. A mufti is a religious authority with the competence to issue fatwas, authoritative opinions on any religious-legal problems that questioners may ask. A fatwa is not an executive command; it requires a judge's or sovereign's decree to put it into effect. It also differs from a judge's decree, in that the judge's decree is valid only for the case in hand, while the fatwa has a universal validity. Ottoman fatwas reflect this understanding by reformulating each question so as to conceal the identity of the questioner, even if the questioner was the sultan himself, to remove specific details of the case such as time, locality, or personal identities, and to eliminate details not relevant to the case in question. Between the sixteenth and eighteenth centuries, Ottoman fatwas in their content, format, and anonymity came increasingly to resemble the classical juristic texts which were the source of their authority.
The mufti in theory remained above and apart from the secular power, a concept embodied from the sixteenth century in Ottoman ceremonial, where the sultan stands in the presence of the chief mufti. His authority derived from his role as interpreter of the Holy Law in its application to mundane realities, including the realities of political power. In much of the Islamic world, muftis acquired their role through public recognition rather than official appointment, and really did stand apart from the secular power. In the Ottoman Empire, however, the muftis were effectively part of the government. The chief mufti, or sheikh al-Islam as he came to be known by the seventeenth century, was the senior figure in the religious-legal establishment, and usually achieved the position by serving first as a senior judge and then as a military judge; like these offices, the chief muftiship after the mid-sixteenth century came to be the preserve of a very
few ulema families. The chief mufti owed his exalted position partly to the Islamic view that accorded greater dignity to muftis than to judges, but also to the prestige of two sixteenth-century holders of the office, Kemal Pashazade (1525–1534) and Ebu’s-su’ud Mehmed (1545–1574). Ebu’s-su’ud in particular systematized the chief mufti’s major function of issuing *fatwas*, ensuring that his office was able to undertake a great volume of work to a high standard. The system that he established remained in its essentials intact until the end of the empire. The chief mufti came to have an important, if informal, role in the Ottoman government. Outside the capital, muftis were sometimes official appointees, but did not enjoy high status of the chief mufti, and their function could often be fulfilled by the *mudarris* of a local college.
**TASAWWUF IN THE OTTOMAN EMPIRE**
By the time of the establishment of the Ottoman Empire, *tasawwuf* was well established in the Islamic world and accepted, within limits, as a form of orthodox Islam. Groups of Sufis had established and continued to establish their own orders (*tariqas*) throughout the Islamic world, each with its own saints and distinctive beliefs and rituals. Many of the orders that originated outside the empire found disciples in Ottoman territories. For example, the Khalveti order, named after the eponymous saint ‘Umar al-Khalwati, originated in late-fourteenth-century Azerbaijan. During the fifteenth century the disciples of the Khalveti sheikh Yahya al-Shirvani (d. c. 1463) brought the order to Anatolia. When he was governor of Amasya, the future sultan Bayezid II (1480–1512) was initiated as a Khalveti and established the order in Istanbul after he became sultan. Later, Murad III (1574–1595) was also initiated. Other orders originated within the Ottoman Empire itself. For example, the Bayrami order was the creation of Hajji Bayram (d. 1429/30), who established the fraternity originally among the craftsmen of Ankara. His successor Ak Shemseddin (d. 1459) became a spiritual mentor to Mehmed II.
Once established, Sufi orders sometimes split into smaller groups, the Khalvetis, for example, giving birth to ten or more subgroups during the sixteenth and seventeenth centuries. The Bayramis, too, split into two groups after 1450, the orthodox group following Ak Shemseddin, the “heretical” group, the Melamis, coming under the leadership of ‘Ömer the Cutler (d. 1475/6). This group became particularly active in Bosnia. By the late seventeenth century, however, the Melamis had reemerged as an orthodox order, although distinct from the original Bayramis. Conversely, different groups could merge. The Bektashi order, which took its name from a fourteenth century saint, Haji Bektash, formed as a coherent order under the leadership of Balim Sultan about 1500, and absorbed and syncretized a wide range of Sufi and other popular beliefs. The Bektashis became particularly well established in Albania.
Many Muslims in the Ottoman Empire belonged to a Sufi order, giving these an essential role not only in disseminating popular faith but also in establishing networks and social solidarity among members. In some orders membership included women, giving them a role not available in orthodox Islam. The orders could also acquire charitable functions, the rural lodges of the Bektashis, for example, providing accommodation for travelers. Above all, they influenced the cultural life of the empire. Each order had its own liturgy and ceremonies, usually involving music, recitation, singing, and sometimes dancing, and to preserve their traditions the orders had to train adepts in these arts, many of whom acquired fame beyond the confines of the organization. The Mevlevi order—the so-called whirling dervishes—had a particular educational role. The sacred text of the order, the lengthy mystical poem known as the Mesnevi, by its eponymous saint, Mevlana Celaleddin Rumi (d. 1273), is written in Persian, a language that Mevlevis therefore had to learn. Since Persian was not taught in Ottoman madrasas, it was above all the Mevlevi lodges that provided instruction and were instrumental in maintaining the enormous prestige of Persian culture in the Ottoman Empire. They also acted as musical and literary academies. The most celebrated Ottoman composers and many Ottoman poets from the seventeenth to the nineteenth century were Mevlevis. While the Mevlevi order was a repository of Ottoman high culture, the Bektashis played a similar role in transmitting popular culture, for example in preserving and adding to the corpus of Turkish religious poetry attributed to the semimythical Sufi of the thirteenth or fourteenth century, Yunus Emre.
**ORTHODOXY AND HETERODOXY**
Although *tasawwuf* had an intellectual tradition and a structure of “knowledge” that imitated *ʿilm*, its primary appeal was aesthetic rather than intellectual. The liturgies of the orders, which aimed to produce a state of ecstasy in participants as they “became drunk with the wine of God’s love,” offered a religious and theatrical experience that was not available in the impressive but austere ceremonies in the mosques. What was equally important is that the orders, and particularly those with a popular following, institutionalized popular piety, with its appetite for saints and miracles. The hagiographies of Sufi saints, such as Enisi’s early sixteenth-century vita of the Bayrami Ak Shemseddin, formed a branch of popular literature that provided entertainment, edification, and a focal point for people’s loyalties as adherents to a particular Sufi order. At the same time the shrines of saints, whether or not they had an association with a particular order, became sites of pilgrimage, offering cures for diseases or other of life’s problems. It was at this level that beliefs of Ottoman Muslims and Christians often became indistinguishable, with formerly Christian shrines, such as the Sufi lodge at Seyyid Gazi in Anatolia, becoming sites of Muslim veneration. Other sites attracted both Muslim and Christian pilgrims. An example of this was the shrine of St. George on the island of Levitha near Patmos, which became a site of Greek Orthodox, Catholic, and Muslim pilgrimages, St. George also acquiring the Turkish name Koç Baba.
Popular practices, notably visiting saints’ tombs and the liturgical use of music and dancing, always aroused the opposition of a section of the ulema. Hostility to these practices became particularly intense in mid-seventeenth-century Istanbul, when Mehmed Kadizade (d. 1635) and his followers, disciples of the fundamentalist scholar Mehmed of Birgi (d. 1575), preached against them in public, attacking in particular the rituals of the Khalvetis. Such attacks, however, never had a lasting effect, and most of the many *fatwas* issued on the subject of the Sufi orders are in fact tolerant of their practices, the higher ulema on the whole espousing a latitudinarian understanding of Islam. The affiliation of several sultans and many members of the political elite with the orders ensured that, in general, they enjoyed political protection. Furthermore, popular belief was ineradicable, and permeated even the sultan’s palace. As examples of this, the sultans provided employment for makers of talismans, and in 1640, the advice writer Kochi Bey urged the new sultan Ibrahim I (1640–1648) to carefully preserve a loaf of bread whose grain revealed the name Allah.
Nonetheless, despite the latitude of tolerated belief and practice, an official definition of heresy did emerge and became a matter of concern especially during the sixteenth century. This development was closely linked to the claims of the Ottoman dynasty, which drew on Islamic themes to legitimize its rule. Until about 1500, these legitimizing elements came primarily from folk religion. Through dreams, God had promised sovereignty to the first sultan Osman and his father; the dynasty had gained a spiritual descent from Osman’s marriage to the daughter of a saint; saints led the sultan’s warriors in battle. In the sixteenth century, however, the dynasty came to derive its legitimacy from orthodox Islamic tradition. This was partly a consequence of the increasing influence of classically trained ulema in the empire, but partly also a consequence of external events. In 1516/17, the conquest of the Mamluk empire made Selim I (1512–1520) and his successors lords of Mecca and Medina, the holy cities of Islam. This gave the Ottoman sultan the prestigious title of “Servitor of the Two Holy Places,” and also the responsibility for the safety of the pilgrimage routes to Mecca. He could now, as the upholder of the religion, claim primacy among Islamic sovereigns. At the same time, the rise to power in Iran of the Safavid dynasty, which claimed spiritual power as leaders of the Safavid Sufi order, and whose Shiʿism contrasted with the Sunnism of the Ottomans, presented a religious and political threat to the Ottoman Empire, especially since the Safavids found many adherents to their order among the sultan’s subjects in Anatolia. The Ottomans countered Safavid propaganda by declaring the Safavids and their followers to be worse than infidels, and by presenting the Ottoman dynasty as the only defenders of Sunni Islam against this mortal danger. By the mid-century, Suleiman I was declaring himself to be “the one who makes smooth the path for the precepts of the *shari‘a*” and the one “who makes manifest the Exalted Word of God” and who “expounds the signs of the luminous *shari‘a*.” He was also the first Ottoman sultan to assume the title of caliph, implying the leadership of the entire Islamic world. With these developments the dynasty identified itself so closely with orthodox Sunni Islam that disloyalty to one implied disloyalty to the other.
It was particularly during Suleiman’s reign, and partly as a result of his claim to be the defender of the faith, that heresy acquired a clear definition. In identifying heresy, the ulema were not concerned with a person’s inner belief or private actions. These are matters between the individual and God. Their concern was with stated belief, certain tenets of the Holy Law or Sunni dogma providing the test. If, for example, a Sufi declared that the ceremonies of his order constituted an act of worship (*’ibada*), a term which in the *shari‘a* refers only to the obligatory purification, prayer, fasting, and alms-giving, then he was a heretic, because in claiming the ceremonies to be “obligatory” he was claiming an authority in prescribing ritual that only the *shari‘a* possessed. It was this test that the sultan used to execute the Melami Oğlan Şeyh and his followers in 1528. Provided, however, the Sufi did not declare his practices to be an act of worship, he remained within the bounds of orthodoxy. Since the *shari‘a* forbids Muslims to drink wine, if a Muslim declares wine to be licit, he has abjured the *shari‘a*, and become liable to death. If, however, he drinks wine without believing it to be licit he is not a heretic. In Ottoman religious “trials” the key to identifying heresy was the accused’s statements on what is canonically forbidden, permitted, and obligatory. A heretic was someone whose stated beliefs did not conform with the *shari‘a*. However, in the more merciless pursuit of Safavid sympathizers within the Ottoman realms a key indicator was whether or not the accused cursed the Orthodox caliphs, the denunciation of the first three successors to the prophet Muhammad being a tenet in Shi‘ite belief. Public behavior could also indicate heresy. It was for this reason that Suleiman I decreed in 1537 that the authorities should build mosques in all villages that lacked one and note who failed to attend the obligatory congregational prayers. In this way the sultan not only enforced Sunni ritual, in his capacity as protector of the faith, but could also, by their refusal to perform obligatory prayers, identify heretics. Since by this time the sultan identified his own legitimacy with Sunni orthodoxy, disavowal of the commands of the *shari‘a* was also identified as an act of rebellion against the dynasty.
In practice, therefore, the definition of heresy served to identify political opponents of the dynasty, and with changing political circumstances certain heretical beliefs became more acceptable. The persecution of Ottoman Shi‘ites, for example, seems to have stopped when, from the mid-seventeenth century, the Safavids of Iran no longer presented a political and ideological danger. Furthermore, since the Ottoman government demanded of Muslims no more than verbal adherence to certain tenets of the *shari‘a* and the outward performance of its obligatory rituals, and did not examine inward faith, a huge variety of beliefs and practices were able to flourish unmolested within Ottoman Islam.
*See also* Mehmed II (Ottoman Empire); Ottoman Dynasty; Ottoman Empire; Suleiman I.
**BIBLIOGRAPHY**
Birge, John Kingsley. *The Bektashi Order of Dervishes*. London, 1937.
Clayer, Nathalie. *Mystique, État et société: Les Halvetis dans l’aire balkanique de la fin du XVe siècle à nos jours*. Leiden and New York, 1994.
Faroqhi, Suraiya. *Der Bektaşchi-Orden in Anatolien: Vom späten fünfzehnten Jahrhundert bis 1826*. Vienna, 1981.
Gerber, Haim. *Islamic Law and Culture, 1600–1840*. Leiden, 1999.
———. *State, Society and Law in Islam: Islamic Law in Comparative Perspective*. Albany, N.Y., 1994.
Heyd, Uriel. “Some Aspects of the Ottoman Fetva.” *Bulletin of the School of Oriental and African Studies* 32 (1968): 35–56.
———. *Studies in Old Ottoman Criminal Law*. Edited by V. L. Ménage. Oxford, 1973.
Imber, Colin. *Ebnu’s-su‘ud: The Islamic Legal Tradition*. Edinburgh, 1997.
Johansen, Baber. *The Islamic Law on Tax and Rent*. London, 1988.
Lifchez, Raymond, ed. *The Dervish Lodge: Architecture, Art and Sufism in Ottoman Turkey*. Berkeley, 1990.
Mandaville, Jon E. “Usurious Piety: The Cash Waqf Controversy in the Ottoman Empire.” *International Journal of Middle Eastern Studies* 10 (1979): 289–308.
ISLANDS. Islands played a larger role in European history during the early modern period than at any other time before or since. They were crucial to economic and political development, and were no less significant culturally. One must consider not only the physical islands that Europe explored, claimed, and colonized, but also those it imagined and fictionalized.
Until the fifteenth century, Europe had been a sea-fearing, inward-looking civilization, which envisioned itself as but one part of an earth island girdled by a terrifying, impassable river, known to southern Europeans as Oceanus and to the Norse as Uthaf. Whatever the Vikings had learned during their expeditions to the west around the year 1000 had been lost. Knowledge of the oceanic isles was secondhand and largely the product of ancient and medieval legends. But the accumulating tales of rich and paradisiacal isles had become so compelling by the fifteenth century that mariners were venturing into the near Atlantic; and it was but one short step for Christopher Columbus to attempt to reach the fabulous archipelagos of the Indies by extending his voyage west of the Azores. Using maps and texts that assured him that the sea was filled with a vast archipelago, he believed he could island-hop all the way to the Indies. Islands also figured prominently in his apocalyptic visions of bringing nearer the Second Coming of Christ. As far as Columbus was concerned, the isles he reached were the far side of his own earth island. He had no idea he had discovered a new world, and it would be a very long time before geographers decided that the Americas were continents rather islands.
Islands were vital to the age of discovery, not just as provisioning and watering stops, but as cognitive and psychological bridges across a vast, empty oceans. It was imagined as much as real islands that account for Europe’s unprecedented seaborne expansion. Exploration expanded the horizons of the known world, but it also produced vast new terrains of terra incognita, filled with unknown isles that excited further speculation. For most of the early modern period Europe’s attention was focused on islands rather than continents.
Europe’s early modern political ambitions were also insular. Instead of concentrating on the creation of territorial nation-states, rulers extended their sovereignty archipelagically, incorporating many noncontiguous lands and peoples. The period produced a series of island empires, beginning in the Mediterranean and then reaching out into the near Atlantic before incorporating the islands and littorals of the New World. After the initial period of continental conquest led by the Spanish, islands and coasts became the greater political and economic prize. The initial goal had been trade and control of trade routes to the Old World in any case. In the sixteenth and seventeenth centuries islands proved vital not only to the fur trade and to fishing in the North Atlantic, but also to the slave trade on the African coast and the plantation economies in both the Caribbean and the Pacific.
The growth of commercial capitalism was inextricably bound up with islands. Its most profitable enterprise of the early modern period, sugar production, had originated on Mediterranean islands in the Middle Ages. Transferred to the islands of the eastern Atlantic, it was then perfected in the Caribbean. The slave trade on which it depended for labor was organized from islands on Africa’s western coast. Islands were natural prisons, and slave populations became involuntary consumers for European manufactures. If Europe accumulated enormous riches during this period, it owed a good deal of its accumulated capital to islands.
Islands were no less important to early modern culture. They provided a space onto which a Europe that was fragmenting politically and religiously
could project a multitude of powerful desires and deep fears. Dreams of paradise, previously focused on golden ages of the past, took on new life on islands located in the distant present. The vast new terra incognita became the location for numerous island edens, first in the Atlantic and later in the Pacific. An unknown island provided Sir Thomas More with the opportunity to outline the first modern utopia in 1516. In the next two centuries, dozens of island utopias and dystopias were written. The remote and bounded nature of islands made them ideal for imagining alternative worlds, and it was no accident that the first modern novel, Daniel Defoe’s *Robinson Crusoe* (1719), used an island setting to construct the foundation myth of modern masculine individualism. What Europe could not yet conceive of on its own territories, it invented in insular settings. In a certain sense, Europe constructed its modernity archipelagically, using island microcosms to try out new ideas it found more difficult to contemplate on its own shores.
By the eighteenth century European science had become heavily reliant on islands for its understanding of nature. The scientific expeditions of Captain James Cook and Louis Antoine de Bougainville to the isles of the south Pacific paved the way for Charles Darwin’s later voyage to the Galápagos Islands (1835). Islands were already being used as laboratories for testing new crops and extending Europe’s control over natural resources. They were also the places where Europeans first became aware of the environmental damage caused by ruthless capitalist exploitation of soils and forests. Islands provided a glimpse of the negative as well as the positive sides of economic development long before these were visible in the context of larger landmasses. In the course of the early modern period there came into being an Atlantic world in which islands played a central role. Once remote and isolated from the continent, islands were anything but insular by the eighteenth century. Populated by peoples drawn from the Atlantic littorals, they were perhaps the most cosmopolitan places on earth. Africans, Europeans, and Native Americans commingled, producing new creolized island cultures and societies that had a dynamic all their own. The world of islands was better known and more highly prized than the interiors of mainlands, and for a time it seemed that the future belonged to islands rather than continents. But the political and industrial revolutions of the late eighteenth century changed all that. Capitalism concentrated its productive capacity on the European and North American continents, while states concentrated their power within continental territorial boundaries. Islands became politically peripheral and isolated from modern economic industrial development. They continued to serve as laboratories for science and field stations for anthropology, but they ceased to be places where Europe imagined its future. On the contrary, islands came to be associated with backwardness and primitivism, imagined as fossilized remnants of lost worlds.
*See also* Atlantic Ocean; British Colonies; Capitalism; Cartography and Geography; Colonialism; Columbus, Christopher; Commerce; Defoe, Daniel; Dutch Colonies; Environment; Exploration; French Colonies; Fur Trade: North America; More, Thomas; Pacific Ocean; Portuguese Colonies; Slavery and the Slave Trade; Spanish Colonies; Sugar; Triangular Trade Pattern; Utopia.
**BIBLIOGRAPHY**
Duncan, T. Bentley. *Atlantic Islands: Madeira, the Azores, and the Cape Verdes in Seventeenth-Century Commerce and Navigation*. Chicago, 1972.
Flint, Valerie I. J. *The Imaginative Landscape of Christopher Columbus*. Princeton, 1992.
Grove, Richard H. *Green Imperialism: Colonial Expansion, Tropical Island Edens, and the Origins of Environmentalism, 1600–1800*. Cambridge, U.K., 1991.
Lestringant, Frank. *Mapping the Renaissance World: The Geographical Imagination in the Age of Discovery*. Translated by David Fawcett. Cambridge, U.K., 1994.
JOHN R. GILLIS
**ITALIAN LITERATURE AND LANGUAGE.** Italian literature entered an active and important phase in the late fifteenth century that was stimulated by the revival of classical literature, a flourishing popular culture, and the growth of courts. Among the genres developed were the comic epic, lyric poetry, the pastoral, and comic theater. Intruding onto the cultural scene were worries about trade competition, Turkish aggression, and domination by outside powers. Although France initially seemed likely to succeed in such conquests, by 1530 Holy Roman emperor Charles V (ruled
had gained control of most states, except Venice, through a series of wars fought on Italian soil.
**POETRY: THE COMIC EPIC AND THE COURTLY LYRIC**
Three important comic epics were written during the late fifteenth and early sixteenth centuries: *Morgante* (1478, 1482 or 1483) by Luigi Pulci, a member of the Medici circle; *Orlando innamorato* (1483, 1495) by Matteo Maria Boiardo; and *Orlando furioso* (1516, 1521, 1532) by Ludovico Ariosto, the latter two at the Este court in Ferrara. The works continued the Italian tradition of adding local color to the medieval epic that narrated the defense of France by Charlemagne and his nephew Roland against Saracen attack. An infusion of comedy and fantasy qualified these works as mock or comic epics.
*Morgante* recounts the adventures of Charlemagne’s knights and a giant, for whom it is named, and the betrayal of Roland and the aged Charlemagne’s inability to discern the betrayal. *Orlando innamorato* creates a French origin for the Este dynasty, which in the work is said to be the progeny of Ruggiero, a Saracen convert to Christianity, and his French bride Bradamante. Ruggiero, like Virgil’s Aeneas, is descended from a Trojan soldier, further strengthening Este claims to legitimacy. Boiardo’s poem also introduced Roland’s love for the Chinese princess Angelica, an enemy of France. In Ariosto’s *Orlando furioso*, Roland’s passion costs him his sanity. Discovering that Angelica has married a lowly Saracen foot soldier, he hurls to the heavens the trees on which the history of their love is carved.
A renewed interest in lyric poetry was sparked in Italian courts by Spanish performers who followed the Aragonese and the Borgia to Italy. Pietro Bembo, who frequented several of those courts, spearheaded the revival of Petrarchan poetry dedicated to Platonic love, the most influential movement in lyric poetry. A fondness for pageantry is evident in Angelo Poliziano’s *Stanzas for the Joust of the Magnificent Giuliano* (1475–1478), which glorified a Medici family member’s winning of a tournament. The pastoral, prominent in Roman and medieval literature, inspired the *Arcadia* (1504) of Jacopo Sannazaro, which was set in an idealized countryside of shepherds tending their flocks and was marked by the practical subtext of court patronage.
**COMEDY: CONTINUATION OF TRADITIONS, REVIVAL OF THE ANCIENTS, AND CREATION OF NEW GENRES**
Theater developed along several lines during the late fifteenth and early sixteenth centuries. Continuing from the Middle Ages was the religious play or *sacra rappresentazione*, which was particularly popular in Tuscany. Folk plays celebrating marriages and seasonal festivities such as Carnival were staged in rural and urban Italy. States, especially Venice, utilized folk genres to influence the popular classes’ opinions on political questions. Urban life among the popular classes of Naples was the subject of several comic compositions by Sannazaro. The pastoral tradition inspired the first known vernacular nonreligious drama, Poliziano’s *Orpheus* (1480).
Toward the end of the fifteenth century, theatrical developments gained momentum. The Este rulers of Ferrara staged the comedies of Plautus and Terence in Latin and in Italian translation. Playwrights in Venice composed their own comedies in Latin about contemporary subjects. In the early sixteenth century, a new genre began to form: the learned comedy. Taking its general framework from ancient comedy, learned comedy was also influenced by Giovanni Boccaccio’s (1313–1375) *Decameron* (1348–1353), which was written in the vernacular and emphasized characters’ ingenious and fair solutions to the contemporary social conflicts in which they were caught up. Comedies were performed at Carnival and wedding festivities; they explored the conflicts between parents arranging financially advantageous marriages for their children and the young people’s dedication to the contemporary vogue for love. Typical of the genre are Ariosto’s *The Coffer, The Pretenders, and The Necromancer* or *The Magician* (all written in 1508–1520), *The Mandrake Root* (1504–1518) by Niccolò Machiavelli, and *The Follies of Calandro* (1513) by Bernardo Dovizi (Il Bibbiena).
The lower classes and undignified behavior subsequently assumed greater importance in comedy. The works of several Sienese playwrights and those of Angelo Beolco (Il Ruzante), who wrote between about 1516 and 1536, mixed Arcadian shepherds with real peasants, exploiting their mutual misunderstandings to comic effect. Beolco’s plays of the late 1520s concentrated on peasant life and the terrible sufferings inflicted by a wave of war, famine, and disease. Ariosto’s final play, *Lena* (1528–1529), presents a bleak picture of the moral compromises called for by impoverished urban life that was probably influenced by Beolco, with whom he was working. Aretino’s comedies *The Courtesan* (1525) and *The Stablemaster* (1526–1527) satirized urban and courtly life. The anonymous work *The Venetian Woman* (1510–1517 or 1536) depicted the clandestine and forbidden erotic rivalry of two Venetian patrician women.
**THE NOVELLA**
The most popular genre of nondramatic prose was the novella, which favored plot variety and armchair travel. Inspired by Boccaccio’s *Decameron* and a strong indigenous tradition, Florentine writers of the late fifteenth century created popular and aristocratic variants of the novella. Tommaso Guardati (Masuccio Salernitano) ushered in a new phase marked by pessimism and moralizing. His 1476 collection, whose title *Il Novellino* is a pun on ‘little novel’ and ‘novice’, introduced the convention of dedicatory letters to aristocrats. The mid-sixteenth century saw the publication of numerous novella collections. Matteo Bandello’s *Novelle* and Giovanni Battista Giraldi Cinzio’s *Hecatommiti*, the latter including a philosophical dialogue on civil life, share a somber tone and assign tragic outcomes to transgressive actions. Shakespeare employed a number of the novellas as the bases of his plays. *The Pleasurabie Nights* of Giovan Francesco Straparola, tales supposedly told during Carnival on the Venetian island of Murano, return to the bawdy tone of the earlier tradition and the magic realism of the comic epics. The Renaissance novella, like its medieval counterpart, emphasized restraint, analysis, and intelligent deployment of resources. Added to those features were the new conventions of strengthened support for social hierarchy and the inclusion of a chorus that commented on the actions of the protagonists. The latter convention was perhaps derived from theater, for which many authors of novellas also wrote.
**NEW PROSE GENRES**
Expository prose developed several new vernacular genres. Leonardo da Vinci (1452–1519) provided an illustrious beginning for scientific writing. The behavioral manual, indispensable in a period of changing social relations, was embodied by *The Courtier* (1528) by Baldassare Castiglione. A somewhat subversive variant was Aretino’s *Dialogues* (1534), some of which teach the arts of eroticism. Normativity returned with Giovanni Della Casa’s *Galateo* (1558), whose title became synonymous with good deportment.
**LITERARY THEORY AND ARISTOTELIANISM**
One of the most important results of the humanistic search for lost classical texts was the rediscovery of Aristotle’s *Poetics*. The translation of the *Poetics* into Latin in 1498 and into Italian in 1549 initiated a theoretical debate about the classifications and definitions of various literary genres. Of special interest was poetry’s relationship to history, ethics, and moral philosophy. The two parts of Gian Giorgio Trissino’s *Poetics* opened the topic with the first part (1529) and closed it with the second (1562); other participants included Giovanni Pontano, Francesco Robortello, Benedetto Varchi, Alessandro Piccolomini, and Lodovico Castelvetro. Over the decades of debate, Aristotle’s concern with civic order caused a shift in emphasis from poetry as a solitary and pleasurable activity to poetry as bearer of civic responsibilities.
Among the genres most affected by this rediscovery were comedy and tragedy. Renaissance theorists formulated a set of norms for each on the basis of Aristotle’s observations on art as imitation, on the nature of genres, and on appropriate and effective forms of representation. These were combined with Roman drama criticism to produce a value-based literary hierarchy; a series of rules governing plot, character, sentiment, and diction; a progressive five-act structure; and the renowned unities of time, place, and action (plot), which require that a play be based on one action occurring in one place on one day. Important contributions to this movement included Trissino’s *Poetics*, Francesco Robortello’s *On Comedy* (1548), Madius’s *On the Ridiculous* (1550), and Giraldi Cinzio’s *On Composing Comedies and Tragedies* (1543).
At the same time, theatrical presentations acquired established sites, with a permanent theater becoming a requirement of a ruler’s palazzo.
TRAGEDY
The first tragedies were written during the War of the League of Cambrai (1509–1517): Gian Giorgio Trissino’s *Sophonisba* (1515), in which a queen defeated by the Romans commits suicide, and Giovanni Rucellai’s *Rosmunda*. Aristotle believed that tragedy’s concentration on rulers and on the emotions of horror and compassion made it superior to comedy. The rediscovery of his theories promoted respect for tragedy, which was staged exclusively for aristocratic audiences. Although Renaissance authors adhered to the strict rules that classical theoreticians developed for tragedy, they also included contemporary issues in their works. The Este court in Ferrara undertook the first staging of a vernacular tragedy, Giraldi Cinzio’s *Orbecche*, in 1541. The Paduan Academy of the Enflamed’s performance of Sperone Speroni’s *Canace*, planned for 1542, was postponed by Beolco’s death and never rescheduled. The first generation of tragic performances shocked aristocratic audiences with depictions of ruling families as bloodthirsty, ruthless, and incestuous.
THE QUESTIONE DELLA LINGUA
Related to literary theory was the *questione della lingua*, the question of which form of the vernacular to employ in various writings. The Italian peninsula’s political and vernacular fragmentation and the extensive use of Latin made this a complicated and thorny issue. Early in the sixteenth century a group of literary courtiers, including Baldassare Castiglione, proposed a contemporary language that would both transcend and respect regional differences by allowing local variation and foreign terms. Pietro Bembo opposed their suggestion in his *Prose della volgar lingua* (Vernacular writings), advancing instead fourteenth-century literary Tuscan, for which he provided a detailed grammar. Florentine writers including Machiavelli, resisting such archaic usage, favored contemporary Florentine. Northern Italian writers Trissino and Speroni unsuccessfully attempted to revive the proposal of an eclectic language that would draw upon the vernaculars of all regions.
Bembo’s proposal prevailed, an early sign of which was Ariosto’s Tuscanization of *Orlando furioso*. Bembo’s success was due to his own printed grammar and the many printed copies of the texts of Petrarch and Boccaccio, his models for poetry and prose, respectively. Also influential were the power of the Florentine popes Leo X (1513–1521) and Clement VII (1523–1534) and the pressures on the publishing industry to increase the market with a standard language. Although some viewed Bembo’s solution as aristocratic, it encouraged the spread of reading, as the popularity of printed chapbooks and grammars attests.
THE LATE SIXTEENTH CENTURY:
VARIATIONS ON ESTABLISHED THEMES
Literary developments during the second half of the sixteenth century largely consisted of variations on the themes established in the preceding years. Lyric poetry in the Petrarchan tradition enjoyed renewed vitality in the middle decades of the century: the appeal of its interiority and allusive language increased in a time of uncertainty in the civic and religious spheres. Women began to write in this style, their numbers including courtesans such as Gaspara Stampa and Veronica Franco, women of the popular class such as Modesta Pozzo, and upper-class women such as Vittoria Colonna and Chiara Matraini. Themes of the love of woman for man and the love of God were added to the traditional theme of the Platonic love of man for woman. Some genuine, rather than comic, epics appeared as a result of the high value accorded to the epic by Aristotle. These included Trissino’s *Italia liberata dai Goti* (1547–1548) and Torquato Tasso’s great *Jerusalem Delivered* (1581), which celebrated the recapture of Jerusalem by Christian knights during the Crusades.
Comedy, which Aristotle confined to the lowest sphere of society and values, became associated largely with the nascent commedia dell’arte. Performances were conducted not by courtiers but by the first professional troupes, who abandoned scripts for type characters and conventional plot devices. Only Venice and Florence, with their republican governments, maintained a robust scripted tradition with the comedies of playwrights such as Andrea Calmo and Anton Francesco Grazzini. The pastoral, which reached its zenith with Tasso’s *Aminta* (1573), provided courtly entertainment.
In the final decades of the century, doubts about the validity and sustainability of strict Aristotelian categories crept in. New mixed genres appeared, along with interest in nonaristocratic and
female characters, and subversive and distorted language. The comedies of Giovan Battista Della Porta and Giordano Bruno’s *The Candlebearer* (1582) embody these developments. Both playwrights’ restless questioning of religious orthodoxy led to investigations by the Inquisition; Bruno was burned at the stake. Tragedy, after a brief absence from the stage, developed along more moderate lines. The tensions generated by the absolute power of God and inescapable human guilt were softened in the new genre of the tragedy with a happy ending. Kings, while still all-powerful, owed their ill deeds to advisers rather than their own defects, and horror-inducing actions no longer occurred onstage. The pastoral continued in Ferrara as a mixed genre with Giovanni Battista Guarini’s *Faithful Shepherd*, written in a tragicomic style. Other popular blended forms included the melodrama and the serious or dark comedy. The Aristotelian debate underwent a final shift toward a view of poetry as art. In the linguistic sphere, archaic Tuscan, that is, the fourteenth-century Tuscan of Dante, Petrarch, and Boccaccio, suffered a setback when Tasso eschewed it for his epic.
**THE SEVENTEENTH CENTURY**
Seventeenth-century Italian literature continued a number of important late-sixteenth-century trends. Many of the most significant developments occurred in academies, which were selective private groups of learned men. Scientific rationalism produced great though isolated monuments in the writings of Galileo Galilei (1564–1642), a member of the Accademia dei Lincei (Academy of the Lynx-like). Scientific rationalism was applied by Paolo Sarpi to human affairs in his works on church–state relations and by the Accademia Della Crusca (Academy of the Bran) to language in a Florentine dictionary that they compiled under Medici patronage. The dictionary was a milestone in the *questione della lingua*, its affirmation of archaic Tuscan stimulating much debate and instigating a countertrend in the use of local dialects in literary compositions. Theatrical productions abounded, led by the commedia dell’arte, a variety of mixed genres, and melodrama. The construction of theaters to which the public was admitted for a fee opened a profitable enterprise, while the leading family acting troupes such as the Andreini attracted a large public following. The novella, with its variety of characters, locations, and outcomes, experienced continued popularity. Poetry comprised both the floridity of the baroque, with its love of the bizarre and the marvelous, and the severity of classicism. The leading figure in the former style was Giovan Battista Marino, whose *Adone* (Adonis), the longest poem in Italian literature, recounted the loves of Venus and Adonis. His followers, the Marinisti, wrote numerous love poems.
**THE EIGHTEENTH CENTURY**
The eighteenth century, known as the Age of Enlightenment for its emphasis on secular rationalism, saw the growth of scientific research. Learned men wrote the first histories of literature and the theater and compiled collections of historical documents. In his *New Science* (1725, 1730, 1744), Giambattista Vico studied human society in a systematic manner for the first time. Newspapers brought discussions and debates on many topics to a wider audience. The backdrop of many of these developments was a reform of the aristocratic regime, most of whose proponents aimed to eliminate excesses and restore the aristocracy to a role of leadership, but whose egalitarianism and respect for work and the law contained the seeds of a new order.
Aristocratic life received comic treatment in Giuseppe Parini’s *The Day* (1763 and 1765). The last of the mock epics, it recounts a day in the life of a young Milanese nobleman, a day dedicated entirely to his pleasure. Implicitly in *The Day* and explicitly elsewhere, Parini expressed his admiration for the sobriety, practicality, and work ethic of the lower classes who produced the items consumed by the young nobleman. Yet Parini was not a revolutionary, preferring that the aristocracy reform itself and earn its privileges, not vanish entirely.
The stage attracted the interest of many talented writers. Most renowned among them was one of the world’s great playwrights, the Venetian Carlo Goldoni (1707–1793). While his early plays conformed to the typed characters and plot devices of the commedia dell’arte, Goldoni soon spearheaded a move toward realism that appealed to many theatergoers. The plays of his reform period recognize the worth of middle- and lower-class characters, depicting the impoverished aristocracy as arrogant and frivolous. Opposition came from many, including Carlo Gozzi, whose exotic tales filled with arisBIBLIOGRAPHY
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Alfieri, Vittorio. *Of Tyranny*. Translated by Julius A. Molinaro and Beatrice Corrigan. Toronto, 1961. Translation of *Della tirannide* (1777).
Aretino, Pietro. *Aretino’s Dialogues*. Translated by Raymond Rosenthal. New York, 1971. Translation of *Ragionamenti* (1534).
———. *The Marescalco*. Translated by Leonard G. Sbrocchi and J. Douglas Campbell. Ottawa, 1986. Translation of *Il Marescalco* (1533).
Ariosto, Lodovico. *The Comedies of Ariosto*. Translated and edited by Edmond M. Beame and Leonard G. Sbrocchi. Chicago, 1975. Translations of *The Coffer* [in prose], *The Pretenders*, *The Necromancer*, *Lena*, *The Coffer* [in verse], *The Students*, *The Scholastics* (1508–1533).
———. *Orlando furioso*. Translated by Guido Waldman. Oxford and New York, 1998. Translation of *Orlando furioso* (1532).
Beolco, Angelo (Il Ruzante). *L’Anconitana. The Woman from Ancona*. Translated by Nancy Dersofi. Berkeley, 1994. Translation of *L’Anconitana* (1536).
———. *La Moschetta*. Translated by Antonio Franceschetti and Kenneth R. Bartlett. Ottawa, 1993. Translation of *La Moscheta* (1528–1530).
———. *Ruzzante Returns from the Wars*. In *The Servant of Two Masters and Other Italian Classics*. Edited by Eric Bentley. New York, 1958. Translation of *Il Parlamento (Il Reduce)* (1529).
Boiardo, Matteo Maria. *Orlando innamorato*. Translated by Charles Stanley Ross. English verse edited by Anne Finnigan. Berkeley, 1989. Translation of *Orlando innamorato* (1482 or 1483, 1495).
Bruno, Giordano. *Candlebearer*. Translated by Gino Moliterno. Ottawa, 1999. Translation of *Il candelai* (1582).
Casanova, Giacomo. *History of My Life*. Translated by Willard R. Trask. Baltimore, 1997. Translation of *Mémoires* (1797).
Castiglione, Baldassare. *The Book of the Courtier*. Translated by Charles Singleton. Edited by Daniel Javitch. New York, 2002. Translation of *Il libro del cortegiano* (1528).
Cellini, Benvenuto. *My Life*. Translated by Julia Conaway Bondanella and Peter Bondanella. New York, 2002. Translation of *La vita* (1562).
Della Casa, Giovanni. *Galateo: A Renaissance Treatise on Manners*. Translated by Konrad Eisenbichler and Kenneth R. Bartlett. Toronto, 1994. Translation of *Galateo* (1558).
Della Porta, Giambattista. *Gli duoi fratelli rivali*. Edited and translated by Louise George Clubb. Berkeley, 1980. Translation of *Gli duoi fratelli rivali* (1601).
See also Castiglione, Baldassare; Cellini, Benvenuto; Drama: Italian; Galileo Galilei; Goldoni, Carlo; Leonardo da Vinci; Machiavelli, Niccolò; Tasso, Torquato.
Dovizi, Bernardo (Il Bibbiena). *The Follies of Calandro*. Translated by Oliver Evans. In *The Genius of the Italian Theater*. Eric Bentley, ed. New York, 1964. Translation of *La Calandra* (1513).
Galilei, Galileo. *Dialogue Concerning the Two Chief World Systems, Ptolemaic and Copernican*. Translated by Stillman Drake. New York, 2001. Translation of *Dialogo dei massimi sistemi* (1632).
———. *Discoveries and Opinions of Galileo: Including The Starry Messenger* (1610), *Letter to the Grand Duchess Christina* (1615), and *Excerpts from Letters on Sunspots* (1613), *The Assayer* (1623). Translated by Stillman Drake. New York, 1990. Translation of *Sidereus nuncius, Lettera alla Gran Duchessa Cristina, Lettere, II saggiatore*.
———. *Galileo against the Philosophers in His Dialogue of Cecco di Ronchitti* (1605) and *Considerations of Alimberto Mauri* (1606). Translated by Stillman Drake. Los Angeles, 1976. Translation of *Dialogo de Cecco di Ronchitti da Brusene in perpusito de la stella nuova, Considerazioni di Alimberto Mauri*.
Goldoni, Carlo. *Four comedies [by] Goldoni*. Translated by Frederick Davies. Harmondsworth, U.K., 1968. Translation of *I due gemelli Veneziani* (1750), *La vedova scaltra* (1748), *La locandiera* (1753), and *La casa nova* (1761).
———. *Memoirs of Carlo Goldoni*. Translated by John Black. Edited by William A. Drake. Westport, Conn., 1926. Translation of *Mémoires* (1787).
———. *The Servant of Two Masters*. Translated and adapted by Frederick H. Davies. London, 1961. Translation of *Servitore di due padroni* (1747).
———. *Villeggiatura Trilogy*. Translated by Robert Cornthwaite. Lyme, N.H., 1994. Translation of *Le smanie della villeggiatura, Le avventure della villeggiatura, Il ritorno dalla villeggiatura* (1761).
Guarini, Battista. *The Faithful Shepherd*. Translated by Thomas Sheridan. Edited and completed by Robert Hogan and Edward A. Nickerson. Newark, Del., and Cranbury, N.J., 1989. Translation of *Il pastor fido* (1589).
Machiavelli, Niccolò. *The Comedies of Machiavelli*. Edited and translated by David Sices and James B. Atkinson. Hanover, N.H., 1985. Translations of *Mandragola* (1504–1518), *Andria* (1517/1518), *Clizia* (1524/1525).
Poliziano, Angelo. *A Translation of the Orpheus of Angelo Politian and the Aminta of Torquato Tasso*. Translated by Louis E. Lord. Reprint. Westport, Conn., 1986. Translation of *Orfeo* (1480).
———. *The Stanze of Angelo Poliziano*. Translated by David Quint. Amherst, Mass., 1979. Translation of *Stanze cominciate per la giostra del Magnifico Giuliano de’ Medici* (1475–1478).
Pulci, Luigi. *Morgante: the Epic Adventures of Orlando and His Giant Friend Morgante*. Translated by Joseph Tusiani. Introduction and notes by Edoardo A. Lébano. Bloomington, Ind., 1998. Translation of *Morgante* (1478, 1482 or 1483).
Sannazaro, Jacopo. *Arcadia, & Piscatorial Eclogues*. Translated by Ralph Nash. Detroit, 1966. Translation of *Arcadia* (1504).
Serminii, Gentile, et al. *Renaissance Comic Tales of Love, Treachery, and Revenge*. Edited and translated by Valerie Martone and Robert L. Martone. New York, 1994. Translation of tales by Gentile Serminii, Giovanni Gherardo da Prato, Lorenzo de’ Medici, Matteo Bandello, Masuccio Salernitano, and Anton Francesco Grazzini.
Tasso, Torquato. *A Translation of the Orpheus of Angelo Politian and the Aminta of Torquato Tasso*. Translation by Louis E. Lord. Reprint. Westport, Conn., 1986. Translation of *Aminta* (1573).
———. *Jerusalem Delivered*. Edited and translated by Anthony M. Esolen. Baltimore, 2000. Translation of *Gerusalemme liberata* (1581).
Vico, Giovan Battista. *New Science: Principles of the New Science Concerning the Common Nature of Nations*. London and New York, 1999. Translation of *Scienza nuova* (1744).
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Andrews, Richard. *Scripts and Scenarios: The Performance of Comedy in Renaissance Italy*. Cambridge, U.K., 1993.
Angelini, Franca. *Vita di Goldoni*. Rome, 1993.
Ascoli, Albert Russell. *Ariosto’s Bitter Harmony: Crisis and Evasion in the Italian Renaissance*. Princeton, 1987.
Asor Rosa, Alberto. *Storia della letteratura italiana*. Florence, 1985.
Attolini, Giovanni. *Teatro e spettacolo nel Rinascimento*. Rome 1988.
Baratto, Mario. *La letteratura teatrale del Settecento in Italia: studi e letture su Carlo Goldoni*. Vicenza, 1985.
———. *Tre studi sul teatro: Ruzante, Aretino, Goldoni*. Venice, 1964.
Carroll, Linda L. *Angelo Beolco (Il Ruzante)*. Boston, 1990.
Clubb, Louise George. *Giambattista della Porta, Dramatist*. Princeton, 1965.
———. *Italian Drama in Shakespeare’s Time*. New Haven, 1989.
Croce, Benedetto. *La Spagna nella vita italiana durante la Rinascenza*. Bari, 1949.
Di Maria, Salvatore. *The Italian Tragedy in the Renaissance: Cultural Realities and Theatrical Innovations*. Lewisburg, Pa., 2002.
ITALIAN WARS (1494–1559). Renaissance Italy lacked a strong institutional framework that enjoyed a broad consensus. The medieval wars pitting proponents of imperial supremacy (the Ghibellines) against those who advocated papal supremacy (the Guelfs) were fought to a stalemate. Neither the emperor nor the pope enjoyed much real power over the mosaic of city-republics, territorial principalities, or fiefs in central and northern Italy. In the kingdom of Naples, which was theoretically a fief of the church, control passed from a French (Angevin) dynasty to one linked to Aragón without much interference from the rest of Italy. Much internecine warfare wracked the peninsula, as aristocrats fought each other for primacy in their respective cities, as larger towns conquered their rural hinterlands, and as the larger territorial states attempted to absorb the smaller ones around them. The Peace of Lodi in 1454 inaugurated an era of relative peace for forty years, but it did not extinguish the various pretexts of territorial ambition, dynastic ambition, or autonomist sentiment that could engulf Italy in new large-scale hostilities.
FRENCH ADVENTURES
The entry into Italy of the French king’s army in his quest to make good his claims to the throne of Naples in 1494 ignited many simultaneous conflicts. The French king Charles VIII (ruled 1483–1498) was assisted by the “tyrant” of Milan, Ludovico Sforza (ruled 1494–1499), who was losing his grip on power in Lombardy. Florence swept the Medici out of power and restored a real republic, but it needed French support to survive, and subject cities rebelled against it. The Aragonese Pope Alexander VI Borgia (reigned 1492–1503) had no army able to oppose the French, so the great force of Charles VIII advanced to Naples virtually unopposed and chased away the local branch of the Aragonese dynasty. But within a year the pope, the Republic of Venice, the duke of Mantua, King Ferdinand of Aragón (monarch in Sicily; ruled 1468–1516), and the Emperor Maximilian I (ruled 1493–1519) drew together and threatened to bottle up the French king’s army in southern Italy. Only a fighting retreat in 1495 allowed Charles VIII to regain France, and his Neapolitan regime collapsed behind him.
His successor Louis XII (ruled 1498–1515) launched a new army into Italy in 1500, this time laying claim to Milan as well as Naples. With Genoese and Venetian help, the French army quickly seized most of northwest Italy, but the king would not rest on this success. By secret treaty with Ferdinand of Aragón, he agreed to split the kingdom of Naples between the two of them. Fighting soon broke out between Spaniards and French over their respective shares, and the latter were driven out. The new spoiler was now Venice, exploiting tensions everywhere in order to extend its hold in the Adriatic basin. A new alliance of Aragón, France, the Holy Roman Empire, and the pope crushed Venetian ambitions in 1509. But Venice allied with the pope, with Ferdinand, with the Swiss cantons,
and with the emperor to expel the French from Milan soon after. By the end of 1512, the French were ejected from Italy a second time.
Francis I (ruled 1515–1547), successor to Louis XII, sent a fresh army in 1515 to occupy Milan and its territory. This time the pope, and even the new king of Aragón, Charles I, recognized the French king’s conquest, but the French position deteriorated rapidly as Charles became king of Spain in 1516 and then Holy Roman emperor in Germany in 1519. As Emperor Charles V, the young Habsburg monarch and his allies expelled the French from Milan in 1521 and defeated renewed attempts to recapture it. In 1525 Francis I was captured at the battle of Pavia. The wars were far from over, but this turn in the fighting marked the onset of a new and durable phase of Habsburg ascendancy in Europe.
HABSBURG CONSOLIDATION
The union of large territories under the sway of a single monarch was a dynastic accident, but Charles was able to harness the wealth of Spain, the Low Countries, the German principalities, and almost half of Italy to keep the French at bay. Soon he would be king in Mexico and Hungary as well. In each of these realms he inherited monumental problems, but after each crisis he appeared more powerful than ever. In 1527 a new French league against him came apart after an imperial army besieged and sacked Rome itself, an event whose impact on the people of Rome and on European public opinion was catastrophic. Genoa, with its fleet and its commerce, swung over to Charles in 1528. The emperor then supported the restoration of the Medici as absolute princes in Florence. After a brief truce, French armies occupied Savoy and most of Piedmont in an attempt to reconquer Milan. Intermittent campaigning in Italy and over half of Europe could not break the stalemate, however. The new French king Henry II (ruled 1547–1559) would not let Italy out of his sights. France intervened in Parma in 1551 to expel papal forces there and in 1552 backed a Sienese uprising against its imperial garrison; in 1555 France supported the extremist Pope Paul IV (1555–1559), who called for Spain’s removal from Naples, and yet again a French army descended on the peninsula to occupy the territory. But Habsburg armies won victories everywhere in those years, until France consented to the Peace of Cateau-Cambrésis in 1559.
The Italian Wars were but one theater in a continental struggle involving most of western Europe, with France and the Habsburg territories constituting the eternal adversaries. The 1559 treaty might only have been a truce had not religious divisions led to a French civil war that lasted intermittently for three generations. Habsburg territorial ascendancy in Italy was complete, with the conquest of Milan, Naples, Sicily, and Sardinia. The duke of Piedmont-Savoy, the princes of Mantua, Parma, Ferrara, and Florence, and the rich republic of Genoa were reduced to satellite status. Moreover, Charles (who retired in 1555) followed a policy of encouraging stability in the peninsula, allowing the minor princes to impose greater control over their subjects, and stifling any Protestant sentiment. The enduring legacy of these wars was a long Pax Hispanica that underlay the renewed prosperity and heightened influence of Italy in the world until the next great disruption after 1620.
See also Cateau-Cambrésis (1559); Charles V (Holy Roman Empire); Italy; Naples, Kingdom of; Rome, Sack of.
BIBLIOGRAPHY
Hale J. R., and M. E. Mallett. *The Military Organization of a Renaissance State: Venice c. 1400 to 1617*. Cambridge, U.K., and New York, 1984.
Hall, Bert S. *Weapons and Warfare in Renaissance Europe: Gunpowder, Technology and Tactics*. Baltimore, 1998.
Pepper, Simon, and Nicholas Adams. *Firearms and Fortifications: Military Architecture and Siege Warfare in Sixteenth-Century Siena*. Chicago, 1986.
Taylor, Frederick Lewis. *The Art of War in Italy, 1494–1529*. Westport, Conn., 1973.
GREGORY HANLON
ITALY. The early modern period following the Renaissance is only now emerging from long neglect by historians, who once considered the period one of unbroken decline. This neglect is paradoxical considering that it was in the period of the late Renaissance and the Counter-Reformation that Italy attained its greatest influence in the Western world and a degree of wealth and sophistication that gave it the pilot role in European civilization. The two-and-a-half centuries following the end of the Italian wars in 1559 do not constitute a single period, however.
ITALIAN STATES
Unlike France, England, and Castile, which were relatively centralized monarchies with deep roots in the Middle Ages, and unlike Germany, which was a loose-knit confederation of a myriad of relatively stable states under the benign leadership of the Holy Roman emperor, Italy lacked a simple overarching political framework that enjoyed a wide consensus. Medieval wars between Guelphs and Ghibellines, partisans of papal and imperial authority, respectively, were fought to a stalemate where the reality of power lay with each major city and each great lord in central and northern Italy. Then a gradual and fairly rapid process of elimination of the small states by the larger ones resulted in a political map articulated around less than a dozen territorial states by the time of the Peace of Lodi in 1451. The large-scale Italian wars beginning in 1494 simplified this situation even more after a half-century of intermittent fighting. When the wars were over, the king of Spain, Philip II (ruled 1555–1598), was duke of Milan and king of Naples, Sicily, and Sardinia. A handful of Italian princes seated in Turin, Mantua, Ferrara, Parma, Florence, and Urbino were reduced to satellite status. The pope had now become effective ruler over all the Papal States in central Italy by eliminating the virtual independence of city-states like Perugia or Bologna. Three medieval city-republics still survived: the powerful Venetian state jealous of its independence, the rich but subservient Genoese republic, and the almost insignificant Luccan state. Once the French threat was definitively removed by a long succession of religious conflicts (1561–1629), Italy enjoyed the fruits of a Pax Hispanica that underpinned its economic growth and its new institutional stability.
The new principalities themselves were significant improvements over the unstable coalitions of interests in small city-states. Dynasties like the Medici in Florence, the Farnese in Parma, and the Savoy in Turin gradually reined in the privileges and the autonomy of feudal lords and ensured greater stability by offering more impartial justice. Italian urban governments were as efficient as those anywhere, and the political prerogatives enjoyed by established families in the towns and cities of central and northern Italy enabled them to govern jointly with their princes. These princes also took the first steps to empower the elites of subject towns in their bureaucracies and employed them at their
courts. While most princes built citadels to guarantee the docility of local nobles, they also entrusted the peasantry with arms and training as territorial militia. With time, even the new, upstart dynasties planted roots in the territories they ruled, cajoled the aristocracy to cooperate with them, wove alliances, and multiplied marriages with other dynasties in Europe. In short, they acquired legitimacy in the eyes of their subjects.
Similarly, the king of Spain held Neapolitan and Sicilian barons on a tighter leash and kept them from each others’ throats. These aristocrats readily admitted the usefulness of a strong foreign monarch who served as a safety valve against overbearing and ambitious members of their own group. Spain held out many rewards for their compliant obedience and granted noble families ample autonomy in their fiefs. Spanish imperial ventures in the New World, in the Mediterranean, and in Flanders gave Italian elites almost everywhere a worthy theater in which to display their bravura and achieve their most lofty ambitions. Spanish power also kept the peace in Italy by barring the way to invaders and mediating the tensions arising between Italian states. Most of Italy lived contentedly in the Spanish shadow, and its elites joined the great Catholic crusades against heresy in Flanders, in France, and against the Turks in Hungary and the Mediterranean. More pacific Italians enriched themselves by helping finance the great Spanish military machine.
**THE SIXTEENTH CENTURY**
This long sixteenth century, lasting until 1620, marked the creation of the first truly global economy with ramifications in Asia and the Americas. Much of the great flow of silver from the Spanish New World was diverted to the coffers of Italian businessmen who then reinvested it in large-scale trade. Italy enjoyed a number of cultural advantages it had accumulated since the Middle Ages. With Arabic numerals, with widespread numeracy, and commonplace recourse to paper transactions, Italians developed the most sophisticated financial and credit mechanisms anywhere. Italy’s high-quality urban manufactures dominated the lucrative luxury sectors of international commerce, the skills to produce them protected and enhanced continually in each city. Venice was probably the most important industrial city in Europe, if not the world. Milan was a vast workshop fed from the great Po valley and provisioned, like the manufacturing cities around it in Lombardy, from much of Europe. Cities like Florence, Bologna, and Naples were also notable centers of manufacturing in a broad range of activities. This economy was directed, at the top, by large-scale bankers, dominated by the Genoese, meeting annually in Piacenza to sort out the exchange and credit needs of all of Europe. The manufacturing economy was complemented by one of the most efficient agricultural economies in the Western world, giving Italy the highest population density in Europe. The successful integration of livestock-raising, tree and vine crops, and cereals in central and northern Italy permitted landlords to utilize scant resources more rationally. If the country was not quite self-sufficient in food supplies, ruling elites adopted complex administrative measures to avert urban famine.
Italy was not least the seat of the Catholic Church. Despite the challenge to its hold over western Europe with Protestant reformations in Germany, France, and England, the great and complex institution survived and gradually recovered. The long and intermittent Council of Trent (1545–1563) enhanced the unity of the institution, while new religious orders like the Jesuits bolstered the power of the pontiff. The new Roman Inquisition (founded in 1542) quickly crushed any hint of non-conformity in Italy, while an array of committees rejuvenated the basic texts and doctrines of the faith. The Roman Curia grew to become one of the great courts of Europe, and the city of Rome grew with it, largely rebuilt and deploying modern concepts and tools of urbanism that made the Eternal City the most modern metropolis on the continent and a great repository of both sacred and secular architecture. The Council of Trent had far-reaching consequences for the practice of Catholicism throughout the world, but Italy was its motor, the area of recruitment of its most active proponents. It took decades for the central organs of the church to apply the council’s decisions to the urban and rural hinterland, and much longer for these changes to bear fruit. Nevertheless by 1600 the reforms were everywhere in full swing, with the aim of Christianizing Italians in depth. One effect was to make the church an ever more powerful political entity that expanded its jurisdiction and its taxing power with respect to the state. Members of the social elite flocked to enter both old and new religious orders, or saw the church as a coveted career choice. Clerical discipline and doctrine were then relayed to men and women in both city and country via ever more numerous confraternities.
CULTURAL LEADER OF EUROPE
Italy’s cultural inventions provided the standards to which Europeans complied in literature, architecture, art, and music until the end of the nineteenth century, although the country lost some of its pilot role by 1650. The era is synonymous with the baroque aesthetic, fashioned in Rome in the late 1500s, and often closely associated with the Catholic Church. Italian spectacles and festive activities were something of a magnet for Europeans, who imitated its styles. In music, both the small-scale madrigal and the large-scale opera were inventions of the period with a long future. Italian cities invented the modern conservatory to train professional musicians, as they invented the art academy as a place to master the techniques and the theory of painting, sculpture, and architecture. Rome and Venice witnessed the emergence of the first art “market” where buyers and sellers exchanged artworks as commodities. Over time, the baroque aesthetic gradually simplified to announce the basic principles of what would become neoclassicism in the eighteenth century. Italy remained the favorite destination of painters and architects seeking models elaborated in both modern and ancient times.
The proponents of all these reforms and inventions were very largely aristocrats. Urban living had given them a patina of urbanity that combined gentle birth, good breeding, a high level of education, and the ability to choose among a wide array of professional and amateur activities without equal in Europe. The humanist models of *virtù* exercised in this world were taught formally to nobles in Jesuit-run colleges created first in Italy and then exported throughout the Catholic world and beyond. At first, little prevented the active involvement of noblemen in commerce and manufacture, but as aristocratic mores formed a proper doctrine by the late sixteenth century, they began to withdraw from the active role to celebrate a more genteel *otium* (‘leisure’). Yet it was precisely this detachment from mundane affairs that other Europeans found compelling. The pomp and formality of aristocracy defined the early modern elite, and even the age.
THE SEVENTEENTH CENTURY
The Italian pilot role was snatched away suddenly around 1620. The country was never fully protected from foreign threats. During all of the early modern
age, Barbary pirates infested the Mediterranean and the Adriatic seas, seizing ships laden with merchandise belonging to Italians. Worse, flotillas of Muslim pirates raided coastal villages and carried off the population into slavery in North Africa or the Middle East. At times, even substantial cities like Reggio Calabria could be sacked by the largest of such flotillas. Italians and Spaniards responded by building a vast network of coastal fortresses and towers, manned with troops and backed with militia to rally threatened districts. The great Ottoman fleets were smashed at Lepanto in 1571, but insecurity reigned thereafter, checked only by the expansion or creation of Catholic crusading flotillas of the knights of
Saint John of Jerusalem and of Santo Stefano, operating out of Malta or Livorno, or the small papal and Savoyard squadrons combined with Spanish vessels based in Genoa, Naples, or Sicily.
**WARS AND POLITICS**
The corsair raids were mere pinpricks next to the eruption of large-scale warfare in Italy and Europe after about 1613, which engulfed first the northern states and then gradually all the others. The Thirty Years’ War, which began in 1618, widened to include France intermittently after 1625 and permanently after 1635. Northern Italy became a frequent battleground for contending armies, while other territories contributed troops and money, mostly in support of Habsburg Austria and Spain. The consequences of large-scale, long-term warfare threw the Italian economies into upheaval, destroying networks of credit and exchange, closing off markets, closing workshops, weakening survivors to the point of making them more vulnerable to contagious diseases. By the 1640s, mounting taxes and a dizzying public debt triggered a massive uprising in the kingdom of Naples that imperiled the Spanish regime. If the region saw the rapid recovery by Spain, the kingdom of Naples was too exhausted to remain a pillar of Spanish strength. During the seventeenth century, King Philip IV (ruled 1621–1665) privatized most of his assets in southern Italy in a desperate attempt to find cash to fight the war, reducing royal power in that region to a shadow. It would be decades before Spanish viceroys could muster enough strength in the form of tax revenue to impose their control over the mountainous hinterland and impose obedience on the most turbulent feudal lords. In Sicily, too, the number of troops in the coastal fortresses contracted to the edge of insignificance. Even Venice was drawn into a long and costly defense of its overseas empire against the Ottoman Turks in three very costly wars (1645–1670, 1684–1699, 1714–1718) that reduced its presence in the Middle East to a mere shadow. Hundreds of Venetian patricians died on the ramparts of Candia (present-day Hania), the capital of Crete, or in desperate sea battles with the Turks in the Aegean or the Dardanelles, or of typhus and plague contracted during military operations.
With the eclipse of Spanish power everywhere in Europe, Italian states became pawns in the new European state system articulated around a handful of emergent great powers. Challenged repeatedly by France, Spain was hard pressed to defend its overseas colonies and its European possessions. It almost lost Sicily in the 1670s in the aftermath of an urban revolt at Messina (1674–1678), and Naples and Sardinia escaped conquest only due to French lack of initiative. French pressure on Italian states convinced those princes and republics to let lapse their ties and alliances with Madrid. Only in 1690 did a challenge to French ambitions emerge with the Habsburg emperor Leopold I’s (ruled 1657–1705) dispatch of an army to northern Italy, intent on filling the Spanish vacuum with an Austrian one. Leopold I intended to impose his jurisdiction (and his claims to Italian taxes) on the whole of northern and central Italy, as Charles V (ruled 1519–1556) had been briefly able to do in the sixteenth century. The demilitarization of most of the Italian states after the end of the Thirty Years’ War in 1648 forced the smaller states without large standing armies, like Genoa, Mantua, Florence, and Modena, to comply reluctantly with imperial ultimatums. This crisis came to a head during the War of the Spanish Succession (1701–1714) when the extinction of the Spanish Habsburg line opened a succession contested between France and the rest of Europe. Most of Spain acclaimed Louis XIV’s grandson Philip as king and heir of all the Spanish dominions in 1700. However, the prospect of combining the weak global empire of Spain with the powerful and populous kingdom of France was too horrible to contemplate for the Austrian Habsburgs and their allies in England, Germany, and the Netherlands. Spanish territories in Italy meekly accepted the Bourbon candidate, Philippe d’Orléans, and most accepted the presence of French armies in Italy to defend the inheritance. The Gonzaga rulers of Mantua openly sided with the “Gallispan,” as they were called. Piedmont was dragged into the French alliance at the outset of the war but changed sides in 1704. Campaigning on a scale never before seen, between the Gallispan forces and the imperial and Piedmontese in northern Italy, culminated in the perilous siege of Turin by the French in 1706. A victory there would probably have entrenched the Bourbon dynasty in Italy. At the last minute, an imperial army under Prince Eugene of Savoy
(1663–1736) maneuvered its way to Piedmont and routed the Gallispan army and chased it out of Italy. In the subsequent campaigns, Austrian armies occupied all of Lombardy and the kingdom of Naples and imposed imperial tutelage on all the smaller states. Over the subsequent decades, Vienna would patiently extend its authority over them all, with the exception of Piedmont and Venice, which had substantial armies of their own.
ECONOMY AND SOCIAL CONDITIONS
The legacy of war in the seventeenth century included both disease and ruin. Hard times magnified the impact of diseases like the plague that swept
away a quarter of the population of northern Italy in 1630 and then a quarter of southern Italy in 1656. The decline of food prices in the aftermath of the plagues also served to depress the entire economy, with the result that most peasants lost the land they owned due to insufficient revenues in hard times. Widespread misery took a lethal toll in frequent outbreaks of typhus, which killed hundreds of thousands of people each time there was a general harvest failure. Widespread poverty drove prices downward for at least a century, between 1620 and 1730, forcing all to curtail spending and investment. The urban manufactures lost their markets abroad and then increasingly their markets at home, too. Instead of importing food and raw materials and exporting high-quality manufactured goods, as in the past, Italians imported ever more manufactured goods from France, the Netherlands, and England, and sold agricultural commodities and semifinished products in exchange. From what we can measure, standards of living in Italian cities and villages declined along with the population. This was not an economic crisis, per se, preparing a rapid recovery. Rather, Italy fell quickly and enduringly behind its northern European neighbors and became the very example of stagnation and decline.
Italy lost its cultural ascendancy in the same period. After spearheading the mathematization of the universe, Italian philosophers formulated the first serious challenge to the Aristotelian worldview that the church supported. However, the church grew in strength throughout this crisis period, and with the active support of Italian princes, it mobilized against new currents in philosophy and science in an enduring manner. If Italy retained a larger number of universities and academies compared to other countries, these were gradually coopted by religious authorities vigilant against dangerous novelties. Italian elites ceased their campaign to spread literacy in cities and villages. Europe’s cultural center of gravity shifted away from northern Italy to settle on the triangle of Paris-London-Amsterdam, which became the fulcrum of the Enlightenment.
THE EIGHTEENTH CENTURY
The eighteenth century nevertheless witnessed a partial recovery of Italy, though it did not begin to close the gap with northwest Europe. The long depression of the European economy ended around 1730 as the newly rising population began to raise prices and intensify commercial exchanges. Italy’s once-prized urban manufactures continued to lose ground, and the country ruralized further, while in northern Europe the cities gained ground absolutely and relatively. Nevertheless, famines became less frequent as large-scale maize and rice cultivation introduced these high-yield crops into the staple diet. A new interest in agricultural questions among the elite sparked an era of innovation and experiment, and investments aimed to reclaim farmland from marshes and hillsides. The Italian population increased from thirteen million to eighteen million at the end of the century, but European population increase was stronger outside Italy. Fortunes were made supplying grain and other foodstuffs to the cities, and the country exported food and other agricultural products like raw silk. Economic thinkers began to suggest lifting the number of restrictions hedging agricultural production and distribution, in the expectation that landlords would produce more food as prices rose. The widespread famines of the mid-1760s constitute a watershed in that governments everywhere began to liberalize the economy, and the grain trade in particular. Production did indeed rise, but prices rose relentlessly, too, and with them, misery proved irrepressible.
The same liberalizing trends were introduced into manufacturing, with the same mixed results. State monopolies and privileges protecting specific industries did not prove very successful. After mid-century, governments began to turn a blind eye to breaches in the regulations. Governments contributed to the expansion by investing effort in roads, canals, and monetary stability. More typically, new initiatives scattered to the countryside and used peasant labor that was abundant and cheap in the off-season. By the late eighteenth century, the future geography of Italian industry was already perceptible in Piedmont, northern Lombardy and the Veneto, Liguria, and northern Tuscany, producing cheap goods for popular markets in Italy and beyond. As the price of manufactured goods declined, something of a consumer revolution began to reach a large portion of the population, in central and northern Italy particularly.
RELIGION
The same secularizing trends at work north of the Alps began to weaken the monolithic nature of Tridentine Catholicism in the peninsula. In order to contest the challenges to their jurisdiction coming from France, Spain, and Austria, the popes gave new impetus to the study of church history, armed with the new tools of chronology and diplomatics. The unintended result was to have church scholars lead an assault on over a thousand years of church legends. A more critical form of erudition, a study of history, law, and institutions, made intellectual elites in Italy more suspicious of receiving tradition uncritically. After more than a century of active Counter-Reformation, the Italian clergy had never been so well educated or disciplined, but this meant that they were open to fresh intellectual currents, too. The church sometimes excoriated secular tendencies and arrested some of the early Freemasons (members of a philanthropical secret society who tolerated unorthodox religious views), but it could not reverse the trend. In the 1720s and 1730s Piedmont began to limit the church’s jurisdiction, and took a more active role in education and charity, areas in which church institutions had been more active than the state. States began to invoke the need to appoint their own censors. Inquisition activities began to be curtailed, since they had always operated with the state’s cooperation, and this was no longer automatically forthcoming. Italian states began to impose new taxes on church incomes, to reduce the tax immunities of clergymen, to reduce the number of priests and monks in their territories, and to abolish mortmain, which had prevented church land from being sold to secular landowners. Between 1750 and 1770 a spate of laws limiting the church’s jurisdiction was issued all across Italy, sometimes accompanied by new concordats. Nevertheless, this did not entail the more profound dechristianization that was beginning in France. Popular attendance at church services was still very high everywhere. Over most of Italy, the late seventeenth and the entire eighteenth century witnessed missionary activity on an unprecedented scale over the entire countryside, instilling a more modern individual piety despite the theatrical flourishes typical of Mediterranean religiosity. If anything, the eighteenth century witnessed an unprecedented cultural gulf between urban cultural elites and the illiterate majority of Italians.
INTELLECTUAL CURRENTS
The intellectual dynamism in eighteenth-century Italy was considerable, across the gamut of genres. Increasing numbers of books were published in Italy, and ever more were imported, legally or as contraband. While censorship was still the norm, censors often intervened with a light hand. The church’s index of prohibited books of 1758 was less severe than those preceding it, and was perhaps less severe than that of some Italian states. A great many forbidden works lined the bookshelves of Italian homes or libraries, often published in French. The publication of books was complemented by the multiplication of periodicals. While they rarely reached more than a couple of thousand subscribers each in northern and central Italy, they usually passed through more hands. These made known books published throughout Italy and the rest of Europe with very little time lag. Italian elites became conversant with French Enlightenment principles and with English ideas, too, spread by young aristocrats on the grand tour. By the 1760s and 1770s, the Italian authors who were members of academies and contributors to philosophical and literary journals began to disseminate their ideas close to the realm of power in Milan and Turin, Parma and Modena, Florence and Naples.
PIEDMONT
More often than not, Italian governments were friendly to such developments, which never encompassed much more than an urban elite. Many of the academies functioned with the blessing of princely governments. These governments evolved gradually in the direction of more discretionary power in the hands of the prince and his court, and a dwindling role for the noble heirs of the urban governments whose institutions reached back into the Middle Ages. The model was largely French, fashioned over several centuries by kings who gradually subjected great lords and autonomous regions to their authority. Piedmont applied these lessons most effectively with perfect continuity through the dukes of Savoy from Emanuel Philibert (ruled 1559–1580) onward. The house of Savoy domesticated its nobility by making service a condition of fiefholding. Nobles served in the army and at court, in both cases enhancing the power of the prince. Noblemen strove to be admitted to bureaucratic institutions in Turin. The dukes also adopted the French employment of
powerful commissioners, called *intendants*, entrusted with the strict application of the duke’s decisions in every district capital. With a more efficient government hierarchy, the dukes could afford to raise taxes and establish a standing army, which could be used to enforce its will on recalcitrant subjects. During the long reign of Victor Amadeus II (1683–1730), the duke single-mindedly pushed back provincial, aristocratic, and ecclesiastical privilege with the aim of increasing his revenues. These he spent principally on warfare. Aided by British and Dutch subsidies, Victor Amadeus fashioned a large and effective military force that helped tilt the balance against Louis XIV and resulted in the expansion of the state in Lombardy and the acquisition of Sardinia (1720) with its royal title. Along with Venice, but with more ambitious expansion aims, Piedmont possessed the only serious Italian army on the peninsula. By committing its army to one side or the other in the rivalry between the Bourbons and the Habsburgs, the Savoy dynasty was able to increase the size and power of the state.
**NAPLES**
Piedmont was eventually isolated after 1756 once Habsburgs and Bourbons decided to make peace to confront other threats. Both dynasties applied absolutist principles in the Italian areas they governed, although these were not completely novel in the eighteenth century. The French Bourbon kings considered Italy to be a sideshow and did not seek major gains there during the eighteenth century. Their sole durable initiative was to purchase the rebellious island of Corsica from Genoa in 1767 and to crush the rebels there. Ejected from the peninsula after 1707, the Spanish Bourbons returned in 1734 when a seaborne army enabled the adolescent Charles III (ruled in Naples 1734–1759) to take Naples and Sicily from Austria. Charles was long dependent upon instructions from his parents, who gave him an army composed chiefly of Spanish and other foreign troops. True to Bourbon principles, Charles sought to domesticate the Neapolitan aristocracy and rule through civil servants steeped in royalist tradition. Charles was forced by family allegiance to commit the kingdom to war against the Habsburgs after 1740. With luck, his army defeated an Austrian attempt at reconquest in 1744, and Neapolitan notables resigned themselves to the Bourbon regime. The chief minister in Naples, Bernardo Tanucci (ascendant 1740–1776), adopted principles long followed in France, then Spain, to curtail baronial and ecclesiastical jurisdictions and liberties to the benefit of royal government, and to recover the direction of tax offices alienated to private investors during the preceding century. The place of the church was drastically curtailed during the latter half of the eighteenth century, in part due to a new concordat. Feudal power receded more gradually, though baronial excesses and violence were largely things of the past after 1750. There was even some progress in enhancing royal control over the tax machinery and in streamlining government procedures. After Tanucci retired, and the crown settled on Charles’s son Ferdinand I (ruled 1767–1825) and his Habsburg queen Maria Carolina, absolutist policies designed by aristocratic Freemasons hemmed in baronial power in Sicily, too. The Bourbons tried to maintain a credible army and rally the aristocracy around it, and in the 1780s they created a navy, too, with which to combat Barbary corsairs. In Naples the regime established a panoply of royal institutions, including a palace at Caserta modeled on Versailles. The regime was fairly deeply rooted in the kingdom when French revolutionaries overthrew it in 1799, and it was restored largely through popular rebellion.
**NORTHERN ITALY AND THE HABSBURGS**
Austrian Habsburgs applied the same general principles in the areas they governed after winning the War of the Spanish Succession in 1714. Initially they scooped up most of the Spanish territories in Italy: Milan, Naples, and Sardinia (exchanged with Piedmont for Sicily in 1720). Habsburg ambitions did not end there. Mantua was confiscated from the Gonzaga dukes for backing the Bourbons. The emperor Charles VI (ruled 1711–1740) also intended to incorporate into the empire the other Italian principalities: Parma on the extinction of the Farnese in 1731; Tuscany on the extinction of the Medici in 1737. Italians constituted about one-third of the emperor’s direct subjects in those years.
But the incipient “Austrian” empire was a ramshackle conglomeration of territories articulated around the Austrian and Bohemian heartland, with its peripheries responding poorly to directives from the center. Its vulnerability in Italy was demonstrated during the War of the Polish Succession in 1733–1735 as Gallispan armies supported by Piedmont ejected imperial troops from both Lombardy and Naples, losing the latter definitively. When in 1740 a Prussian attack gave birth to a new coalition aimed at breaking up the Austrian Habsburg empire, triggering the War of the Austrian Succession, the new Habsburg regime headed by Maria Theresa had never looked weaker. The Danubian territories rallied around the dynasty, however, permitting the levy of new Habsburg armies for fighting in Italy, Germany, and the Low Countries. A new Spanish army operating in Emilia with Neapolitan support was beaten back. When Piedmont and Britain joined Austria soon after, the
Habsburg Monarchy was able to mount better odds. Maria Theresa briefly lost Milan and Parma in 1745 to Gallispan troops but soon after recovered sufficiently to put the Bourbons on the defensive. French successes elsewhere finally allowed a Spanish Bourbon to become duke of Parma in 1748, but it was a limited success. Maria Theresa spent the rest of her reign reinforcing imperial institutions in Milan. As in Piedmont, the crucial initiative was to undertake a meticulous cadastre of landed property that allowed it to assess taxes more equitably and efficiently. Gradually, the monarchy took over the business of raising taxes, which was novel for the *ancien régime*. After 1765, Maria Theresa was aided by her eldest son, Joseph, who reigned as emperor between 1780 and 1790. As a result of their initiatives to stimulate the economy and streamline the administration, Milanese patricians gradually lost their hold over the region, to the benefit of Italians nominated from Vienna.
The Habsburg influence spread throughout Italy in the eighteenth century, prefiguring the predominance of Metternich’s age in the early nineteenth century before Italian unification. Genoa relied on imperial troops to retain its shaky hold on Corsica. Maria Theresa’s husband, emperor Francis I (ruled 1737–1765), succeeded the Medici to the grand-ducal throne of Florence, and ruled it from Vienna through the intermediary of Lorrainer officials, until his son Leopold (ruled 1765–1790) went to rule there directly after 1765. The Este line in Modena eventually merged with a Habsburg prince, extending Vienna’s influence into Emilia. Once Habsburgs and Bourbons formed an alliance in 1756, it was cemented in place through a series of marriages, and queen Maria Carolina effectively brought Naples into the Austrian sphere of influence at the end of the century, displacing the Spanish connection of her Bourbon husband.
Habsburg reforms tended to be most drastic with respect to the Catholic Church. Maria Theresa was content to impose Vienna’s jurisdiction in her territories, at the expense of the pope. It can be argued that she was following the Bourbon lead in this area, imposing ultimate state control over papal functionaries. Reforms to church structures under her sons Joseph II (in Lombardy and the Trentino) and Leopold (in Tuscany) were intentionally more fundamental, as both princes sponsored the spread of Jansenist principles at the expense of traditional Catholicism. Bishops nominated from Vienna were henceforth all selected with a view to uprooting “superstition” and “fanaticism.” Priests were trained at great seminaries under state control, using a Jansenist catechism. The great majority of religious houses were closed by government order and their property confiscated. Most of these measures irritated most Italians, and the Tuscan reformers were challenged by traditional bishops and popular riots in 1787. Leopold decreed a pause in these and other reforms, but they marked the real end of the Counter-Reformation era in Italy, just before the arrival of French revolutionary troops in 1796.
*See also* Florence; Habsburg Dynasty: Austria; Habsburg Dynasty: Spain; Maria Theresa (Holy Roman Empire); Papacy and Papal States; Savoy, duchy of; Venice.
**Bibliography**
Berce, Yves-Marie, Gerard Delille, Jean-Michel Sallmann, and Jean-Claude Waquet. *L’Italie au XVIIe siècle*. Paris, 1989.
Bianconi, Lorenzo. *Music in the Seventeenth Century*. Cambridge, U.K., and New York, 1987.
Black, Christopher. *Early Modern Italy: A Social History*. London and New York, 2001.
Braudel, Fernand. *The Mediterranean and the Mediterranean World in the Age of Philip II*. Translated by Sian Reynolds. New York and London, 1976.
Cochrane, Eric. *Florence in the Forgotten Centuries, 1527–1800: A History of Florence and the Florentines in the Age of the Grand Dukes*. Chicago and London, 1973.
———. *Italy, 1530–1630*. Edited by J. Kirshner. New York and London, 1988.
Cohen, Elizabeth S., and Thomas V. Cohen. *Daily Life in Renaissance Italy*. Westport, Conn., and London, 2001.
Delumeau, Jean. *L’Italie de Botticelli à Bonaparte*. Paris, 1974.
Gross, Hans. *Rome in the Age of Enlightenment*. Cambridge, U.K., and New York, 1990.
Hanlon, Gregory. *Early Modern Italy: Three Seasons in European History*. London and New York, 2000.
———. *The Twilight of a Military Tradition: Italian Aristocrats and European Conflicts, 1560–1800*. New York, 1998.
Mackenney, Richard. *Tradesmen and Traders: The World of the Guilds in Venice and Europe, c. 1250–c. 1650*. London, 1987.
IVAN III (MUSCOVY) (1440–1505; ruled 1462–1505), grand prince of Muscovy. Ivan III Vasil’evich grew up during the dynastic civil war of his father’s reign and went on to lay the foundations of Russian statehood and ethnographic territory.
After ascending the throne in 1462, Ivan expanded the territory of the Grand Principality of Moscow by annexing the small but crucial principalities of Yaroslavl’ (1463), Rostov (1474), Tver’ (1485), Vyatka (1489), and most importantly, the Novgorod republic (1478). Exploiting internal rivalries among the ruling elite of Novgorod, Ivan was able to annex it without serious fighting. He thus acquired the main Russian emporium for the Hanseatic League and the vast Russian north, rich in furs, salt, and forest products. Defections to Moscow of Russian princes on the Lithuanian border led to two wars (1487–1494 and 1501–1503) and the addition of Chernigov (Chernihiv), Novgorod-Seversk, and Byansk to Moscow. In 1480 Ivan’s army confronted the Great Horde, a successor state to the Golden Horde, but the Horde retreated without a battle. The event provided a symbolic end to the supremacy of the heirs of the Mongols, by now weakened by internal feuds. After the death of his first wife, Maria of Tver’, Ivan married Sofiia Paleologue, a Byzantine princess living in Rome. The 1472 marriage, encouraged by the Venetian Pope Paul II, brought new prestige to Moscow and, in Sofiia, a powerful figure to its court, where she remained until her death in 1503.
Ivan’s policy rested on new state institutions that evolved from the princely household. Foremost in importance was the duma, the council of some ten or twelve men of the great aristocratic clans who ruled with the prince. The center of administration was the treasury, headed by a boyar from the Greek Khovrin family of the Crimea and comprising half a dozen secretaries and lesser staff. It not only kept and recorded revenues but acted as an archive of treaties, charters, and foreign policy, whose administration it handled. The court was headed by the majordomo, who managed Ivan’s household as well as taking on larger judicial functions. These aristocrats worked well with Ivan until the 1490s, when the death of his eldest son occasioned a succession crisis. At first Ivan favored his grandson Dmitrii, who was even crowned in 1498. Almost immediately, however, Dmitrii fell from favor, and Ivan chose in his place Vasiliı, his second son by Sofiia. As a result the greatest of the boyars, the princes Patrikeev, went into exile.
Under Ivan the army came to rest less on the retinues of the great aristocrats than on the new gentry cavalry, each given a pomest’e, a land grant conditional on military service. Lands confiscated in the 1490s from the old Novgorod nobility formed a large part of these grants. The law code of 1497 began the process of writing down Muscovite law, although it was still more of a procedural handbook for judges than a code.
Ivan’s reign coincided with a period of ferment in the church. Autocephalous since 1448, the Russian Orthodox Church maintained correct, if strained, relations with the Greeks. The first challenge to its authority came from a small group of Novgorod clergy and Moscow lay officials called “Judaizers” by their opponents. They seem to have questioned monastic institutions, the devotion to
icons, and some aspects of trinitarian doctrine. After some hesitation from Ivan, they were condemned and executed in 1504–1505. Their principal opponent, the abbot Joseph of Volokolamsk, was a staunch proponent of traditional monasticism and, after Ivan rejected the heretics, of princely power as well. At the same time the hermit Nil Sorskii advocated a more individual monastic piety and rejected the punishment of the heretics.
Ivan was the motivating force behind the construction of one of Russia’s greatest architectural achievements, the Moscow Kremlin as we see it today. Almost entirely the work of Italian architects, the new building began with Aristotele Fioravanti’s Dormition Cathedral (1475–1479), followed by the work of the Milanese Marco Ruffo and Pietro Antonio Solari, who built the Kremlin walls (1485–1495) in imitation of the Sforza castle in Milan. At the same time they constructed the princely palace, of which the Faceted Palace (1487–1491) still remains. Russian architects from Pskov built the Annunciation Cathedral as the palace church (1484–1489).
The new palace, churches, and fortifications reflected the Moscow principality’s new position in the world. During these years the usage *Rossiia* (‘Russia’), reflecting Greek antecedents, began to replace the older “Rus” and to refer to the lands under Ivan’s rule. Informal usage of the term “tsar” appears in some documents. Ivan III, more than any other ruler, laid the foundations for the later Russian state.
*See also Duma; Ivan IV, “the Terrible” (Russia); Russia; Russia, Architecture in; Russia, Art in; Vasili II (Muscovy).*
Ivan’s internal measures, often anachronistically called reforms, built up the Russian state apparatus on new foundations. In these years new state offices (prikazy)—no longer household offices—came into being, with an army office (razriad), one for landed estates, and others for bandits, petitions, and other functions. The Ambassadorial Office split off from the treasury in 1549. At the same time, the government continued the policy of ordering local gentry to elect elders to deal with crime and public order, and it replaced the older system of direct collection of taxes by local governors to support their work (kormlenie, or ‘feeding’) with the requirement for the village community to collect taxes. The older type of provincial government gave way to a more centralized state. In 1550 the government issued a new law code (Sudebnik), really a procedural manual for trials and investigation. In 1551 Ivan called a council of the church that resulted in a series of enactments called the Hundred Chapters, which tried to correct administrative, liturgical, and moral abuses by strengthening episcopal administration as well as the tsar’s control.
In 1553 Ivan fell ill and seemed on the point of death, and he tried to guarantee the succession for his infant son. Some boyars supported him, but others feared a regency that would only empower the Romanovs. A third group favored Ivan’s cousin, Vladimir of Staritsa, an incapable but certainly legitimate possibility. Fortunately Ivan recovered, but the episode poisoned relations between the tsar and his cousin, as well as with many of the boyars. The poison began to work a decade later.
In 1558 Ivan, confident in his power after the victories over the Tatars, decided to invade and attempt to conquer Livonia, founded in the thirteenth century by a German crusading order on the territory of present-day Estonia and Latvia. The Reformation had destroyed the rationale and unity of the order, and Poland and Russia both craved its lands and trading cities. For Russia, they were the main artery of commerce with Europe. Ivan’s army was quickly successful, but the entrance of Poland into the war provided a new enemy. At first victorious over the Poles, Ivan’s army bogged down in a long stalemate that lasted until the 1570s, when Poland and Sweden expelled the Russians and divided Livonia between themselves. The failed war was a major burden on the Russian treasury and ruinous for the peasantry, who paid the taxes to support it.
The war also caused discontent among the elite, and in 1564 Prince Andrei Mikhailovich Kurbskii defected to Poland-Lithuania, inaugurating a famous exchange of polemics with Ivan and also contributing to the establishment of the oprichnina. The executions and exactions of the following years struck the boyar elite as well as the gentry and townspeople in Novgorod. In 1575 Ivan suddenly placed a converted Tatar prince, Semen Bekbulatovich, on the throne for a few months, but the strange episode had no consequences. A return to near normalcy failed to improve Russia’s position in the war, and a truce with Poland in 1582 brought Ivan no gains for his enormous effort. The one accomplishment was the beginning of the conquest of Siberia under Yermak, but this was sponsored by the Stroganov merchants rather than the government. At the end of Ivan’s reign the clans began to return
to court and to power, a process completed after Ivan’s death.
Ivan’s reign was a vivid time, full of light and dark, a reign that saw massive and permanent expansion alongside defeat in war, the foundations of the Russian state apparatus, and enormous political and organizational chaos. The agrarian crisis caused by the Livonian War contributed to the beginnings of serfdom, while trade with England and Holland began and thousands of peasants moved to new and better lands in the south and east. The problems at the core of Ivan IV’s reign and his legacy are highly complex, and many aspects remain highly controversial.
See also Baltic Nations; Boris Godunov (Russia); Imperial Expansion, Russia; Law: Russian; Livonian War
(1582–1583); Oprichnina; Russia; Russo-Polish Wars; Serfdom in Russia; Vasilii III (Muscovy).
BIBLIOGRAPHY
Camphausen, Hans-Walter. *Die Bojarenduma unter Ivan IV: Studien zur altmoskauer Herrschaftsordnung*. Frankfurt am Main, 1985.
Platonov, S. F. *Ivan the Terrible*. Translated by Joseph L. Wieczynski. Gulf Breeze, Fla., 1974.
Skrynnikov, R. G. *Ivan the Terrible*. Translated by Hugh F. Graham. Gulf Breeze, Fla. 1982.
Soloviev, Sergei M. *History of Russia*. Vol. 10, *The Reign of Ivan the Terrible: Kazan, Astrakhan, Livonia, the Oprichnina and the Polotsk Campaign*. Translated by Anthony L. H. Rhinelander. Gulf Breeze, Fla., 1995.
Zimin, A. A. *Oprichnina*. 2nd ed. Moscow, 2001.
PAUL BUSHKOVITCH
JACOBITISM. Jacobitism was the underground cultural and dynastic movement that supported the restoration of the main line of the Stuart dynasty to the thrones of England, Scotland, and Ireland.
DEVELOPMENT
Jacobitism took its name from Jacobus, the Latin form of James, and stemmed directly from the Revolution of 1688 (also known as the Glorious Revolution, the English Revolution, or the Bloodless Revolution), in which the Catholic James II (ruled 1685–1688) was overthrown by a Dutch invasion (led by his Protestant nephew and son-in-law William of Orange, subsequently William III [ruled 1689–1702]) and widespread rebellion in England. James II, who became convinced he was liable to be murdered by the supporters of the Revolution, known as Revolutioners, fled to France in December 1688. There he found a refuge at the royal palace of St. Germain en Laye and (at least intermittent) support from Louis XIV (ruled 1643–1715), who saw in James’s cause an opportunity to display his credentials as an upholder of both monarchical government and the Counter-Reformation. When support for James and the Jacobite cause did not conflict with his other objectives, Louis provided substantial military resources to back attempts to restore James II and subsequently his only surviving son, “James III” (the Old Pretender, a sobriquet fixed on him by Whig propagandists). These attempts began in March 1689 when James II and a small French force landed at Kinsale in Ireland. The Catholicizing regime brought in while James was king was at that point still in control of most of the island, but serious rebellions had broken out against his authority in Ulster, where Irish Protestant rebels had seized the towns of Londonderry and Enniskillen and were holding out for the newly proclaimed King William III. Despite the goodwill of the great majority of his Catholic Irish subjects, James proved unable to construct the administrative and military infrastructure necessary to maintain the large army of volunteers he found waiting for him in Ireland. This was in part the result of Ireland’s relative poverty and in part that of a rift between James’s objectives and those of the leaders of the Irish Catholic community. Whereas James simply sought to turn Ireland into a steppingstone for his reconquest of England, the Irish Catholic political nation wanted the overturning of the post-1660 land settlement, which had left nearly 80 percent of Ireland in the hands of the descendants of earlier Protestant colonists, and the sharp attenuation of the constitutional power of the English Parliament to dictate policy and law to Ireland’s Parliament. The upshot was that Londonderry and Enniskillen were never retaken, and the Irish Jacobite army was in a poor state to face William III when he landed in Ireland with a large veteran army in the summer of 1690. At the battle of the Boyne on 1 July, William defeated James and routed his army. James fled the country on 3 July, ungratefully (and unfairly) blaming the Irish for the disaster. With the help of French reinforcements, resistance continued in the west of Ireland until 12 July 1691, when the Jacobite army was again defeated at the battle of Aughrim and forced
to fall back on its last stronghold at Limerick. After a brief siege, the defenders of Limerick surrendered on 3 October 1691 on generous terms that allowed the evacuation of 12,000 of them to France, where they subsequently became the basis of the elite Irish brigade that served the Bourbons until 1789. With the collapse of Irish Jacobite resistance, the Highland rebellion it had inspired in Scotland also came to an end. There, after an unexpectedly good start when James Graham, Viscount Dundee, defeated a Williamite army at Killiecrankie on 17 July 1689 (despite the fact that he himself was killed in the closing moments of the battle), the war in Scotland had settled into a bitter pattern of raid and counterraid that bankrupted the Scottish state and ravaged the Highlands without reaching any conclusion. Hearing of the surrender of Limerick and with it the end of any hope of reinforcement from Ireland, the Scottish Jacobites negotiated a cessation in the autumn of 1691. Brinksmanship over the taking of oaths of loyalty to the Williamite regime by several clan chieftains, and bad faith combined with malice on the part of key government officials, then led to a punitive expedition against the technically holdout Macdonalds of Glencoe. The troops entrusted with the operation duplicitously quartered themselves on the Macdonalds and then on the night of 13 February 1692 perpetrated an infamous massacre on their hosts that shocked the Scottish political nation.
From 1691 until the death of Louis XIV in 1715 Jacobitism in the British Isles revolved around plotting for risings against the new order. Louis several times (1692, 1696, and 1708) provided troops and ships to support and/or precipitate a Jacobite rising, but on each occasion matters went awry. The major obstacles to a French invasion were the Royal Navy, the unpredictability of the weather, and the difficulty of coordinating a rising in England or Scotland with a French invasion. Basically, the Jacobites wanted a French landing first, after which they would rise, while the French wanted a Jacobite rising first, after which they would land. In addition, the French navy, facing mounting odds in its struggle with the Royal Navy and its Dutch allies in both the War of the League of Augsburg (1688–1697) and the War of the Spanish Succession (1702–1714), was increasingly reluctant to undertake an operation that would be tantamount to a death ride for the ships and crews involved. In between plotting for invasions, the Jacobites sought with equal energy to subvert and undermine the post-Revolution political order through propaganda and conventional politics, both at Westminster and on the streets. Throughout the reign of Queen Anne (1702–1714), the Jacobites were somewhat more restrained in their plotting than under William III, partly out of liking for the pious Tory queen, and partly out of the mistaken belief that she favored the restoration on her death of the main line of the Stuarts, in the shape of her half-brother, the Old Pretender.
As she lay dying in August 1714, however, Anne ensured that the Act of Succession of 1702 would be enforced, and rather than the Old Pretender succeeding, her Parliament-approved successor, George, elector of Hanover (a distant, but reliably Protestant, relative) peacefully inherited the throne. For Continental political reasons George I (ruled 1714–1727) had aligned himself with the Whigs in the bitter parliamentary struggles of Queen Anne’s last years, and when it subsequently became clear that he would continue to favor the Whigs, the Tories rapidly became alienated. The process began when the Whigs took the first opportunity to be revenged on their old enemies in a series of parliamentary impeachments of members of Queen Anne’s last, Tory, ministry. This drove a significant minority of the Tories into the arms of the Jacobites. Meanwhile, in Scotland support for the Jacobite cause had been boosted by the constitutional union of Scotland and England (which was primarily driven by English determination to ensure that Scotland adhered to the Hanoverian succession), forced through the Scots Parliament in 1706–1707, which had outraged a great many Scots. Thus when England erupted in Tory/Jacobite rioting in the summer of 1715, the Scots Jacobites, led by John Erskine, the earl of Mar, felt emboldened to rebel in September. The rebels rapidly won control of most of northern Scotland, more by dint of the fact that the Whig ministry was determined to secure southern England and so kept the bulk of the army there, than by their own abilities. Though Mar was able to build up a formidable force at Perth that far outnumbered the government army at Stirling, he was paralyzed by indecision. It appears that he expected to be quickly reinforced and replaced as
commander by Jacobite professional officers in French pay, most notably James Fitzjames, duke of Berwick and marshal of France, and had no idea what to do in the interim. When forced by a conclave of Jacobite leaders to march south, he was met by the government army under John Campbell, duke of Argyll, at Sherrifmuir on 13 November. A battle ensued which Argyll may be said to have won insofar as the core of his army survived despite being outnumbered in the region of three to one. Mar retreated north, back to Perth. He was joined there at the end of December by the Old Pretender, who had finally managed to slip through a dragnet of British agents and Royal Navy warships to get to Scotland. The Old Pretender’s arrival, however, closely coincided with the commencement of a winter campaign by Argyll, which took Perth in three days and chased the dwindling Jacobite army north. On 4 February 1716 at Montrose, Mar and the Old Pretender took ship for the Continent. What was left of the Jacobite army retreated north into the Highlands, and within a month the government was back in control of the whole of Scotland. A small Jacobite rising in northern England in October–November 1715 was trapped and forced to surrender at Preston on 14 November.
The collapse of the 1715 rebellion initiated a long period of fruitless plotting and dashed hopes. For thirty years plots were hatched in the British Isles while Jacobite diplomats from the shadow court sought the military backing of a European great power. At various times Sweden, Spain, the Habsburgs, Russia, and France negotiated with them, either to put diplomatic pressure on Britain or out of genuine sympathy. Only Spain, in a moment of desperate crisis during the War of the Quadruple Alliance (1718–1720), actually attempted an invasion of Britain, but it was forced back by storms on 18 March 1719. A separate, diversionary Spanish force led by the Earl Marischal managed to reach Lewis on 9 April, and subsequently raised a small rebellion in the Highlands, but the Jacobite army was defeated at Glenshiel on 5 June, which put an end to the affair. Only in the 1740s, as virtually all of the great powers became involved in the War of the Austrian Succession, did real openings for Jacobite diplomacy reemerge. Negotiations inaugurated by the leaders of a faction among the Tories led in due course to French preparations for an invasion, to be backed up by a Tory/Jacobite rising, in February 1744. Once again a storm and the Royal Navy prevented French and Jacobite plans from coming to fruition.
The Old Pretender’s oldest son, though, had been secretly invited to France from Rome, where his father was by this time in exile, to head the invasion force. Charles Edward Stuart (the Young Pretender or Bonnie Prince Charlie) was a young man in a hurry, and when the French abandoned their invasion plans in favor of renewed campaigning in Flanders he opted to try and go it alone. With the help of Irish merchants, well established in the ports of western France, he surreptitiously gathered a force of volunteers from the Irish brigades and arms for many more and invaded Scotland in the summer of 1745. By various mishaps he arrived on Eriskay in the Hebrides on 23 July with only one ship, few arms, and little money, and was promptly advised to go home by local Jacobite leaders. Using his considerable charm Charles Edward broke down their resistance, and within a month was on the march with a small, but growing, force composed primarily of Highland clansmen. In a whirlwind campaign commanded mainly by Lord George Murray, the Jacobites were able to capture Edinburgh, apart from the castle, and rout a government army at Prestonpans on 21 September. After gathering further recruits, Charles Edward cajoled the Scots Jacobite leaders into undertaking an invasion of England that swept as far south as Derby by 5 December, causing panic in London and a crisis of confidence in the Whig ministry. The premise of the campaign was, however, that if they were shown what the Scots could achieve, the French would invade and the English Jacobites would rise. Neither transpired. The French government was desperately throwing together another invasion force, but it was not ready to depart until the very end of December, and the English Jacobites dithered until the opportunity had passed. So at a council of war in Derby on 5 December 1745 Charles Edward was forced to turn back by his commanders. Despite the Jacobite prince’s sour obstructionism, the Jacobite army reached Scotland safely on 20 December, and there regrouped in time to defeat another government army at Falkirk on 17 January 1746. The victory could not, though, hold back the numbers of government troops converging on southern Scotland,
and the Jacobites were forced to retreat into northern Scotland. At the insistence of Charles Edward, the Jacobite army ill-advisedly tried to make a stand at Culloden on 16 April 1746 and was badly defeated there by a government force commanded by William Augustus, duke of Cumberland, second son of George II. Even so, the Jacobite army rallied at Ruthven and offered to fight on, but was abandoned by Charles Edward, who chose to try to escape to France. The Jacobite army dispersed and when several Highland chieftains refused to comply with Cumberland’s demand that they surrender unconditionally, Cumberland launched a savage campaign of repression that ravaged the Highlands and is still bitterly remembered throughout Scotland and the Scottish diaspora. Charles Edward was meanwhile sheltered by sympathizers in the Highlands and eventually escaped to France, arriving there on 30 September 1746.
The failure of the ’45 is usually taken as the death knell of the Jacobite movement, but in fact Jacobite plotting and negotiations with great powers such as France, Prussia, and Spain continued into the late 1750s. The defeat of the rebellion sapped the Jacobites’ strength and credibility in Scotland, yet there was still a strong Jacobite diaspora loyal to the Stuart cause in France and Spain. The last Jacobite invasion attempt, which was largely the brainchild of Arthur Tollendal, comte de Lally, commander of the Irish brigade, was only defeated by the victory of the Royal Navy at the battle of Quiberon Bay on 20 November 1759. Charles Edward eventually succeeded his father as the Jacobite “Charles III” in January 1766, by which time he was a paranoid, bitter alcoholic. Though he lingered until 30 January 1788, the Jacobite cause may fairly be said to have been dead by that time.
**THE JACOBITE THREAT**
The threat to the post-Revolutionary order posed by the Jacobites is the subject of much debate among historians. The debate ultimately revolves around the level of support they enjoyed in the three kingdoms. Since those who expressed Jacobite sympathies in any form were liable to severe punishment, we can never know exactly how many English, Welsh, Scots, and Irish truly favored the restoration of the Stuarts. Our only tangible measures are the numbers who turned out to fight in rebellions, and records of crown prosecutions of suspected Jacobites. Moreover, the numbers yielded by even these sources are obviously flawed. How many Jacobite soldiers were obliged to fight against their own inclinations, by their clan chieftains or landlords, or, conversely, would have joined a Jacobite army if one had passed nearby? How many Jacobite ballad singers, roisterers, or rioters escaped prosecution by the crown? We have, therefore, to assume that both the numbers of Jacobites in arms and the numbers caught committing Jacobite crimes are merely the tip of an iceberg. That said, it seems likely that the strongest support for Jacobitism lay in Scotland and Ireland. In England and Wales there was a small Nonjuror church that split with the Church of England over its acceptance of William III as monarch in 1689. This church remained loyal to the Stuarts to the very end, and its adherents shaded over into the more extreme, High Church wing of the Church of England, but the best guess would put their numbers combined at less than 5 percent of the English and Welsh population. To this we must add the small Catholic minority, which comprised around 2.5 percent of the population by the eighteenth century. There may well have been further sympathizers, but it is impossible to even guess at their numbers, which makes an estimate of 5–10 percent of the English population inclined to Jacobitism as good as we can get.
In Scotland the situation was quite different. The Episcopal clergy forced out of the Presbyterian Kirk in the 1690s soon established their own independent church that from the start adhered to the Stuarts. In large parts of the Highlands and in Lowland Scotland north of the Tay, this church probably included a majority of the population, and may have amounted to 30–40 percent of the population of Scotland as a whole in the early eighteenth century. In addition, the tiny Catholic minority (1–2 percent of the population), which tended to be concentrated in particular clans, were steadfast Jacobites. To this number we should add a small minority of Presbyterians who were so incensed by the Union of England and Scotland bulldozed through the Scottish Parliament in 1706–1707 that they tended to be inclined to Jacobitism thereafter. Deducting neutralist/loyalist Episcopalians, maybe as
many as 30 percent of Scots were inclined to support the Jacobites.
Ireland, by contrast, was a Jacobite hotbed. Because there were no further Jacobite rebellions there after 1691, many historians have been skeptical about the depth of Irish Jacobitism, mainly because they based their analyses on partial, and misleading, English-language sources. In fact, Irish (Gaelic) sources reveal a general enthusiasm for the Jacobite cause among the majority, Catholic, population despite the shabby treatment of the Catholic Irish by James II and the Stuart dynasty as a whole. Since it is generally accepted that about 75 percent of the Irish population was Catholic in the period 1692–1800, this would make Ireland the key bastion of Jacobitism in the British Isles. This assessment is underscored by the flow of recruits out of Ireland to join the Irish brigades in French and Spanish service. Though some of them were seeking only adventure or an escape from poverty and discrimination, many more were recruited with the promise that they would soon return to the British Isles as part of a victorious army led by their rightful (Stuart) king. The Irish brigades were, in spirit, the Stuarts’ army in exile, and certainly tens of thousands of young Irishmen slipped overseas to join them between 1692 and 1760.
**THE IMPACT OF JACOBITISM**
Jacobitism was the bane of the post-Revolutionary political order for the first seventy years of its existence. The new order was no more certain of the number of secret Jacobites than we are and oscillated between a general concern and outright panic with respect to how to deal with the threat they posed. Jacobite plotting and invasion attempts in concert with one or another European great power punctuated political life. On average there was a Jacobite-related political “event” every one or two years between 1689 and 1730 and one every three or four years between 1730 and 1760. Always lurking on the fringes of possibility was the chance that the Jacobites would get a European great power’s backing, successfully land in Britain, and coordinate a general uprising in support of the Stuart cause. Rather than run the risk of this nightmare scenario ever happening, the ministers of successive post-Revolution regimes worked to forestall Jacobite diplomacy in Europe by alliances and treaties, built up their military forces, and ferreted out conspiracy in the British Isles. In terms, then, of both the dynamics of politics and the development of the British fiscal-military state Jacobitism had a profound influence. Though it started as an expression of dynastic loyalty, Jacobitism came to act as a vehicle for nationalistic aspirations. In Scotland and Ireland a Stuart restoration was linked to the restoration of lost sovereignty and the reattainment of a golden age. If for no other reason, Jacobitism’s acting as a conduit for such sentiments among the subsumed polities of the British Isles justifies its inclusion among the most important phenomena of the eighteenth century.
*See also* Anne (England); George I (Great Britain); George II (Great Britain); Glorious Revolution (Britain); Hanoverian Dynasty (Great Britain); Scotland.
**BIBLIOGRAPHY**
Baynes, John. *The Jacobite Rising of 1715*. London, 1970.
Bennett, Gareth V. *The Tory Crisis in Church and State: The Career of Francis Atterbury, Bishop of Rochester 1688–1730*. Oxford, 1975.
Black, Jeremy. *Culloden and the ’45*. New York, 1990.
Clark, Jonathan C. D. “On Moving the Middle Ground: The Significance of Jacobitism in Historical Studies.” In *The Jacobite Challenge*, edited by Eveline Cruickshanks and Jeremy Black, pp. 177–188. Edinburgh, 1988.
Cruickshanks, Eveline. *Political Untouchables: The Tories and the ’45*. London, 1979.
Fritz, Paul S. *The English Ministers and Jacobitism between the Rebellions of 1715 and 1745*. Toronto, 1975.
Gregg, Edward. “The Jacobite Career of John, Earl of Mar.” In *Ideology and Conspiracy: Aspects of Jacobitism, 1689–1759*, edited by Eveline Cruickshanks, pp. 179–200. Edinburgh, 1982.
Hopkins, Paul. *Glencoe and the End of the Highland War*. Edinburgh, 1986.
Jarvis, Rupert. *Collected Papers on the Jacobite Risings*. 2 vols. Manchester, U.K., and New York, 1972.
Lenman, Bruce. *The Jacobite Risings in Britain 1689–1746*. London, 1980.
Macinnes, Allan I. *Clanship, Commerce and the House of Stuart, 1603–1788*. East Linton, Scotland, 1996.
McLynn, Frank J. *Charles Edward Stuart: A Tragedy in Many Acts*. London and New York, 1988.
———. *France and the Jacobite Rising of 1745*. Edinburgh, 1981.
Monod, Paul K. *Jacobitism and the English People 1688–1788*. Cambridge, U.K., and New York, 1989.
JADWIGA (POLAND) (Hungarian: Hedvig; German: Hedwig; c. 1374–1399; ruled 1384–1399), queen of Poland, wife of Władysław II Jagiełło. The youngest daughter of Louis of Anjou, king of Hungary and Poland, and Elizabeth of Bosnia, Jadwiga was betrothed as early as 1378 to William of Habsburg. When the Polish lords rejected the candidacy of Jadwiga’s elder sister, Maria, for the Polish crown (because she had ascended the Hungarian throne in 1382), Elizabeth decided that Jadwiga would be queen of Poland. Jadwiga arrived in Poland in 1384 and was crowned on 16 October of that same year. Her engagement to William, disliked by the Poles, was annulled (1385) and on 15 February 1386, on the initiative of the lords of Little Poland, she was married to the Lithuanian grand duke Jogaila, known after his baptism as Władysław Jagiełło. Their marriage fulfilled a condition of Poland’s union with the Grand Duchy of Lithuania, concluded at Krewo in 1385.
The position of Jadwiga, heiress to the Polish throne (as great-granddaughter of Władysław I the Short) was equal to that of Jagiełło (who was elected king), but because of her young age she did not play an independent political role for a long time and was mainly a symbol for the supporters of the Polish-Lithuanian union. In 1387 Jadwiga accompanied the troops that took over Red Ruthenia from Hungary. Probably influenced by the lords who surrounded her, she was an advocate of a peaceful solution to the conflict with the Order of Teutonic Knights, and in 1397–1398 she conducted unsuccessful negotiations with the grand master of the Order, Konrad von Jungingen, in an attempt to recover the duchy of Dobrzyń. She also mediated in Jagiełło’s diplomatic talks with the Lithuanian princes.
A well-educated woman, Jadwiga was surrounded by scholars. It was also said that she had an aura of saintliness. In her last will (1399) she bequeathed some of her jewels to Cracow Academy (later the Jagiellonian University), which made possible its renovation in 1400. She died giving birth to a daughter, who also died. Her death weakened Jagiełło’s position as king of Poland and left the question of succession open. Jadwiga was buried in the cathedral on Wawel Hill in Cracow. Her cult began to grow soon after her death, and she was canonized by Pope John Paul II on 8 June 1997.
See also Poland to 1569; Władysław II Jagiełło.
BIBLIOGRAPHY
Halecki, Oskar. *Jadwiga of Anjou and the rise of East Central Europe*. Edited by Thaddeus V. Gromada. Boulder, Colo., and Highland Lakes, N.J., 1991.
Wyrozumski, Jerzy. *Królowa Jadwiga: Między epoką piastowską i jagiellońską*. Cracow, 1997.
Marcin Kamler
JAGIELLO (POLAND). See Władysław II Jagiełło (Poland).
JAGIELLON DYNASTY (POLAND-LITHUANIA), the dynasty that ruled the Grand Duchy of Lithuania, Poland, and at times Hungary and Bohemia, from the fourteenth to the sixteenth century. Its progenitor was Gediminas, grand duke of Lithuania (ruled 1316–1341), the founder of the Lithuanian-Ruthenian state and father of Grand Duke Algirdas (ruled 1345–1377). The founder of the dynasty in Poland was Algirdas’s son and successor Jogaila. As a result of a Polish-Lithuanian agreement signed at Krewo on 14 August 1385, which envisaged the Christianization of Lithuania and its union with Poland, Jogaila married the Polish queen Jadwiga of Anjou and was baptized and crowned king of Poland, becoming Władysław II Jagiełło (1386–1434).
The Jagiellon dynasty ruled in the Grand Duchy of Lithuania from 1377 to 1401 and from 1440 to 1572, in Poland from 1386 to 1572, in Hungary from 1440 to 1444 and from 1490 to 1526, and in Bohemia from 1471 to 1526. Władysław II had two sons by his fourth marriage with Sophia, a Lithuanian princess: Władysław III Warneńczyk, king of Poland (1434–1444) and Hungary (as Ulászló I; 1440–1444), who was killed in battle against the Turks at Varna; and Casimir IV (called Jagiellończyk), grand duke of Lithuania (1440–1492) and king of Poland (1447–1492).
By his marriage to Elizabeth of Austria, daughter of Albrecht II of Habsburg, king of Germany, Bohemia, and Hungary, Casimir IV had six sons: Vladislav II, king of Bohemia (1471–1516) and Hungary (as Ulászló II; 1490–1516); Casimir, canonized in 1602; John I Albert, king of Poland (1492–1501); Alexander I, king of Poland (1501–1506); Sigismund I, later called the Old, king of Poland (1506–1548); and Frederick, archbishop of Cracow (1488) and cardinal (1493). Casimir IV also had daughters: Jadwiga was married to the Bavarian duke; Georg (1475), Sophia to the Brandenburg margrave, Frederick (1479); Anna to the Pomeranian duke Boguslaus X (1491); Barbara to the duke of Saxony, Georg (1496); and Elizabeth to the duke of Liegnitz, Frederick II (1515).
At the zenith of their power under Casimir IV in the 1490s, the Jagiellons ruled Poland, Lithuania, Bohemia, and Hungary. But at the Treaty of Vienna in 1515 an agreement was concluded with the Habsburgs regarding the marriage of King Vladislav II’s children with Holy Roman emperor Maximilian I’s grandchildren. Louis II, king of Hungary and Bohemia from 1516, married Maria, daughter of the king of Castile, Philip I the Handsome (1522). Anna married Ferdinand, who later became emperor as Ferdinand I, in 1521. When Louis fell in the battle against the Turks at Mohács (1526), Bohemia and Hungary came under the rule of Habsburgs.
The Kings John Olbracht and Alexander died without issue. By his marriage with Barbara, daughter of the Transylvanian Voivode Stephen Zápolya, Sigismund I the Old had a daughter, Jadwiga, who married the Brandenburg elector, Joachim II (1535). By his second marriage to Bona Sforza, an Italian, Sigismund had six children: his son Sigismund II Augustus became king of Poland and the Grand Duchy of Lithuania in 1548; Isabella was married to the king of Hungary, János Szapolyai, in 1539 and after his death (1540) ruled Transylvania for eleven years on behalf of her underage son, John Sigismund; Sophia became the wife of Henry, duke of Brunswick (1556); Anna became queen of Poland (1575) and wife of Stephen Báthory (1576); and Catherine married John, who later became king of Sweden as John III Vasa (1562).
The death without issue of Sigismund II Augustus in 1572 and of his sister Anna in 1596 meant the end of the dynasty. Its descendants by distaff survived much longer. The mother of Sigismund III Vasa, king of Poland (1587–1632) and Sweden (1592–1599), was a Jagiellon. Thanks to the marriages of Casimir IV’s daughters all European monarchs at the beginning of the twenty-first century—the queen of Great Britain and Northern Ireland, Elizabeth II; the king of Belgium, Baudouin I; the queen of Denmark, Margarethe II; the queen of Holland, Beatrix; the king of Norway, Harald V; the king of Sweden, Carl XVI Gustaf; the prince of Lichtenstein, Hans Adam II; the grand duke of Luxembourg, Jean; and the prince of Monaco, Rainier III—could claim Casimir IV as their ancestor.
The Jagiellon dynasty ruled Poland and the Grand Duchy of Lithuania for nearly two hundred years. The Jagiellons concluded a union between Poland and Lithuania, which was endorsed by the Polish Diet (Sejm) at Lublin in 1569, that changed the political structure of east central Europe. They sought to unite all old Polish territories and incorporated Gdańsk Pomerania (known as Royal Prussia, 1466) and Mazovia (gradually from 1462 and fully in 1526–1529) into Poland. At the summit of the Jagiellons’ power at the end of the fifteenth century and the first quarter of the sixteenth, the dynastic policy pursued by Casimir IV—whose ambition was that his sons should ascend the thrones of Bohemia and Hungary—resulted in the Jagiellons ruling over nearly the whole of east central Europe, from the Dvina and the Baltic in the north to the upper Elbe, the Adriatic, and the Black Sea in the south. Their successes laid the foundations for the “Jagiellonian idea,” developed by Polish historiography in the nineteenth and twentieth centuries—a
concept of a multiethnic state and a federal union of states and nations in east central Europe.
Under the Jagiellons, Poland’s political system was transformed from an estate-based monarchy to a democracy of the nobility, unique in Europe. The principles of religious toleration were confirmed by the Compact of Warsaw (1573), which proclaimed freedom of religion, guaranteed peace between followers of different religions and equality of rights to dissidents, and forbade religious persecution by secular authorities. Official toleration also included the Jews, who in the sixteenth century flowed into Poland in great numbers (mainly from Germany) and set up large communities in many towns. The principles of civil rights, parliamentary government, and religious toleration were observed by the Jagiellons in all countries under their rule. But the Jagiellons did not succeed in strengthening royal power in Poland or carrying out the fiscal, military, and political reforms that in western Europe laid the foundations for modern state structures and opened the way to absolutism.
See also Jadwiga (Poland); Lithuania, Grand Duchy of, to 1569; Poland to 1569; Sigismund II Augustus (Poland, Lithuania); Władysław I Jagiełło.
BIBLIOGRAPHY
Duczmal, Małgorzata. *Jagiellonowie: Leksykon biograficzny*. Cracow, 1996.
Kolankowski, Ludwik. *Polska Jagiellonów: Dzieje polityczne*. 3rd ed. Olsztyn, 1991.
Lowmianski, Henryk. *Polityka Jagiellonów*. Poznań, 1999.
Mączak, Antoni, ed. *Dynastie Europy*. Wrocław, 1997.
Wdowiszewski, Zygmunt. *Genealogia Jagiellonów*. Warsaw, 1968.
Marcin Kamler
JAMES I AND VI (ENGLAND AND SCOTLAND) (1566–1625), king of England (as James I, 1603–1625) and Scotland (as James VI, 1567–1625). Born in June 1566, James was the son of Mary, Queen of Scots, and Henry Stewart, Lord Darnley. Rumors abounded from his birth that he was in fact the son of Mary’s lover, her Italian secretary David Riccio. Although these were probably unfounded, Mary’s marriage to Darnley was certainly an unhappy one: in February 1567 she was involved in the assassination of the feckless Darnley by Scottish lords, led by James Hepburn, earl of Bothwell, at Kirk O’Fields near Edinburgh. Bothwell then divorced his own wife and married Mary. The Protestant Scottish lords were outraged by their behavior, and Mary was deposed. On 19 July 1567 her thirteen-month-old son was crowned James VI of Scotland.
James’s minority was dominated by his various noble regents, two of whom were killed in the political violence that characterized Scottish politics during this period, and by his tutors, the strict Calvinist George Buchanan and the more sympathetic Peter Young. In August 1582 James was lured into Ruthven castle and held captive for more than a year by the Protestant earls of Gowrie and Angus. This led to the downfall of James’s friend and regent, the pro-French Esmé Stewart, duke of Lennox, and made an indelible mark on the young king. In June 1583 James escaped from his captors and began to assert his authority as king. Chief among his targets was the Scottish Kirk, or assembly of the Presbyterian Church, which the king never forgave for rejoicing in the fall of his friend Lennox. The struggle for control of the Scottish church was a defining feature of James’s rule in Scotland, and he continually strove to enforce the so-called Black Acts of 1584, which asserted royal authority over the church. James was only moderately successful; he did not succeed, for example, in appointing any new bishops (the counterweight to the authority of the Kirk) in Scotland between 1585 and 1600. In 1592 the Golden Acts recognized the Kirk’s authority in religious matters but retained the king’s right to summon it when and where he wished. James also struggled to overcome a factious nobility, notably Francis Stewart, earl of Bothwell (nephew of the third husband of Mary, Queen of Scots) and George Gordon, earl of Huntly. Nevertheless, by 1600 James had established royal control over the Scottish nobility, and his relations with the Scottish Parliament were generally good.
James’s international and dynastic standing was increased in October 1589 by his marriage to Anne of Denmark (1574–1619). James traveled to Denmark to collect his bride and only returned to Scotland the following April. Anne bore him three sons and four daughters: Henry, Elizabeth, Margaret, Charles, Robert, Mary, and Sophia. James had made
James’s major achievement of the first year of his reign was the ending of the long and costly war with Spain in August 1603.
As king of England James enjoyed both successes and failures. Perhaps his most successful area of policy was toward the church. James ensured that the English episcopacy and clergy were well-educated and administered a broad, national church, although tensions with the persecuted Catholic minority surfaced in the Gunpowder Plot of 1605. This conciliatory tone was also apparent in his relations with the Scottish church after 1603. Less successful was his management of English political society, particularly Parliament. When he acceded to the English throne James considered himself an experienced ruler who knew how to manage his subjects’ concerns, but he failed to appreciate the differences between his realms. He was unable to tackle the principal problem facing his English realm, that of the inadequacy of the fiscal system and the spiraling costs of England’s involvement in European affairs. James thus clashed with his Parliaments: the so-called Great Contract of 1610 (an attempt to replace the crown’s ancient fiscal rights with an annual income tax) failed, and the king closed Parliament in anger in 1610, 1614, and 1621. James also clashed with the Parliament over the management of his household, his extravagant spending, and the influence of his favorites, most notably George Villiers, duke of Buckingham.
James died of a stroke on 27 March 1625. He left a considerable literary legacy including political works and poetry. His first book of poetry was published in 1584; in 1599 he set out his theory of kingship in *Basilikon Doron*; in 1611 he oversaw the translation of the King James Version of the Bible. His historical legacy is mixed. For centuries the hostile contemporary portrait by Sir Anthony Weldon (in *The Court and Character of King James*, 1650) of a lazy, unhygienic, and homosexual king devoted to his favorites to the detriment of his kingdoms held sway. More recent historians have stressed that James must be judged first as a largely successful king of Scotland who rescued that realm from political and religious turmoil and, second, as a king of three kingdoms (England, Scotland, and Ireland) who struggled manfully with the unique problems of multiple monarchy. They argue that James strove to avoid entanglement in the developing Thirty Years’ War (1618–1648) in Europe and thus saved the lives and purses of his subjects. Although in some areas, such as the settling of Protestants in Ulster and his failure to reach accord with the English Parliament, James contributed to the problems that would beset his son, Charles I, there was nothing in James’s reign that made the English Civil War (1642–1649) inevitable.
See also Bible: Translations and Editions; Charles I (England); English Civil War and Interregnum; Scotland; Stuart Dynasty (England and Scotland).
BIBLIOGRAPHY
Barroll, Leeds. *Anne of Denmark, Queen of England: A Cultural Biography*. Philadelphia, 2001.
Cogswell, Thomas. *The Blessed Revolution: English Politics and the Coming of War, 1621–1624*. Cambridge, U.K., 1989.
Croft, Pauline. *King James*. Basingstoke, U.K., 2003. Most accessible recent account of James’s reign, stressing his role as monarch of three kingdoms.
Fincham, Kenneth. *Prelate as Pastor: The Episcopate of James I*. Oxford, 1990.
Fischlin, Daniel, Mark Fortier, and Kevin Sharpe. *Essays on Royal Subjects: The Writings of James VI and I*. Detroit, 2002.
Galloway, Bruce R. *The Union of Scotland and England, 1603–1608*. Edinburgh, 1986.
Goodare, Julian, and Michael Lynch, eds. *The Reign of James VI*. East Linton, U.K., 2000.
Lee, Maurice Jr. *Great Britain’s Solomon: James VI and I in His Three Kingdoms*. Urbana, Ill., and Chicago, 1990.
Lockyer, Roger. *Buckingham: The Life and Political Career of George Villiers, First Duke of Buckingham, 1592–1628*. London, 1981.
Peck, Linda Levy, ed. *The Mental World of the Jacobean Court*. Cambridge, U.K., 1991.
Sommerville, Johann P., ed. *King James VI and I: Political Writings*. Cambridge, U.K., 1994.
Wormald, Jenny. “Gunpowder, Treason and Scots.” *Journal of British Studies* 24 (1985): 141–168.
———. “James VI and I: Two Kings or One?” *History* 68 (1983): 187–209. Seminal article, the first to tackle the problem of James ruling simultaneously over more than one kingdom and the beginning of the reinterpretation of James’s reign.
David Grummitt
JAMES II (ENGLAND) (1733–1701; ruled 1685–1688), king of England, Scotland, and Ireland. James II was born on 14 October 1633, the second son of Charles I (ruled 1625–1649), and was created duke of York and Albany in January 1634. Following his father’s defeat in the civil war, James spent 1648–1660 in exile on the Continent, where he fought in the service of the French and Spanish crowns, earning a reputation for bravery. Returning to England in 1660 with the Restoration of the monarchy under his brother, Charles II (ruled 1660–1685), he became lord high admiral and oversaw a period of expansion for the navy. He converted to Catholicism sometime in the late 1660s and was forced to resign all of his offices in 1673 following his noncompliance with the Test Act of that year. In 1679–1681 the parliamentary Whigs launched an attempt to exclude him from the succession on the grounds of his religion (he was next in line to the throne due to his brother’s failure to father any legitimate children). Exiled to Scotland by his brother while the exclusion crisis unfolded, James had two successful stints as head of the government there, where he showed himself a firm friend of the Episcopalian interest against the Presbyterian menace.
Recalled to England in 1682, James enjoyed a surge of popularity during the Tory reaction that followed the defeat of the exclusion movement. His accession in February 1685 was greeted with numerous loyal addresses and widespread rejoicing across England, Scotland, and Ireland. A few diehard radicals rose with Archibald Campbell (1629–1685), earl of Argyll (in Scotland), and James Scott (1649–1685), duke of Monmouth, Charles II’s eldest illegitimate son (in England), that summer, but both rebellions failed miserably for lack of support.
James made a public commitment at the beginning of his reign to rule by law and protect the Protestant establishment, but he soon proved that his word could not be relied upon. He began issuing Catholics dispensations from the Test Act so they could hold commissions in the army, prompting the ire of his newly elected Parliament (an overwhelmingly Tory-Anglican body), which he dismissed in November 1685. He achieved a judicial ruling in favor of the dispensing power in the feigned action
of *Godden v. Hales* in June 1686 (though only after removing six of the twelve judges), which allowed him to bring Catholics into his privy council. He encouraged Catholics to celebrate Mass openly, promoted Catholic schools, and used the press to try to convince people of the merits of converting, though his missionary efforts met with limited success. When the Anglican clergy refused to heed his demand that they refrain from anti-Catholic sermonizing, James set up an Ecclesiastical Commission to discipline recalcitrant clergymen. Realizing that the Tory-Anglican interest would not assist him in his efforts to help his coreligionists, he tried to forge an alliance with the Protestant Nonconformists, hiring former Whig publicists, such as Henry Care and the Quaker William Penn, to promote the cause of religious toleration in the press. In April 1687 he issued his first Declaration of Indulgence, suspending all the penal laws against Nonconformists by dint of his royal prerogative, and embarked upon a campaign to secure the return of a packed Parliament so he could turn this toleration into law.
James also built up a sizable standing army, increasing the less than nine thousand troops he inherited from his brother to twenty thousand by the end of 1685 and adding a further fourteen to fifteen thousand over the course of 1688. On the foreign policy front, he tried to adopt a middle position between the French and Dutch interests, though his failure to take a stance against the aggressions of Louis XIV (ruled 1643–1715) toward the Protestant interest on the Continent led to widespread suspicions that he was in cahoots with the French king.
James made a serious miscalculation in trying to force the clergy to read his second Declaration of Indulgence of April 1688. Seven bishops petitioned against the royal suspending power, and though charged with sedition by the crown, were found not guilty by a King’s Bench jury. When James’s second wife, Mary of Modena (1658–1718), gave birth to the Prince of Wales on 10 June 1688, raising the prospect of a never-ending succession of Catholic kings, a group of seven Whig and Tory politicians invited William of Orange (William III, ruled 1689–1702) to come from Holland to rescue English liberties and the Protestant religion. William landed at Torbay on 5 November, meeting little resistance. James fled the country for France in December 1688, after first throwing the great seal into the River Thames, thereby effectively abdicating the government (although his first attempt at leaving the country was foiled by fishermen in Kent, and it took a second attempt later that month before he made it to the Continent).
James’s pursuit of similar pro-Catholic policies in Scotland and Ireland alienated Protestant opinion in his other two kingdoms, though Jacobite sentiment remained strong in Ireland, where 80 percent of the population was Catholic. Hence James went to Ireland in March 1689 to launch a bid to reclaim his British thrones, but he was defeated by William at the battle of the Boyne (1 July 1690) and withdrew again to France. He died at Saint-Germain-en-Laye, outside Paris, on 6 September 1701.
JANISSARY. The Janissaries (from *yeniceri*, meaning ‘new soldier’ in Turkish) were an elite standing force of infantrymen, first formed by the Ottoman Sultan Murad I around 1380. Legally slaves (*kul*) of the sultan, they served over the centuries as bowmen, crossbowmen, and musketeers. The Janissaries were distinguished from the main body of the army, which was made up of cavalrymen (*sipahis*) drawn from the freeborn retinues of provincial officials and notables. Janissary recruits were chosen from groups of boys who were taken into Ottoman service in periodic levies on Christian peasant families, predominantly those in the Balkans. The boys were brought to Istanbul, converted to Islam, despite Islamic prohibitions against the forcible conversion of Christians, and then trained for military service.
**ORGANIZATION AND TACTICS**
The Janissary corps was originally organized in the late fourteenth century when a group of prisoners of war were converted to Islam and personally attached to the sultan. It grew from approximately 20,000 men in the late sixteenth century to well over 100,000 by the early nineteenth century, even though it came to include many non-combatants in later years.
The organization became an important Ottoman military force soon after it was established because the Janissaries were perceived to be the sultan’s most trustworthy soldiers as well as disciplined troops with particular small arms skill. They received special privileges and benefits to secure their sole allegiance to the ruler, with their group solidarity reinforced by the way they were organized into small companies of celibate warriors living in barracks and receiving constant military training.
The colonel of each company was called the *çorbacı* (‘soup cook’) and wore a soup ladle as his rank insignia to symbolize humility before the sultan although he never actually served food himself. The head of the whole Janissary force was the *agha*, one of the most important officials in the realm. He served on the Imperial Divan, ranking just below the main Ottoman viziers (ministers) but above other military commanders. The Janissaries lived together in large barracks within the cities in which they were stationed. They were forbidden to marry until they retired from active duty. Several Ottoman grand viziers and admirals had served as members of the Janissary corps during their careers.
The Janissaries’ military technique was to rush very quickly into battle after a breach had been made in fortress walls or to outflank an enemy cavalry force that had already charged first. They would then attack with handguns or rifles as appropriate. In peacetime, Janissaries served as guards in fortresses and towns and as firefighters in major Ottoman cities. Although Janissaries were principally a land force, there were naval Janissaries who helped man Ottoman ships.
The Janissaries were famous for their distinctive marching style and headgear. Their special military bands are believed to have inspired military bands all over Europe. The Janissary corps was closely connected with Bektashi dervishes, a popular mystical order regarded by many Muslims as heterodox. To commemorate the Islamic millennium in 1591–1592, the sultan allowed the master of the Bektashi
order and eight dervishes to become part of the Janissaries.
**JANISSARIES IN WAR**
The Janissaries made significant contributions to many important Ottoman victories, among them the conquest of Constantinople in the spring of 1453, the battle against the Iranian Safavids at Chaldiran in 1514, and the defeat of the Mamluk armies at Marj Dabik in 1516. In all these confrontations, the Janissaries administered the final decisive blow after a series of preliminary assaults, usually in swift gunfire attacks. Each of these encounters fueled European perceptions of the Janissary corps as a kind of Ottoman “secret weapon” able to use firearms more effectively than any adversary. Perhaps the greatest moment of Janissary victory was at the battle of Mohacs in 1526, when Janissaries were able to mow down scores of Hungarian cavalry with precise rifle volleys. Many contemporary observers believed that the quality of the Janissary corps diminished in the late sixteenth century when the sons of Janissaries, and freeborn Muslims generally, were permitted to join, and the corps’ slave discipline was compromised. This assessment, however, is belied by subsequent Janissary victories in the seventeenth century. Many strains weighed on this group, including inflation and the continual devaluation of Ottoman money, which substantially lowered salary values.
**JANISSARIES IN THE SEVENTEENTH AND EIGHTEENTH CENTURIES**
In the early seventeenth century, when economic and social unrest threatened the stability in the empire, the Janissaries became more deeply involved in royal politics. The young sultan in 1621, Osman II, blamed the Janissaries for the Polish defeat of the Ottomans at Khotin. Osman did not trust their loyalty since he associated them with his uncle and rival, the previous sultan Mustafa I, who had just been deposed. Within a year, Mustafa became Sultan again (with his mother behind the throne), and the Janissaries killed Osman II. Many of the regicides were hunted down and executed in retribution for Osman’s death, but the Janissaries’ kingmaker role was in no way diminished.
Throughout the seventeenth century, the Janissaries had a fearsome reputation for fomenting unrest instead of fighting in combat. The distinction between the urban craft guilds and the Janissaries had already started to blur, a development that reduced unit cohesion and undermined the Janissaries’ fighting capacity. The Janissaries came to be blamed for a series of military defeats, beginning with unsuccessful Ottoman campaigns against the Habsburgs in the 1690s that led to the Treaty of Carlowitz, the first permanent Ottoman surrender of territory to European powers.
The “Tulip Era” of the 1720s was a time when European ideas and fashions became extremely popular in the Ottoman Empire, challenging the traditional system in the wake of a string of Ottoman military failures. This era of social change, combined with the financial weakness and inept administration of the government at that time, produced tensions that culminated in a popular revolt to overthrow Sultan Ahmed III (1703–1730). Patrona Halil, a noncombatant, illiterate Janissary, led this uprising.
**JANISSARIES IN THE ERA OF OTTOMAN MILITARY REFORM**
Count Alexandre de Bonneval was assigned in the 1730s to modernize the Janissaries. Despite slight improvements in their military capabilities, the Janissaries still had great difficulties adapting to modern warfare and did not receive adequate funding. Further disasters were in store, such as Janissary mismanagement of naval forces that led to a terrible defeat at Chesme in 1770 during the Russo-Ottoman War.
The Ottomans then turned to another European adviser, Baron de Tott, to begin modernizing the military by establishing a naval engineering school in the 1790s. This began an educational transformation in the Ottoman military that totally left out the Janissaries. New army units with no connection to them were organized under Sultan Selim III (ruled 1789–1807) in a military and financial program called the *Nizam-i Cedid* (‘New Order’).
By the late eighteenth century, though, the Janissaries would prove difficult to dislodge. As their importance as soldiers waned, they had developed considerable economic and coercive power in major Ottoman cities and were able to thwart reformers’ direct assaults on their status for several decades. When they were ordered in 1807, for example, to wear European-style uniforms, the JanisJANSENISM
Jansenism was a religious movement in the Catholic Church, named after Cornelis Jansen (Latin, Cornelius Jansenius, 1585–1638), bishop of Ypres, which originated in Spanish Flanders and in France, and spread to other European countries. In their struggle to assert and defend their positions, its members exerted a deep influence over church, society, and politics until the end of the eighteenth century.
HISTORY
Jansen’s *Augustinus* presented the teaching of Saint Augustine on salvation and grace, though disputes between theologians on these matters had been forbidden by the Holy See (1611, 1625). Posthumously published in Louvain (1640), the book was immediately attacked by the Jesuits, who denounced it as heretical. In France, where it was reprinted (1641, 1643), the work was well received, especially by the group under the influence of Jansen’s friend, Jean Duvergier de Hauranne (1581–1643), abbot of Saint-Cyran. Their center was the convent of Port-Royal in Paris, reformed by the abbess Angélique Arnauld, which attracted influential members of the nobility and the bourgeoisie; later, a group of laymen, the *solitaires*, lived next to the nuns. Under the pen name of Petrus Aurelius, Saint-Cyran asserted the authority of local bishops over members of religious orders; his attacks on moral permissiveness (laxism) irked Cardinal Richelieu, who was also weary of his criticism of French alliance with Protestant states in the Thirty Years’ War. In 1638, he was imprisoned for alleged heresy in Vincennes and his writings examined for errors.
Following a general papal condemnation of the book (*In Eminentii*, dated 1642, published 1643), for breach of the directive of silence on these matters, Richelieu initiated a campaign against *Augustinus* that focused on the accusation of Calvinism. Saint-Cyran’s disciple, Antoine Arnauld (1612–1694), brother of Angélique Arnauld, responded in 1644 with a defense of Jansenius. He had already expanded the controversy by attacking the Jesuits on their laxity concerning reception of the Eucharist (*De la fréquente communion*, 1643) and morality (*Théologie morale des Jésuites*, 1643). During the rebellion that followed Richelieu’s death, members of the Port-Royal circle were perceived as supporters of the Fronde (the revolt of the nobles and the parlement against the monarchy); to weaken them, his successor, Cardinal Mazarin, supported by the queen regent, Ann of Austria, sought a new and stronger condemnation. For that purpose, theological assertions disputed in Paris were sent to Rome, after attempts to have them censured by the Faculty of Theology (1649) or the assembly of the French Clergy (1650) did not succeed. Alexander VII’s bull *Cum Occasione* (31 May 1653) condemned as heretical five of these propositions, but despite an introductory reference to the book, did not explicitly indicate their origin.
Against Jesuit claims that in this document the pope had condemned *Augustinus* as heretical and even disapproved Augustinian theology, Antoine Arnauld disputed the presence of the propositions in the book. Following a classical theological disThe weight claimed for these decisions introduced into the debate the issue of papal authority, and more precisely the existence of infallible judgments, dealing not only with doctrine but with mere facts. As this prerogative was not yet defined (it would be, in a very limited way, at Vatican I, 1871), many French theologians rejected it in accordance with their Gallican principles, which reserved infallibility for the Ecumenical Council. Four bishops declared that they could not endorse the formulary in their dioceses; when Rome started to proceed against them, nineteen of their colleagues offered their support. In order to prevent division, even schism, Louis XIV allowed the negotiation of a secret clause of conscience allowing “obsequious silence,” that is, private dissent, on the “fact.” This “Peace of the Church,” authorized by Clement IX (14 January 1669), allowed the Port-Royal circle to extend its influence in biblical (Bible of Sacy, 1672), patristic, liturgical, and historical studies; it also took an important part in religious controversy with Protestants (*Perpétuité de la foi*, 1669–1672). By that time, the Jansenist movement had acquired its distinctive features, above all its strong individualism, that could be perceived as a sectarian menace to the church and the state. In their obstinacy to defend their right of conscience, the Jansenists dissociated themselves from the moderate participants in the Catholic Renewal; at the same time, they provoked Roman misgivings for their defiance and government resentment for their political tactics, especially their appeal to public opinion. Under suspicion in Paris and in Rome, the leaders, Antoine Arnauld and Pasquier Quesnel (1634–1719), took refuge in the Spanish Netherlands (1685). The publication in 1702 of a *Case of Conscience* submitted to the Sorbonne was perceived as a breach of the 1669 agreement since, approved by forty theologians, it brought back the issue of the “fact” of the five propositions. The evidence produced a few months later by Quesnel’s arrest (May 1703) of an extensive Jansenist network, active even in Rome, incited Louis XIV to seek a renewal of the condemnations. Clement XI obliged with the bull *Vineam Domini* (1705), which condemned the *Case* and reiterated the earlier pronouncements. As it proved ineffective, the king requested another document considering Jansenism as a whole; for that purpose were denounced excerpts from Quesnel’s spiritual book, *Réflexions morales sur le Nouveau Testament* (Moral...
reflections on the New Testament), a verse-by-verse presentation of the biblical text, followed by adapted meditations. The Apostolic Constitution *Unigenitus Dei Filius* (1713) censured 101 passages from Quesnel’s work, presented in a thematic order that explicitly established Jansenism as opposed to orthodox Catholicism, not only on the matter of salvation and grace, but on many aspects of religious life. As the specific degree of error of each passage was not indicated (the censure was *in globo*, “as a whole”), different interpretations were possible. This imprecision stirred opposition to the papal document by a minority of bishops, clergy, and laity, headed by the archbishop of Paris, cardinal Louis Antoine de Noailles (1651–1729), who demanded a clarification. Louis XIV moved to crush the protest but he died (1715) before the national council he had summoned over papal reluctance could meet.
**THE CRISIS OF *UNIGENITUS***
Despite the limited areas of resistance and the low numbers of opponents, *Unigenitus* generated a crisis that was to have ripple effects. The papal constitution became exemplary of a type of Catholicism that was rejected both for its doctrinal deficiencies and its authoritarianism. This rejection also took on political tones, because of the involvement of the secular power in the conflict. After Louis XIV’s death, extremist bishops, clergy, and laity, emboldened by the support offered by the regent, Philip of Orléans, in 1717 appealed against *Unigenitus* to a future General Council. Soon, however, the state turned against them, under the ministry of Cardinal Fleury, who exiled or jailed them. In 1730, *Unigenitus* was registered as law of the land, which meant that opposition to it became a civil crime. In 1749, the archbishop of Paris, Christophe de Beaumont (1703–1781), decided to deny the sacraments (and therefore Catholic burial) to those who did not assent to the bull and did not produce a certificate of confession. These measures contributed to a weakening and dispersion of the Jansenists. Many continued in their opposition, appealing to public opinion and seeking support from the parlements. Some became more extreme, as manifested in the “miracles” of Saint-Médard cemetery and the *Convulsionaries*, who associated pain with spiritual experience (1730–1760). In these instances, the spiritual confusion of the believers was expressed through miraculous cures and self-imposed suffering; at the theological level, “figuratism” or a reinterpretation of history through biblical images (J. J. Duguet and J. B. d’Etemare) was another way to voice disillusion or even despair. The expulsion of the Jesuits from France (1761–1764), and the suppression of the Society of Jesus in 1773, were perceived as a victory of the Jansenists. The events certainly demonstrated the influence of the movement, diffused through numerous pamphlets, books, and the clandestine newsletter, *Nouvelles ecclésiastiques* (1728–1803), an influence that spread through most European Catholic countries.
**EUROPEAN JANSENISM**
Jansenism was already present in the United Provinces, where many Appellants had settled; in 1723, the consecration of a bishop elected by the clergy without Rome’s approval established a schismatic church that still survives (Old Catholic Church). In Mediterranean and Middle European countries, many of the Jansenist themes surfaced in various expressions of the “Catholic Enlightenment,” which developed under the protection of the state. Though opposed to the philosophes, they favored a critical renewal of Christianity, modeled on the early church and based on the writers of the Port-Royal circle. The decrees of the Synod of Pistoia (1786), condemned by Pius VI in *Auctorem Fidei* (1794), represent this perspective. This last document, carefully prepared, avoided the imprecisions of the former ones, and condemned with precise qualifications every aspect of Jansenism.
**JANSENISM AND REVOLUTION**
In their resistance to the state in the name of their religious convictions, members of the Jansenist movement influenced the opposition to absolutism that prepared the way for the French Revolution, both in actions and in words. Some were directly involved in the first stages of the Revolution, but they soon disagreed on the issue of the *Civil Constitution of the Clergy* (1790). Very few actually adhered to the Constitutional church, but as its leaders, especially Bishop Henri Grégoire (1750–1831), came to see themselves as the heirs of Port-Royal, they manifested in the early nineteenth century what can be seen as the last coherent form of Jansenism.
WHAT IS JANSENISM?
During the past fifty years the issue of Jansenism has been the object of extensive research, the results of which modify considerably the classic historical perspective. Contrary to the traditional acceptation of the word, the association with Calvinism has been disproved as well as the puritanical connotation of rigorism. With their common Augustinian background, the five condemned propositions could represent a certain proximity with Protestantism, but this proximity was explicitly rejected by those concerned. As to the opposition to laxism, it was an early feature of the Catholic Renewal adopted by many, especially in the French church, against the practice of religious orders. The Jansenist movement, on the other hand, had important repercussions on early modern European history at the religious and political levels.
Religious Jansenism. Jansenism is to be understood within the larger context of the Catholic renewal that followed the Council of Trent (1545). It represents a traditional and rather conservative element that wanted to reform the church in order to recompose Christian unity. It was also a reaction against the progressive version of Catholicism offered by the Jesuits and their disciples. Jansenius’s *Augustinus* was an attempt to counter Molinism (an optimistic interpretation of the salvation process) by the assertion of strict Augustinianism. His reconstruction, in contravention of the Roman ban, was presented as a defiance of the authority of the church. When the Port-Royal circle defended the book against early papal condemnations, they provided a confirmation of this perception. Later bickering on the five propositions and resistance to episcopal and pontifical judgments reflected their sectarian position. Inevitably, these difficulties with the magisterium of the church accentuated a form of individualism inherent to any reform movement. Taking as their reference an idealized early church, the Jansenists could not embrace the centralized post-Tridentine structure; instead, they favored a hierarchical system where the rule of the pope would be balanced by that of bishops, and the rule of bishops by that of their clergy. Hence there was a notable drift toward Gallican Episcopalianism, and later Richerist Presbyterianism.
This divergence on ecclesiastical structures was not the only one. The other deviations condemned by the bulls *Unigenitus* and *Auctorem Fidei* suggest that, in an abstract way, Jansenism came to represent an alternative to Tridentine Catholicism, distinct by its doctrine of salvation, its conception of the church, as well as its exigence on sacramental reception, moderate devotions, access to the Bible, and liturgical participation. This ideal attracted clergy and laity, who regrouped in parishes and religious communities, eventually forming a network of faithful who shared the same goals of purification and reform, and undertook to impose it on others. This perception explains why, as they insisted on their Catholic orthodoxy, the hierarchy strove to identify their errors and to eradicate them.
Political Jansenism. The political ideal of Jansenius and of his French supporters was that of a Catholic monarch promoting the interests of the church. Their objections to the modern state account for their early difficulties and the mistreatment they had to endure. These difficulties excited a spirit of resistance, combining a “mentality of opposition” with an energetic defense of their ideas. They looked for support in the higher circles of church and state, constituted systems of influence, attacked their adversaries, and appealed to public opinion. This activism in turn developed and nuanced their “political theology.” Augustinian in principle, it grew stronger in its opposition to absolutism; by the middle of the eighteenth century, some started to envision in the state the participatory polity they advocated in the church.
As a social group, the Jansenists appear more diverse than was long thought. Though significant, the participation of the nobility was limited, mostly to those who had an allegiance to the Port-Royal community, through family connections, education, and religious objectives. Especially in times of crisis, the Jansenist cause received the support of an “old style middle class,” the *bourgeoisie de robe*. This social group had the education and time to be engaged in spiritual life and theological reflection. They also were concerned with the religious reform of society, primarily through education, social action, and political involvement. It is not surprising, therefore, that many of the active members of the movement, male and female, belonged to that group. But this does not support a once favored political interpretation of the Jansenist phenomenon. If undeniably Jansenist exaltation of the right
of conscience represented values attractive to bourgeois ideals, Jansenist morality with its rejection of temporal achievement and its dramatic appeal to perfection could not appeal to the same bourgeoisie. Recent historiography has evidenced Jansenist influence in the lower classes, especially in towns, mostly the result of education and pastoral care. The presence and influence of women in these different groups—often decried by the adversaries—has also been documented, confirming a new perception of the movement, less elitist, both traditional and modern in its perspectives.
See also Absolutism; Arnauld Family; Calvinism; Clergy: Roman Catholic Clergy; Gallicanism; Jesuits; Louis XIV (France); Reformation, Catholic; Reformation, Protestant; Trent, Council of.
BIBLIOGRAPHY
Bolton, Charles A. Church Reform in 18th Century Italy (The Synod of Pistoia, 1786). The Hague, 1969.
Ceyssens, Lucien. “Les cinq propositions de Jansenius à Rome.” Revue d’histoire ecclésiastique 66 (1971): 449–501, 821–886.
Ceyssens, Lucien, and Joseph A.G. Tans. Autour de l’Unigenitus. Louvain, 1987.
Golden, Richard M., ed. Church and Society under the Bourbon Kings. Lawrence, Kans., 1982.
Gres-Gayer, Jacques M. Le Jansénisme en Sorbonne, 1643–1656. Paris, 1996.
———. “The Unigenitus of Clement XI: A Fresh Look at the Issues.” Theological Studies 49 (1988): 259–282.
Hamscher, Albert N. “The Parlement of Paris and the Social Interpretation of Early French Jansenism.” Catholic Historical Review 63 (1977): 392–410.
Kolakowski, Leszek. God Owes Us Nothing: A Brief Remark on Pascal’s Religion and on the Spirit of Jansenism. Chicago, 1995.
Kreiser, B. Robert. Miracles, Convulsions and Ecclesiastical Politics in Early Eighteenth Century Paris. Princeton, 1978.
Maire, Catherine L. “Port-Royal: The Jansenist Schism.” In Realms of Memory. Rethinking the French Past. Vol. 1. Edited by P. Nora, pp. 301–351. New York, 1996.
Plongeron, Bernard. “Recherches sur l’Aufklärung catholique en Europe occidentale (1770–1830).” Revue d’histoire moderne et contemporaine 16 (1969): 555–605.
Sedgwick, Alexander. Jansenism in Seventeenth Century France: Voice from the Wilderness. Charlottesville, Va., 1977.
Van Kley, Dale. The Jansenists and the Expulsion of the Jesuits from France, 1757–1765. New Haven, 1975.
———. The Religious Origins of the French Revolution: From Calvin to the Civil Constitution (1560–1791). New Haven and London, 1996.
Weaver, F. Ellen. “Erudition, Spirituality and Women: The Jansenist Contribution.” In Women in Reformation and Counter-Reformation Europe: Public and Private Worlds. Edited by Sherrin Marshall, pp. 189–206. Bloomington, Ind., 1989.
JACQUES M. GRES-GAYER
JENKINS’ EAR, WAR OF (1739–1742). The War of Jenkins’ Ear, an armed conflict between Britain and Spain, arose from longstanding Anglo-Spanish antagonism fostered by illicit British trading activities in the Spanish Caribbean and the determined, often brutal, attempts by Spain’s colonial guarda costa (‘coast guard’) vessels to suppress such ventures. Popular feeling, incited by opponents of the Walpole ministry in London and a vigorous merchant lobby opposed to diplomatic efforts, further intensified pressures conducive to war.
The immediate events that precipitated open hostilities were the alleged sinking of several British merchant ships by Spanish privateers, the suspension of the asiento or slave supply contract, and the intensification of Spain’s search and seizure claims against British smuggling vessels, and, marginally, the ill usage suffered by one Capt. Robert Jenkins, Master of the brig Rebecca. Legitimately bound for London from Jamaica with a cargo of sugar, Jenkins’s ship was plundered and his ear severed by the commander of a Spanish coast guard vessel near Havana on 9 April 1731.
The case received brief publicity, subsided, but then was revived (together with other, similar incidents) during a stormy Commons debate in March 1738. Although modern research has established that, contrary to historical tradition, Jenkins never appeared personally to present the missing ear, his plight was highly dramatized and contributed to the momentum of the political opposition campaign urging an immediate offensive against Spain. This appealed to national sentiment and commercial interests alike. Temporizing, Walpole arranged the Convention of Pardo with Spain, which provided compensation for vessels lost but avoided the crucial
issue: Spain’s continued determination to suppress all smuggling attempts. Confronted with growing public and parliamentary indignation, Walpole finally had to yield and war was declared on 19 October 1739.
In the lackluster naval operations that followed, Admiral Vernon (1684–1757) sacked Porto Bello (in modern Panama) in November 1739, but the attack on Cartagena (Colombia) in early March 1741 failed due to spirited Spanish resistance, tropical disease, and dissension between British army and navy commanders. Commodore George Anson, operating with a small squadron off Chile, marauded coastal areas, then circumnavigated the globe in the HMS Centurion (1740–1744), capturing Spanish treasure along the way. Attempts to seize Cuba in December 1741 and raids along the Florida coast were largely fruitless, resulting in heavy British casualties. Gradually the war overseas petered out into desultory forays against Spanish shipping and ineffectual attempts to isolate Spain from her colonies before becoming enveloped and overshadowed by hostilities in Europe (War of the Austrian Succession, 1740–1748) in which Britain, by means of mercenary forces, supported Austria against France (who had joined Spain) and her German allies.
While in its altered, Continental dimension the war enabled Britain to contain threatening Bourbon expansionism in key strategic areas abroad during the period 1742–1748, overseas it failed to achieve the initially anticipated sweeping victory over Spain. Small-scale Anglo-Spanish clashes in Caribbean and Mediterranean waters produced little monetary or strategic gain, clearly indicating that naval action was not the solution to Britain’s commercial grievances at this time, nor the key to much-needed political stability.
See also Austrian Succession, War of the (1740–1748); Spanish Colonies: The Caribbean; Spanish Colonies: Other American Colonies; Walpole, Horace.
BIBLIOGRAPHY
Black, Jeremy. *British Foreign Policy in the Age of Walpole*. Edinburgh and Atlantic Highlands, N.J., 1985.
Harding, Richard. *Amphibious Warfare in the 18th Century: The British Expedition to the West Indies, 1740–1742*. London and Rochester, N.Y., 1991.
McLachlan, Jean. *Trade and Peace with Old Spain, 1667–1750: A Study of the Influence of Commerce on Anglo-Spanish Diplomacy in the First Half of the Eighteenth Century*. Cambridge, U.K., 1940.
Nelson, George. “Contraband Trade under the Asiento, 1730–1739.” *American Historical Review* 51 (1945–1946): 55–67.
Temperley, Harold. “The Causes of the War of Jenkins’ Ear.” *Transactions of the Royal Historical Society*, 3rd ser. III (1909): 197–236.
Woodfine, Philip. *Britannia’s Glories: The Walpole Ministry and the 1739 War with Spain*. Woodbridge, U.K., and Rochester, N.Y., 1998.
KARL W. SCHWEIZER
JESUITS. The Society of Jesus (the Jesuits) is a religious order of men within the Roman Catholic Church formed under the inspiration of Ignatius of Loyola (1491–1556) and his companions and given approval by Pope Paul III (1468–1549) on 27 September 1540. A dramatic conversion from a less than pious life encouraged Ignatius’s desire to further his education to “help souls,” a desire that brought him to the University of Paris in 1528. In Paris, Ignatius gathered like-minded men who followed his Spiritual Exercises to attain interior peace and a clearer idea of their vocation. Together they decided on lives of poverty and chastity. On 15 August 1534 they promised to go to the Holy Land and there decide their futures with the stipulation that, if the Jerusalem trip proved impossible, they would make themselves available to the Roman pontiff. The war between Venice and its allies against the Turks prohibited the Jerusalem trip, and while waiting for any possible entry to the Holy Land, Ignatius and some from the group were ordained priests in Venice on 24 June 1537.
In January 1538 the companions—as they called themselves—gathered in Rome, where they were suspected of harboring Lutheran tendencies. Ignatius protected his orthodox reputation by seeking legal justice against his detractors. Declared innocent of all charges on 18 November 1538, the companions offered themselves to Pope Paul III for service in the church. They then faced another question. Should they remain as a group, that is, form a religious order, or should they be missioned for service as individuals? They conferred from March
to June 1539, and from these deliberations the companions elected to form a religious order. Ignatius composed a “way of life,” to which the pontiff gave oral approval on 3 September 1539, reputedly saying, “The finger of God is here.” This rule was unique in the history of religious life in making no mention of lifelong residence in one community, the singing of the divine office in common, and the choosing of a superior by election of the local community. Ignatius incorporated these radical changes believing that this “company of Jesus” should be free to spend “a great part of the day and even of the night in comforting the sick both in body and spirit.” Ignatius also composed rules that favored a more absolutist form of government with structures for its implementation. Although Cardinal Gasparo Contarini (1483–1542), Ignatius’s personal friend, advocated the rule’s quick approbation, the cardinal designated to formulate these rules into a papal bull, Giralomo Ghinucci (d. 1541), saw in these novelties the very criticisms Martin Luther (1483–1546) had lodged against the Roman church. Another cardinal, Bartolomeo Guidiccioni (1469–1549), also raised issue with the plan since previous church legislation outlawed new orders.
Ignatius surmounted these objections, and on 27 September 1541 Pope Paul III signed the new order into existence with the bull *Regimini militantis ecclesiae*. Pope Julius III (1487–1555) reconfirmed this “way of life” in *Exposcit debitum*, promulgated on 21 July 1550, and this is the version the Society of Jesus considers its founding document. This “way of life” or *Formula of the Institute* defined the company of men as those who desire to be designated by the name of Jesus, to serve the Lord alone and his church under the Roman pontiff, and to strive especially for the defense and propagation of the faith and for the progress of souls in Christian life and doctrine. The *Formula* specified how these goals were to be carried out: preaching, administration of the sacraments, reconciling the estranged, and providing for the poor in hospitals and prisons, works to be performed throughout the world, “even in the region called the Indies.” From its inception the order’s vision extended beyond the European peninsula.
**GOVERNANCE**
Soon after the pope approved the *Formula*, Ignatius composed a more detailed constitution that included rules concerning the order’s governance and the training of its men. Jesuit formation was rigorous for its time. Legislation required those preparing for priesthood to study courses in humanities, philosophy, and theology according to the “method of Paris,” a system characterized by a well-ordered approach to education that held Thomistic philosophy as the best system in which reason could defend the truths of the faith. The *Constitutions* established a governing system that placed the superior general as the head, area provincials directly under the general, and local superiors under the provincials. To promote unity within its membership, which by 1773 numbered 22,589 members working from Tibetan mountains to South American jungles, Jesuits were to write frequently to report their successes and failures and to seek advice from their superiors and provincials. Provincials in turn were to write annual reports to their headquarters in Rome. Jesuits rewrote and published these letters to promote vocations and inspire financial donations for their overseas efforts. These annual reports provide a wealth of information for historians, natural scientists, and ethnographers. The annual letters from New France, compiled by Reuben Gold Thwaites as *Jesuit Relations and Allied Documents* (1896–1901), provide one important example.
**SCHOOLS**
Although the Jesuits embraced a singular goal, the members employed means as varied as the countries and cities in which they labored. Though schools were not mentioned specifically in the *Formula*, Ignatius soon realized that they would be one of the best means “to aid our fellowmen to the knowledge and love of God and to the salvation of their souls.” (*Constitutions*, part 4, chapter 12, paragraph 446) Since his own education benefited from the organized “method of Paris,” he legislated these organizational principles in part 5 of the *Constitutions*. Although a few schools predated it, the Roman College, founded in 1551, received a great part of Ignatius’s attention. This school and its method of studies, or *ratio studiorum*, served as a template for Jesuit schools throughout the world. Constantly modified, the initial ratio embedded in part 5 of the
Constitutions received a definitive articulation in the Ratio Studiorum, published under superior general Claudio Aquaviva (1543–1615) in 1599. Under the inspiration of this Ratio, by 1773 the Jesuits ran 669 colleges, 179 seminaries, and 61 houses of study for their members in formation in addition to partial or full governance of 24 universities.
Within these academic walls the order’s greatest minds taught and did their research. A few names speak for many. Christoph Clavius’s (1537–1612) astronomical observations provided the basis for the Gregorian calendar. Athanasius Kircher (1601–1680), one of the seventeenth century’s more eclectic minds, did pioneering work in linguistic theory, archaeology, and pharmacology. Pietro Pallavicino (1607–1667), in his History of the Council of Trent (1656–1657), set a higher standard for historical writing, as did Heribert Rosweyde (1569–1629) and Jean van Bolland (1596–1665), historians who developed hagiography into a modern discipline. Jesuit philosophers and theologians dominated the field in the late sixteenth century and the seventeenth century. Catholic apologists, such as Cardinal Robert Bellarmine (1542–1621) and Peter Canisius (1521–1597), wrote catechisms used throughout the Catholic world, old and new. Francisco Suárez (1548–1617) wrote leading works on international law and statecraft. Luis de Molina (1535–1600) attempted a Catholic response to the complex relationship between God’s power and foreknowledge and human free will.
Jesuit artists frequently traveled to create works for Jesuit colleges and their chapels. Andrea Pozzo (1642–1709) excelled as the master of perspective, particularly in his portrayal of a light-filled dome painted on a flat canvas for the ceiling of Saint Ignatius Church in Rome. In China, Giuseppe Castiglione (1688–1766) combined Western techniques with Chinese brushwork for the pleasure of the Ch’ing court. Baroque spectacle filled the Jesuit school stages, where rhetoric, drama, choreography, set design, and lighting combined to produce a moral message that moved souls toward love of the good and fear of hellfire—which the Jesuits frequently portrayed in great detail. Just as some Jesuits excelled in directing the drama on stage, others directed the drama within the individual soul. To this end they preached from the pulpit, persuaded others with books and pamphlets, and served as confessors and spiritual directors, all activities undertaken to help move souls toward their supernatural end. Louis Bourdaloue (1632–1704), Paolo Segnari (1624–1694), John Regis (1597–1640), and Edmund Campion (1540–1581) were a few of the order’s great preachers.
Just as the Ratio provided a template for promoting education, the Marian Congregations, established in 1563 by Jean Leunis at the Roman College, served as a model for implementing spiritual reform among the laity throughout the world. Under Jesuit direction, these congregations provided spiritual counsel and structured guidance for frequent reception of the sacraments and participation in good works. Limited first to students, the groups quickly comprised all aspects of male society and became a successful means for Jesuits to implement Tridentine Catholicism’s ideals and their own spirituality. Jesuits also promoted specific devotions, rituals, and practices intended to bring souls to a greater love of Christ. The Jesuits established the devotion to the merciful heart of Jesus in France during the late seventeenth century specifically to counter the rigors of Jansenism. Increased mortality in Europe during the mid-seventeenth century encouraged the Jesuits to develop the bona mors devotion: Friday lectures and prayers that focused on preparation for a “good death.” During the late seventeenth century the Jesuits promoted devotion to the Holy Family and to Saint Joseph in an attempt to emphasize the family’s dignity, especially the responsibilities of husbands and fathers. The Jesuits advanced these congregations and devotions because they best implemented the advice given by Ignatius in the Constitutions: the most practical and best use of personnel occurs when one Jesuit influences or has a great effect on many. Keeping this advice in mind, the Jesuits seized the opportunity to act as confessors to Europe’s Catholic ruling houses.
**MISSIONS**
Since the Jesuits identified saving souls as their purpose, they quickly responded to the challenge of converting “undiscovered” populations of the New World and the non-Christian populations of the Indies. Francis Xavier (1506–1552), one of Ignatius’s first companions, inaugurated the order’s missionary endeavors by accompanying Portuguese
merchants into India, the Moluccas, and Japan. Alessandro Valignano (1539–1606) inaugurated tremendous success in the Asian missionary field with his *Mission Principles* (1574–1606), a set of recommendations that encouraged the adaptation of Christian thought to Indian, Japanese, and Chinese cultures. His former student and missionary companion Matteo Ricci (1552–1610) institutionalized these adaptations by formulating Christianity within a vocabulary understood by Chinese intellectuals. His *T’ien-chu Shih-i* [1603; The true meaning of the lord of heaven] explained basic metaphysical foundations of Christian truths using a Confucian vocabulary. The mission to Japan began with Xavier’s arrival in 1549 and proceeded with some success. Because the Jesuits were not able to discern the shifts in political power while confronting fierce persecutions fueled by suspicion of Western traders, Christianity was all but eradicated in Japan by 1614.
Although Christianity existed in India prior to European expansion, Xavier initiated Jesuit contact in 1542. Again where Xavier left off others followed, in part because Akbar (1542–1605), ruler of the Mogul court, in 1579 requested Jesuits to explain the Christian faith. Like Ricci in China, Roberto de Nobili (1577–1656) in India studied the documents that shaped local culture. Nobili’s understanding of Sanskrit and the Hindu Vedas provided an opportunity for a deeper insight into indigenous culture and means by which Catholicism could be expressed in a non-European vocabulary. The Jesuits arrived in the New World first in Brazil in 1549 and operated extensive missions in that Portuguese colony. In South America the most spectacular Jesuit missionary success was the transfer of thousands of Guarani Indians away from the reach of costal slave traders and into small inland cities of approximately thirty-five hundred persons known as “reductions.” Dominico Zipoli (1688–1726) composed music for voices, lutes, and viols for the reductions. Sung and played by natives, the music echoed from magnificent baroque structures and amazed European visitors, who had been told on some occasions that these natives had no souls. In North America the Jesuits labored for the most part in New France but also in what became the United States, particularly in the upper Midwest, on the East Coast, and in the Southwest.
**CONTROVERSIES AND SUPPRESSION**
Controversies followed the Jesuits along with success. From the foundation of the order, the Jesuits had always emphasized that human nature, despite its fallen state, still had as its deepest orientation the desire to be with God, an outlook grounded in Ignatius’s *Spiritual Exercises*. This emphasis on the goodness of the will situated most Jesuits in opposition to some other Catholics, who accentuated the effects of original sin and disparaged a person’s ability to choose to do good outside of God’s direct action. This issue touched upon a difficult theological point that attempted to distinguish the extent of a person’s free will in light of God’s providence and power. Known as the controversies concerning nature and grace, these controversies raged into the early years of the seventeenth century. The Jesuits’ frequent acceptance of non-European rituals as a means of expressing Catholic truths further emphasized their implicit belief in the goodness of human nature. Holding that nature, human and otherwise, was not intrinsically evil, the Jesuits granted greater latitude in the performance of certain indigenous practices by converts. Nobili in India and Ricci in China allowed those indigenous rituals not perceived as injurious to the faith. Reports of native Christians wearing Brahmin designations or Chinese converts bowing before ancestor tablets left some missionaries (including some Jesuits) and theologians disturbed. They feared such practices jeopardize the efficacious action of the sacraments or could lead to synchronistic and superstitious practices.
These debates were commonly referred to as the rites controversies since they involved the propriety of indigenous ritual among new converts. The Jesuit emphasis on the probity of the will also set the order against the Jansenists, a group of Catholics who embraced the more pessimistic writings of Augustine (354–430) concerning the human condition. The Jansenists saw in the Jesuits’ theology a laxity that would lead the faithful away from truly coming to grips with their sinful condition. The Jansenist Blaise Pascal (1623–1662), in his *Provincial Letters* (1656), ridiculed Jesuit theologians for what he believed was their attempt to soften moral rigor and their efforts to find causes for laxity. By the eighteenth century the Jesuits, with their strong propapal stance and resolute defense of the Catholic faith, came head to head with the Enlightenment’s
intellectual powers that saw organized religion as the true enemy of the rights of people.
Accusations of financial mismanagement and rumored hoarding of vast treasures fueled distrust among European leaders. Sebastião José de Carvalho e Mello, the marquês de Pombal (1699–1782), orchestrated the Jesuits’ eviction from Portugal and its colonies in 1759. Other Catholic countries followed: France in 1764, Spain in 1767. The universal suppression of the Society of Jesus occurred on 21 July 1773 with the papal bull *Dominus ac Redemptor*, signed by Clement XIV (1705–1774). Because of Poland’s partition in 1772, 201 Jesuits formally working there became subjects of Catherine the Great (1729–1796) of Russia, who never allowed the papal bull of suppression to be promulgated. A novitiate and headquarters for the society survived in Poland, and future popes allowed Jesuits from other areas to join this group. The papacy officially restored the Society of Jesus in 1814.
*See also Ignatius of Loyola; Jansenism; Trent, Council of.*
**BIBLIOGRAPHY**
**Primary Sources**
Backer, Augustin de. *Bibliothèque de la Compagnie de Jésus*. Edited by Carlos Sommervogel. Brussels, 1890–1932. Identifies books written by Jesuits from the order’s beginning into the nineteenth century.
Burrus, Ernest J., ed. and trans. *Jesuit Relations, Baja California, 1716–1762*. Los Angeles, 1984.
Correis-Alfonso, John, ed. *Letters from the Mughal Court: The First Jesuit Mission to Akbar (1580–1583)*. St. Louis, Mo., 1981.
Ignatius of Loyola. *The Constitutions of the Society of Jesus*. Translated with an introduction and a commentary by George E. Ganss. St. Louis, Mo., 1970.
Nobili, Roberto de. *Preaching Wisdom to the Wise*. Translated and introduced by Anand Amaladass and Francis X. Clooney. St. Louis, Mo., 2000.
Padberg, John W., Martin D. O’Keefe, and John L. McCarthy, eds. *For Matters of Greater Moment: The First Thirty Jesuit General Congregations: A Brief History and a Translation of the Decrees*. St. Louis, Mo., 1994. General congregations provided legislative interpretations of the *Constitutions*. An important complement to the order’s fundamental documents.
Polgár, László. *Bibliographie sur l’histoire de la Compagnie de Jésus: 1901–1980*. 3 vols. Rome, 1981–1990. Bibliography of Jesuit subject matter authored in the twentieth century.
Ricci, Matteo. *The True Meaning of the Lord of Heaven*. Edited by Edward J. Malatesta, translated with introduction and notes by Douglas Lancashire and Peter Hu Kuo-chen. St. Louis, Mo., 1985.
Rienstra, M. Howard, ed. and trans. *Jesuit Letters from China, 1583–84*. Minneapolis, Minn., 1986.
Ruiz de Montoya, Antonio. *The Spiritual Conquest*. Edited and translated by C. J. McNaspy. St. Louis, Mo., 1993. A contemporary description of the reductions.
Simons, Joseph. *Jesuit Theater Englished: Five Tragedies of Joseph Simons*. Edited by Louis Oldani and Philip Fischer, translated by Richard Arnold. St. Louis, Mo., 1989.
Thwaites, Reuben Gold, ed. and trans. *Jesuit Relations and Allied Documents*. 66 vols. Cleveland, Ohio, 1896–1901. The compiled annual letters from New France.
Xavier, Francis. *The Letters and Instructions of Francis Xavier*. Translated and introduced by M. Joseph Coselloe. St. Louis, Mo., 1992.
**Secondary Sources**
Aldama, Antonio M. de. *An Introductory Commentary on the Constitutions*. Translated by Aloysius Owen. St. Louis, 1989.
Bangert, William V. *A History of the Society of Jesus*. St. Louis, Mo., 1972.
Chatellier, Louis. *The Europe of the Devout: The Catholic Reformation and the Formation of a New Society*. Translated by Jean Birrell. New York and Cambridge, U.K., 1989.
Codina Mir, Gabriel. *Aux sources de la pédagogie des Jésuites: Le “modus parisiensis”*. Rome, 1968.
Elison, George. *Deus Destroyed: The Image of Christianity in Early Modern Japan*. Cambridge, Mass., 1973.
Gernet, Jacques. *China and the Christian Impact*. Translated by Janet Lloyd. Cambridge, U.K., and New York, 1985. Provides an alternative view of Jesuit “success” in the China mission.
Guibert, Joseph de. *The Jesuits: Their Spiritual Doctrine and Practice*. Translated by William J. Young. Chicago, 1964.
Maher, Michael. *Devotion, the Society of Jesus, and the Idea of St. Joseph*. Philadelphia, 2000.
O’Malley, John W. *The First Jesuits*. Cambridge, Mass., 1993.
Schurhammer, Georg. *Francis Xavier: His Life, His Times*. 4 vols. Translated by M. Joseph Coselloe. Rome, 1973–1982.
Schütte, Josef Franz. *Valignano’s Mission Principles for Japan*. Translated by John J. Coyne. St. Louis, Mo., 1980–1985.
Smith, Gerald, ed. *Jesuit Thinkers of the Renaissance*. Milwaukee, Wis., 1939.
MICHAEL W. MAHER
JEWELRY. Until about the mid-eighteenth century, both men and women wore significant quantities of jewelry. Sixteenth-century portraits, for example of Robert Dudley, show men wearing the popular hat badges (enseignes) and pins (agraffes), an occasional earring, gold chains, often adorned with pendants or lockets, and several rings. Women could wear such pieces in even greater quantity, pinning pendants to their sleeves and starched collars and into their hairdos as well as layering shorter and longer necklaces. While certain types were gender-specific—jeweled daggers and sword hilts for men, pairs of bracelets, girdles, and marten or sable pelts with jeweled heads for women—the earlier period stands out for the types and designs they had in common. The clothing of both sexes was adorned with rows of pearls, stone-set rosettes, pairs of tassel-like aglets, or larger sets of small jewels sewn onto fabric, indicating jewelry’s close connection to costume and fashion.
In the course of the eighteenth century, as men’s fashion grew simpler, their jewelry was reduced to buttons, buckles, rings, and, occasionally, medals, hat jewels, and ceremonial weapons. Women wore quantities of pearls dangling from their ears and in necklaces, elaborate pins or bodice jewels (stomachers), and hair jewelry, as forms of jewelry became increasingly specialized and gendered. The quantity and quality of jewelry denoted status, yet the frequency and repetitiveness of sumptuary laws mainly proves how ineffectual such regulations were. The most expensive and elaborate jewels belonged to monarchs and the high nobility, who, however, did not hesitate to pawn them for money when necessary. Displaying fabulous jewels at ceremonial or special public occasions was required to maintain rank and standing among their peers and in the eyes of the general public. The rising merchant class and bourgeoisie developed their own, only slightly less elaborate, versions; basically, everyone wore similar forms of jewelry, but in lesser materials according to what one could afford. Costume jewelry, which always existed but does not survive in quantity from earlier periods, became a more widespread alternative during the eighteenth century. As manufacturing techniques advanced, so did the use of glass paste, rhinestones, gilt silver and brass, and prefabricated, stamped, or other types of hollow jewelry worn by larger segments of the population.
Important jewelry-making centers existed in all the major trade and court cities of Europe. There was such a great exchange of objects, artists, and designs that attributions to individuals, and even to particular regions, are often impossible to determine. Stylistically, the early modern period saw a fundamental transition around 1600 from narrative and colorful gold and enamel jewelry to more monochromatic, abstract, and often geometric, forms. Such designs were driven by an emphasis on glittering rows of faceted stones as gem-cutting techniques advanced and greater quantities of stones, especially diamonds and pearls, became available. The pendant, perhaps the most popular Renaissance jewel, displayed a range of subjects, from religion and mythology to miniature portraits, while the characteristic motifs of later centuries focused on large glittering rosettes, sets of graduated bows, or stylized plant forms.
Jews, Attitudes Toward
A number of the most important shifts in European Christian treatment of Jews overlap with the early modern period but transcend its chronological boundaries. For instance, the Jewish expulsions from western and southern Europe had already begun in the thirteenth century, would peak at the end of the fifteenth, and begin to peter out only toward the end of the sixteenth century. Or, to cite another case, decisive shifts in Jewish legal status, ones rooted in the processes of early modern European state building, persisted well into the nineteenth century, not just in eastern Europe but in many parts of western and central Europe too. Furthermore, some of the distinct patterns marking how intellectuals perceived Jews or Judaism cannot be fitted into a discrete “early modern” category either. For example, the Christian Hebraist movement (Christian scholarly inquiry into post-biblical Jewish texts in Hebrew or cognate languages), though it certainly climaxed during the sixteenth and seventeenth centuries, began as early as the thirteenth century. In the meantime, popular notions about and images of Jews (to the extent that they were distinct from elite ones) appear to have changed relatively little between the late Middle Ages and the modern era. Finally, since Jews lived in different regions of Europe, there was little simultaneity in terms of their status, treatment, or relationships with non-Jews. The ritual murder trials that began to die out in late-sixteenth-century Germany, for instance, reemerged with a vengeance in seventeenth-century Poland.
These caveats aside, the early modern label is an apt one in at least one major respect: the period 1450–1750 effectively traces the years during which Renaissance humanism came to exert a profound effect on Christian perceptions of Jews and Judaism and then declined in influence. Humanism became the source of a great variety of disparate approaches to Judaism—from Christian cabala to “mercantilist philo-Semitism.” One might say that humanism became the single most important new factor influencing intellectual perceptions of Jews during this era, until it was itself eventually superceded by the equally decisive ideologies of the Enlightenment.
Christian Hebraism and Cabala
Appropriately enough, the first domain that felt the impact of humanism was the scholarly world. Christian Hebraism did not dictate a uniform attitude toward Jews or Judaism, but it often entailed a paradoxical one. Hebraists justified their interest in Judaism by asserting that only through the Christian scholar’s mastery of Jewish texts could he hope to persuade Jews of the Gospels’ saving truth. This was essentially the conviction underlying the medieval *Pugio Fidei* of Raymond Martini (c. 1220–after 1284), which attempted to expose the proofs of Christ’s messianic identity that Martini believed were secreted in early rabbinic works, such as the Babylonian Talmud (c. 500 C.E.).
When Christian Hebraism fell under the influence of Renaissance humanism, it perpetuated this syllogistic presumption. But now the missionary aim had to compete with another element that had been absent from the polemical writings of medieval Dominican scholars. This was the belief that a true (that is, Christological) understanding of rabbinic texts would serve not only to convert Jews but also to enlighten Christians. In other words, rabbinic literature contained information about God that was not available from the New Testament itself—a remarkable humanist gloss on the patristic justification for tolerating Jews as unwitting witnesses to scriptural truth. Such a conception reflected a number of factors: the general humanist regard for antiquity and its languages (Hebrew included), the instrumentality of the *studia humanitatis* to a genuine Christian piety, and the belief in the existence of an esoteric body of divine wisdom (including the writings of Hermes Trismegistus, Pythagoras, Plato,
Dionysius the Areopagite, and Moses) that had been lost to medieval Christians but preserved by Jews. This so-called *prisca theologica* contained not only doctrinal truths regarding the inner life of the divinity and its relation to the cosmos, the soul, and the natural world, but also coded information that would enable man to access divine secrets and harness their theurgic and magical power.
All of these elements—humanist, Hebraist, and hermetic—converged in the arguments put forward to Pope Leo X (reigned 1513–1521) in 1512 by the Christian Hebraist, Johannes Reuchlin (1455–1522). By this time, the “Battle of the Books” was in full swing, with Reuchlin and his humanist allies arrayed against the convert Johann Pfefferkorn (1469–1522), who with Dominican support had sought to suppress the Talmud and other rabbinic works as a prerequisite for bringing about the mass apostasy of the Jews. Reuchlin too was interested in Jewish conversion, but it is more accurate to say that he believed in conversion as a mode of reconciliation, one in which the ancient wisdom recovered through humanist scholarship would redefine Christianity and make it faithful to its original creed. In this “truer” Christianity, the cabala would come to play a decisive role, for as Reuchlin informed the pope, cabala was the axis around which both Hebraic and Hellenistic wisdom revolved.
Yet Reuchlin, building on the earlier Christian cabala of Giovanni Pico della Mirandola (1463–1494), represented only a minority tendency within humanism generally and Hebraism in particular. Most humanists were not Hebraists and evinced only a modest enthusiasm for Hebrew studies (witness the case of Erasmus himself). And the majority of that minority known to us as Christian Hebraists eschewed the hermetic speculations of the Christian cabalists in favor of more stolid fare: biblical exegesis undertaken with the aid of medieval Jewish grammarians and commentators whose theological “blindness” was seen to be partly compensated for by their relatively greater Hebraic competence.
Christian Hebraism came to thrive during a period when the Hebrew print industry (driven more by Jewish than Christian consumption) had come into its own, with centers emerging in Venice, Salonika (Thessaloniki), Istanbul, Cracow, Prague, Alsace, and Bavaria by the 1550s. The availability of Bibles adorned with Hebrew commentaries by such medieval luminaries as Rashi (Rabbi Solomon ben Isaac), Abraham Ibn Ezra, and David Kimhi made the “Jewish” Bible accessible to an ever-widening circle of Christians.
Yet one of the contradictory effects of this expansion was the progressive (if never complete) decline of face-to-face contacts between rabbinic and Christian Hebraic scholars. Leading sixteenth-century Hebraists like Egidio da Viterbo, Guillaume Postel, Sebastian Münster, and Paul Fagius had all benefited from studies with a Jewish teacher (in fact, all of them were students of the same teacher, Rabbi Elias Levita [1468–1549]). But once Hebraic learning became institutionalized through universities, and once an array of grammars, primers, bibliographies, and translations became available, Christian Hebraists would come to feel less of a need for rabbinic tutelage. Many became convinced they had surpassed their Jewish contemporaries (if not predecessors) as Hebrew philologists and linguists and had made Scripture their own. One might say that mastery of Hebrew thus made possible a second Christian appropriation of the Old Testament. In this light, and aside from the important though ambiguous case of Jewish apostates, Christian Hebraism did not in the long run bring Jews and Christians into appreciably greater proximity. Lacking Reuchlin’s ecumenical vision, the aims of rabbinic Jews and Christian Hebraists (one or two joint millenarian adventures aside) revealed themselves to be disparate and incommensurate.
**EXPULSIONS**
The birthplaces of humanist Hebraism and Christian cabala—late fifteenth-century Italy and Germany—were also the two locales west of the Oder that still contained pockets of Jews. Germany and Italy constituted partial exceptions to the pattern of expulsions that by 1500 had erased the licit Jewish presence from England, France, and Iberia. What differentiated these two “countries” was that neither had produced a unified state capable of carrying out comprehensive expulsion policies. Even so, from the late fourteenth through the first half of the sixteenth centuries, German Jews endured waves of local persecutions and banishments, while Italian Jews underwent similar if less bloody ordeals between the 1490s and the 1560s.
While no single cause accounted for all of these expulsions, social and religious factors were foremost. Rulers generally favored a Jewish presence for fiscal reasons, yet governmental encroachment on the prerogatives of the estates (quasi-feudal corporate groups, such as nobility or burghers) through Jewish tax farming or money lending led to popular demands for the Jews’ removal. In the imperial cities of late-fifteenth-century Germany, urban commercial decline and guild domination of municipal government made the Jews direct objects of contention between city councils, which were vying to restore judicial independence, and the emperor, who was ready to pawn such rights to the local nobility or patriciate in his relentless pursuit of cash. In this setting, an imperial concession permitting the expulsion of the Jewish population would be regarded by the local burghers as a triumph for the cause of urban Christian freedom.
In Italy as in Germany, hostility to Jews was rooted in forms of social conflict that became inseparable from and aggravated by religious antagonism. Jews, many of them migrants from the south or refugees from France and Germany, had become a principal source of credit in small towns scattered throughout the papal states, Tuscany, Ferrara, Modena, and Mantua. But with the decline of local handicrafts industries, the policy of relegating banking functions to Jews came under intense fire from Franciscans, who clamored to replace the infidel usurers with interest-free or low-interest banks (*Monti di Pietà*). As in the German case, here too the struggle against Jewish economic power made ample use of blood libel accusations, charges that Jews kidnapped and murdered Christians (usually children) for the purpose of ritually consuming their blood. Such accusations (most notably in Trent, 1475) helped to bring about local expulsions, with the result that Jews increasingly sought the protection of powerful urban oligarchs like the Este, Gonzaga, and Medici.
**REFORMATION**
How did the Reformation affect phenomena such as blood libel accusations and expulsions that were already manifest when it emerged? Clearly, the Jews’ demographic situation in the German lands was not profoundly altered by the Reformation, which arrived after two centuries of attrition had already taken a profound toll. In Wittenberg, where no Jews could reside, Martin Luther (1483–1546) waited in vain for a mass conversion to his restored apostolic creed (as he reasoned, given the choice between popery and Judaism, he too would have remained a Jew). What did gradually change, as historian R. Po-chia Hsia has argued, was that the reformers’ systematic campaign against saintly cults, relics, and salvational “works” inadvertently undercut the association between Jews and demonic practices, such as host desecration and black magic (if not in the public mind, then at least in the juridical processes responsible for translating accusations into legal actions). This factor appears to have reduced the quantity and efficacy of blood libel trials in central Europe, even as the frequency of the charge climbed in Hungary, Poland, and Lithuania.
Such a shift is clearly apparent in the debate over the blood libel between Johann Eck (1486–1543), Luther’s lifelong antagonist, and the Nuremberg Evangelical Andreas Osiander (1498–1552). It is true that neither participant exactly typified the respective attitudes of the Catholic and Protestant camps. Since the thirteenth century, popes and emperors had consistently denounced the ritual murder charge, while in the sixteenth century any number of Protestant divines subscribed to it. But Osiander’s systematic refutation of the blood libel, his careful demolition of accompanying biological myths regarding Jews (for example, the Jews’ supposed physiological *need* for Christian blood, as attested to by Eck), and his insistence that blood libel charges often reflected an effort to cover up Christians’ crimes by leveling charges against their *economic* competitors, represented a milestone in the Protestant demystification of belief.
Though Luther himself denounced Osiander’s anonymously published pamphlet, his own 1543 anti-Jewish polemic (*On the Jews and Their Lies*), while appearing to endorse each and every fantastic claim that had been leveled against Jews since the late Middle Ages, in fact shifted the locus of Jewish criminality from the supernatural to the social psychological plane. “They have been bloodthirsty bloodhounds and murderers of all Christendom for more than fourteen hundred years in their intentions and would undoubtedly prefer to be such with their deeds.” Here Luther implied that the Jews’ hatred was entirely mortal, if no less dangerous,
inveterate, and infernal for that. Indeed, there was nothing secret or concealed about their conniving, he maintained. The proof of it could be found in the prayers they uttered daily for the arrival of an avenging messiah and in the usury they practiced, which enabled these “lazy rogues” to “idle away their time, feasting and farting, and on top of all, boasting blasphemously of their lordship over the Christians by means of our sweat.”
Luther’s diatribe had little immediate impact on Jewish status; Jews were already excluded from Saxony and other regions where he enjoyed influence. Nor did his tract become doctrinal for the Evangelical Church as a whole: it was denounced by Osiander, derided by Philipp Melanchthon (1497–1560), and downplayed by most of the other reformers. Still, its echoes are apparent in later guild documents, in Christian Hebraist compilations of Jewish ritual “curiosities,” and even in the anti-emancipation propaganda of post-Napoleonic German nationalists. Luther’s characterization of Jews as a faux nobility, reifying their status as descendents of the chosen Hebrews in order to legitimate their usurious economic exploitation of German laborers, reverberated in a society intensely riven by social and economic divisions.
COUNTER-REFORMATION
If most of the Reformation’s repercussions for Jews were inadvertent and indirect, the Counter-Reformation’s shift in attitudes appears as something of a delayed reaction. The relaxed spirit of Renaissance papal policy toward Jews, permissive of Hebraist-rabbinic contacts and opposed, on both doctrinal and pragmatic grounds, to inquisitorial harassment of relapsed Iberian New Christian refugees in Italy, persisted through the 1540s. But Julius III (reigned 1550–1555), though continuing to tolerate the Judaizing New Christian merchants settled in the port of Ancona, could not withstand the mounting pressure to extend church censorship to Jewish as well as heretical Christian texts. In 1553, through the impetus of Cardinal Giovanni Pietro Caraffà (1476–1559), possession of the Talmud became prohibited and its volumes were incinerated in cities under papal domination.
The Counter-Reformation managed to resolve the church’s longstanding ambivalence toward the Talmud: on the one hand, as a blasphemous, anti-Christian, and anthropomorphic abomination, and on the other, as a backhanded rabbinic attestation to Christian truth (and therefore a useful missionary tool). Even Hebraists like Pico and Reuchlin approved the Talmud less in its own right than as a repository of exegetical techniques deployed in cabala. But by mid-century the church had rendered its verdict: the Talmud was an obstacle—perhaps the main one—to Jewish conversion. When Caraffa succeeded to the throne of St. Peter as Paul IV (reigned 1555–1559), he determined to either convert the Jews or take decisive measures to prevent them from corrupting Christians (both the pope and Luther lived in dread of Jewish proselytizing). In fact, both of these ends would be pursued through the same policies. Thirteenth-century mandates such as the “Jewish badge” would now be restored and the Jews’ segregation from Christians fully enforced—including, of course, their obligatory attendance at Christian sermons. If this degree of separation proved too utopian to be realized in its entirety, it still extended well beyond the medieval precedents, many of which had been poorly enforced and none of which had entailed the creation of walled ghettos (the impossibly congested mandatory Jewish residential quarters, surrounded by a wall with gates locked at night). Despite momentary reversals by some of Paul IV’s successors, this Counter-Reformation papal Jewish policy of segregation and repression persisted through the late nineteenth century. Though it qualitatively increased the number of converts, like Luther’s Reformation it failed to win over the bulk of the Jewish population. Instead papal Jewish policy resolved itself into a stalemate (or war of attrition) with its erstwhile Jewish adversary, and through the perpetuation of the ghetto appeared to render Jewish-Christian relations frozen in time.
RAISON D’ÉTAT, MERCANTILISM, AND ABSOLUTISM
One might go further and assert that the institution of the ghetto facilitated the partial revival of Italian Jewry between the late sixteenth and the mid-seventeenth centuries. In a period when Sephardic Jews came to play an increasingly prominent role in Mediterranean and Atlantic trade, any device that made possible a Jewish presence in one locale had the potential to feed its expansion into another. Twenty-three ghettos were established in northern
Italy between 1555 and 1779, and with the economic shift of sixteenth-century Italian Jews from predominance in money lending to concentration in international trade, justifications could readily be found for employing new groups of Jews, even relapsed “New Christians,” to fertilize local exchange. As Counter-Reformation pressures mounted, Italian rulers rationalized their invitations to settle foreign Jews by emphasizing the contribution they would make to the commonweal. In 1593 Ferdinand I de’ Medici, the grand duke of Tuscany, advertised his “worthy motives” and “hope to benefit all Italy, Our subjects and especially the poor” when he accorded generous privileges to “Levantine” Jewish merchants who consented to populate his new port city of Livorno.
Economic benefit, whether rooted in trade, credit, tax farming, or estate management, had long functioned as a sine qua non for the Jews’ presence within various quarters of Christendom—witness the justification offered in 1086 by Bishop Rudiger, who, by attracting Jewish merchants to Speyer, intended “that the glory of our town would be augmented a thousand fold.” What proved unique to the circumstances of late sixteenth- and seventeenth-century western and central Europe, however, was that Jews had been absent from these territories for generations or sometimes centuries. This had the effect of weakening the estates’ resistance to the small-scale readmission of Jews, so long as this resettlement could be justified as fulfilling only certain limited and targeted economic duties that no other group could. Although exercised by the very fact of a renewed Jewish presence, guilds won assurances that Jews would traffic solely in commodities already excluded from regulation. It was no small irony, then, that such new goods in which the Jewish merchants specialized—including tobacco, sugar, and coffee from the New World—were among the era’s most profitable.
Still, this detailed specification within governmental privileges of the exact purview of Jewish settlement and the precise limits of their commerce marked the period when absolutist government came to impose itself as the ultimate arbiter of permissible Jewish activity. What could better express the seventeenth-century apotheosis (or distortion) of humanist raison d’état than the baroque manner in which absolutism translated limited resettlement privileges into tortuous and seemingly arbitrary “Jews’ Regulations”? Frederick II’s 1750 Revised General Code (Revidiertes Generalprivilegium und Reglement), to cite a classic example, reveals the bind in which the absolutist state found itself. It was caught between, on the one hand, its impulse to incorporate Jews into ever more homogenous categories of subject status (a process likewise driven by the state’s increasing importation of Roman law), and on the other, its institutional loyalty to the functionalist and mercantilist rationales that had made a renewed Jewish presence possible in the first place. Although there were improvements in Jewish status in the second half of the eighteenth century (for example, the abolition of the onerous Leibzoll, ‘toll’), it took the cataclysm of the French Revolution to eventually cut this Gordian knot.
PHILO-SEMITISM
In Calvinist Holland and Puritan England, economic and Hebraist rationales for Jewish toleration combined to create an atmosphere that was distinctive from the claustrophobic regulatory regimes of Lutheran and imperial Germany or the ghettos of Catholic Italy. The Jewish community of Amsterdam had been founded by the immigration of Iberian New Christians, many of whom eventually openly reverted to Judaism. It was one of these former New Christians, Rabbi Manasseh ben Israel (1604–1657), who made a famous appeal to Oliver Cromwell, shrewdly combining mercantilist and messianic arguments on behalf of a Jewish restoration to England. Proclaiming that “the opinion of many Christians and mine doe concurre herein” that Jews will be restored to their ancient homeland only after being first restored to England, Manasseh made Jewish readmission dependent upon English recognition of the spiritual and worldly benefits Albion would accrue from the presence of a skillful population of Jewish “merchandizers.”
Such arguments found a receptive audience within a segment of the Puritan and remonstrant communities of mid-seventeenth-century England and Holland. Calvinism, though at its inception an unlikely impetus to Jewish-Christian rapprochement, did exhibit at least one promising trait: a rejection—as the historian Salo Baron once put it—of “Pauline antinomianism in favor of Old Testament legalism.” Yet this relative fondness for biblical law was in itself no assurance of philo-Semitism. Also required was a type of millenarian conviction entirely lacking in the patristic heritage, namely, the expectation that the prophesied conversion of the Jews would occur only through their restoration to the Holy Land. This factor theoretically made feasible what had never before been even conceivable: the possibility that two chosen peoples could coexist—a national Protestant one and a resuscitated Jewish one. As the widow Johanna Cartwright and her nephew Ebenezer put it in their 1649 petition to the Puritan general Thomas Lord Fairfax, “this Nation of England, with the inhabitants of the Netherland, shall be the first and readiest to transport Izraells Sons and Daughters in their Ships to the Land promised to their fore-Fathers, Abraham, Isaac, and Jacob, for an everlasting Inheritance.” Truly, this was as close to a revival of Reuchlin’s grand vision as any latter-day and millenarian version of Hebraism was likely to come.
CONCLUSION
But philo-Semitism is a relative term; there were, in fact, few “unconditional” philo-Semites in early modern Europe. A prejudice in favor of the Jews necessarily came with certain strings attached to it, whether it was the wealth that would be generated by the Jews’ commerce or the millennium that would be inaugurated by their conversion. Philo-Semitism of this variety flowered in mid-seventeenth-century Holland and England but remained dormant through much of the eighteenth century. In this period weariness with Puritanism and all forms of “enthusiasm”—including not just Quakers but Jewish followers of the apostate messiah, Shabbetai Tzevi (also Sabbatai Sevi) (1626–1676), as well—went hand in hand with the ascent of a more “polite and commercial” Britain. Similarly, Holland’s loss of successive wars and overseas markets to England augured economic hard times, a fact that could not help but dull the mercantile sheen of Amsterdam Jewry. Even so, and without minimizing the widespread enmity manifested toward Catholicism or the occasional flare-ups of anti-Semitic invective, Augustan England justly earned the sort of reputation for religious toleration in the eighteenth century that the Dutch had enjoyed in the seventeenth.
This nondoctrinal adherence to toleration, hard fought for but comfortably worn, was one of the features that Voltaire, ensconced in London between 1726 and 1729, found most attractive about English life. Yet despite their embrace of toleration and condemnations of anti-Jewish violence, Voltaire and other philosophes, like most of the deists before them, evinced a deep hostility to Judaism itself, one that reflected the spirit of the criticism they leveled at, or perhaps to diverted to, the Old Testament. This had important repercussions for eighteenth-century Jews. In premodern Europe, Jews were essentially defined by their religion. Converts might be cruelly reminded of the “Jewish malice still in their hearts,” but the specimen of the secular Jew was still unknown. Humanism, short of actually converting the Jew, was not interested in abstracting him from his Judaism. Enlightenment ideology changed that. The philosophes held that the Jew was redeemable only to the extent that he distanced himself from Talmudic Judaism, without at the same time necessarily succumbing to Christianity. “As you are a Jew remain so, but be a philosopher!” Voltaire counseled the Sephardic Jew, Isaac de Pinto. Christian Wilhelm von Dohm (1751–1820), in his influential Über die bürgerliche Verbesserung der Juden (On the civic improvement of the Jews), put it somewhat differently: the Jew is capable of enjoying civic equality, Dohm insisted, but only to the extent that he regards himself as “more man than Jew.”
In eighteenth-century Enlightenment circles, the termination of religious hatred of Jews was therefore thought to require not just Christian toleration of the practice of Judaism, but paradoxically, the Jews’ own partial detachment from a faith widely regarded as a primary source of religious intolerance. The Jew’s vices, his materialism, chauvinism, and greed—though in themselves universally acknowledged—were seen not as biologically determined traits but rather as by-products of the narrowness of the Jewish creed. While not at all synonymous with popular anti-Semitism, this secularist antipathy to Judaism would prove readily compatible with it. For when the Jews’ behavioral characteristics refused to fade with the reform or even abandonment of the ancestral faith, the mystery of how Jews could exist without Judaism seemed to demand a solution. Modern antiSemitism, a product of the nineteenth century, arose to fill precisely that need.
See also Cabala; Conversos; Ghetto; Haskalah (Jewish Enlightenment); Jews, Expulsion of (Spain; Portugal); Jews and Judaism; Messianism, Jewish; Reformation, Protestant; Reformations in Eastern Europe: Protestant, Catholic, and Orthodox; Toleration.
BIBLIOGRAPHY
Baron, Salo W. “John Calvin and the Jews.” In Essential Papers on Judaism and Christianity in Conflict: From Late Antiquity to the Reformation, edited by Jeremy Cohen. New York, 1991.
Coudert, Allison P. “Seventeenth-Century Christian Hebraists: Philosemites or Antisemites?” In Judaico-Christian Intellectual Culture in the Seventeenth Century, edited by Allison P. Coudert, Sarah Hutton, Richard Popkin, and George M. Weiner. Dordrecht, 2003.
Dan, Joseph, ed. The Christian Kabbalah: Jewish Mystical Books and Their Christian Interpreters: A Symposium. Cambridge, Mass., 1997.
Ettinger, Shmuel. “The Beginnings of the Change in the Attitude of European Society towards the Jews.” In Studies in History, Scripta Hierosolymitana, vol. 7, edited by Alexander Fuks and Israel Halpern, pp. 193–217. Jerusalem, 1961.
———. “Jews and Judaism in the Eyes of the English Deists of the Eighteenth Century” (Hebrew). In Zion, xxix/3–4, pp. 182–207. Jerusalem, 1964.
Hsia, R. Po-chia. The Myth of Ritual Murder: Jews and Magic in Reformation Germany. New Haven, 1988.
Luther, Martin. Works. Vols. 45 and 47. Edited by Helmut T. Lehman. Philadelphia, 1955–1986.
Manuel, Frank E. The Broken Staff: Judaism through Christian Eyes. Cambridge, Mass., 1992.
Menasseh ben Israel. Menasseh ben Israel’s Mission to Oliver Cromwell. Edited by Lucien Wolf. London, 1901.
Mendes-Flohr, Paul, and Jehuda Reinharz, eds. The Jew in the Modern World: A Documentary History. 2nd ed. New York, 1995.
Peuckert, Will-Erich. “Ritualmorde.” In Handwörterbuch des Deutschen Aberglaubens, edited by Hanns Bächtold-Stäubli and E. Hoffmann-Krayer, vol. 7, pp. 727–735. Berlin and Leipzig, 1927–1942.
Stow, Kenneth. “The Burning of the Talmud in 1553, in Light of Sixteenth-Century Catholic Attitudes toward the Talmud.” In Essential Papers on Judaism and Christianity in Conflict: From Late Antiquity to the Reformation, edited by Jeremy Cohen. New York, 1991.
JONATHAN KARP
JEWS, EXPULSION OF (SPAIN; PORTUGAL). The Iberian kingdoms were neither the first nor the last to expel their Jewish populations: England expelled its Jews in 1290, France expelled its Jews in 1306, and periodic expulsions of the Jews took place across Europe throughout the early modern period. But the expulsion of the Jews from Spain in 1492, from Portugal in 1497, and from Navarre in 1498 has long been seen as a critical turning point in the history of Iberia and in the history of Sephardic or Spanish Jewry.
CAUSES
Historians continue to debate the causes of the expulsions in Iberia. Ferdinand and Isabella’s actions in Spain regarding the Jews served as the catalyst for expulsions in the rest of Iberia, and so all the Iberian expulsions must be seen in the broader context of the reforms of their reign. Isabella fought a civil war with her niece to gain the crown of Castile after her half-brother, Henry (Enrique) IV, died in 1474. Isabella’s husband, Ferdinand, inherited the crown of Aragon in 1479. Through their marriage they united their two kingdoms in what became known as Spain, but civil unrest continued for years. Only in the 1480s did Isabella and Ferdinand begin to exert authority over their dominions and to institute new methods of legal, bureaucratic, and institutional control. Furthermore, by 1482, Ferdinand and Isabella had begun a fierce war against the Muslims of Granada. In Castile, Isabella also engaged in an extensive propaganda war, justifying the legitimacy of her own reign at the expense of her half-brother’s.
Jews and judeoconversos (Jews who converted to Christianity and their descendents; also known as New Christians) came to occupy an important place in Isabella and Ferdinand’s program of reform. Not only were there many Jews and conversos in Ferdinand and Isabella’s court, but anxiety about the place of Jews and conversos in society was growing in the second half of the fifteenth century. Isabella and Ferdinand received permission from the pope to found their own Inquisition in 1478 precisely to punish and reform those New Christians who were believed to observe Jewish rites in secret. Many so-called “Old Christians” feared—rightly or wrongly—that conversos were not genuine Christians and could not be trusted in religious or political terms. Some Old Christians at the time laid the blame for this at the feet of the Jews who might encourage New Christians to Judaize as well as serve as a source of information on the details of Jewish observance. At the same time, Isabella in particular was convinced that the Apocalypse was nearing, an event that would involve mass conversion of the Jews. Most scholars, therefore, have explained the motivation for the expulsion in the context of anxiety about Jews and *conversos*. Many scholars affirm that the true motive was not expulsion per se, but rather to encourage conversion of the remaining Jews in Iberia. Others hypothesize that the expulsion was a measure designed to help New Christians avoid the temptation to revert to Judaism. Once there were no Jews to encourage *conversos* to practice Judaism, New Christians might assimilate more fully to Christianity. Still other scholars have posited that *converso* officials encouraged the expulsion of Jews to protect their own position in society, but this could not be the sole explanation of the expulsion.
**THE EXPULSION IN SPAIN**
The decree ordering the expulsion of the Jews from Spain was issued 31 March 1492, though it was not officially announced in many cities until several weeks later. Jews were given six months to leave. The decree met with immediate protest in some quarters by those who thought that the kingdoms should not have expelled such “industrious” people. Indeed, some of Ferdinand and Isabella’s most important advisers, such as Don Isaac Abravanel, emigrated. Others worried that the decree might provoke anti-Jewish violence, which was against the statutes of the church. Many Spaniards, though, applauded the decree of expulsion and leapt at the opportunity to take advantage of it. Jews were required to sell their property and could not even take jewels or coins with them; as a result, unscrupulous Old Christians bought the property of desperate Jews for a fraction of its true value. Once on the road toward the border towns and ports that would be their last stopping place in Spain, the Jews’ troubles continued. One contemporary chronicler, Andrés Bernáldez, described the sad families walking in slow procession to the border, lamenting their fate.
Despite the number of Jews who fled before the edict of expulsion, it is not clear that Ferdinand and Isabella expected or wanted the Jews to leave. In fact, it appears that many, if not most, Jews converted to Christianity to stay in the country. Perhaps the most notable convert was the chief rabbi of Castile, Don Abraham Seneor, who was baptized at the shrine of the Virgin of Guadalupe in Extremadura, with Isabella and Ferdinand standing as godparents. Exact numbers of those who stayed and those who left are difficult to ascertain, but Henry Kamen estimates that there were no more than 70,000 Jews in Castile (about 1.6 percent of the population) and no more than 10,000 Jews in Aragon (about 1.2 percent of the population). Of those, the best evidence suggests that most converted rather than emigrated. Over ten thousand Jews left via the Mediterranean coast in 1492–1493 (including Aragonese and Castilian Jews), and possibly as many as forty to fifty thousand left overall, traveling west to Portugal and north to Navarre, as well as south to Africa, east to Italy and—over time—to Ottoman territory in the eastern Mediterranean. Yet even the figure of fifty thousand may well be high, since many of those who left in 1492 had returned and converted by 1499. Isabella and Ferdinand encouraged conversion and return, promising in a decree that houses, property, and goods would be returned to their former owners for the price for which they were sold. Enforcement of this decree was inconsistent, but, nonetheless, evidence from many sources suggests that many exiles returned, particularly after Portugal and Navarre expelled or converted their Jewish populations, too.
**THE EXPULSIONS IN PORTUGAL AND NAVARRE**
Portugal received the clear majority of Spain’s exiled Jews. Its proximity, cultural similarity, and economic ties made it an ideal destination for the unwilling exiles. Yet Portugal would not prove to be a permanent haven. When King Manuel wished to marry the daughter of Ferdinand and Isabella, the Spanish monarchs demanded that Portugal expel its Jews. Manuel agreed, and five days after the marriage agreement was signed, on 5 December 1496, he issued a decree giving Portugal’s Jews eleven months to leave the country. Again, the long delay between publication of the edict and the date in which it took effect suggests a lack of enthusiasm for
the project, and Manuel’s actions emphasize that his primary concern was conversion. Initially, he instructed the Jews to leave from one of three ports, but soon he restricted them to leaving from Lisbon only. When October 1497 arrived, the thousands of Jews assembled there were forcibly converted. Portugal’s mass forced baptisms precipitated another exodus, this time of Spanish Jews returning home.
Tiny Navarre, in the north of the Iberian Peninsula, also suffered dual pressure, first from trying to assimilate Spanish Jewish exiles, and later from the Spanish government to expel or convert its Jewish population. Benjamin Gampel estimated that in the mid-1490s Navarre had approximately 3,550 Jews (about 3.5 percent of the population). That relatively high percentage, compared to the percentages in Castile and Aragon, was certainly due to the presence of Spanish exiles in Navarre. Even more so than with Portugal, Ferdinand and Isabella exerted much pressure on the small neighboring kingdom, and the threat of Spanish annexation was constant. The decree, which has not survived, was public knowledge by the beginning of 1498 and required that Navarrese Jewry convert or leave by sometime in March 1498.
**CONSEQUENCES**
The economic costs to Spain of the expulsion, once thought to be significant, now seem to have been relatively minor. The number of exiles was less than previously imagined, and the Jewish communities of Spain, already reduced in size by a century of conversions, did not command the wealth of previous generations. The social costs, both in terms of the loss of individual talents and in terms of the loss of a more pluralistic society, were much greater. Contemporaries may not have acknowledged the latter; but critics of the decree lamented the expulsion of so many industrious, esteemed Spaniards. But most traumatic was the terrible cost to Jewish individuals and families, who were faced with the horrific choice of giving up their faith or their home and whose families were often painfully divided in the upheaval that followed.
*See also Conversos; Jews, Attitudes toward; Jews and Judaism; Moriscos, Expulsion of (Spain); Portugal; Spain.*
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**BIBLIOGRAPHY**
**Primary Source**
“Charter of the Expulsion of the Jews.” In *Medieval Iberia. Readings from Christian, Muslim, and Jewish Sources*, edited by Olivia Remie Constable, pp. 352–356. Philadelphia, 1997.
**Secondary Sources**
Gampel, Benjamin R. *The Last Jews on Iberian Soil: Navarrese Jewry, 1479/1498*. Berkeley, 1989.
Kamen, Henry. “The Mediterranean and the Expulsion of Spanish Jews in 1492.” *Past and Present* 119 (1988): 3–55.
Meyerson, Mark. “Aragonese and Catalan Jewish Converts at the Time of the Expulsion.” *Jewish History* 1–2 (1992): 131–149.
Peters, Edward. “Jewish History and Gentile Memory: The Expulsion of 1492.” *Jewish History* 9 (1995): 9–34.
GRETCHEN D. STARR-LEBEAU
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**JEWS AND JUDAISM.** The term *early modern* applies differently to Jewish than to general European history. Jews experienced no Reformation or Counter-Reformation of their own, nor for that matter were all Jews geographically “European” (between the sixteenth and eighteenth centuries approximately 30 to 40 percent lived outside of Europe proper). Perhaps for these reasons, nineteenth-century Jewish historians tended to view the modern era of Jewish history as proceeding immediately from a long Middle Ages (akin to the period Marxists traditionally ascribed to European “feudalism,” roughly from the Christianization of the Roman Empire until the French Revolution). Modernity thus marked a sharp and sudden break with the past, a Reformation, Renaissance, and Revolution rolled into one. Meanwhile, the period between the expulsion of Jews from Spain and the era of the Enlightenment was cast in dark hues, a nadir in both mundane and spiritual terms, marked by intensive persecution and religious stagnation.
This depiction changed in the mid-twentieth century with a growing scholarly interest in the history of Jewish mystical and messianic movements, spurred by the writings of Gershom Scholem (1897–1982). Yet while Scholem’s focus on the mystical cabala (kabbalah) and the great messianic pretender Shabbetai Tzevi (also Sabbatai Sevi) (1626–1676) gave the Jewish early modern period
a distinctive cast, it also reinforced the earlier emphasis on external persecution and internal crisis. Indeed, in this new rendering, the expulsion of Jews from Spain in 1492 came to be seen as the root cause of virtually all changes in Jewish life in subsequent centuries.
In the last several decades—building on the earlier research of figures like Salo W. Baron, H. H. Ben-Sasson, Cecil Roth, Jacob Katz, and Selma Stern—Jewish historians have complicated this picture considerably. Among other things, they have offered a multifarious portrait of Jewish culture in early modern Italy and a more coherent picture of the key role played by mercantilist policies in shaping Jewish demography, economic activities, and political fortunes. The spiritual plight, economic importance, and cultural contribution of Iberian *conversos* (forced converts to Christianity in the period 1391 to 1497, many of whom secretly practiced Judaism) have also received renewed scholarly attention. These advances have tended to underscore the utility of the designation “early modern,” albeit only when appropriately adjusted to fit the Jews’ distinctive geographic and cultural-religious experiences.
**DEMOGRAPHY AND GEOGRAPHY**
The Jewish early modern period is marked by dramatic demographic shifts. The Iberian expulsions of the late fifteenth century left only small pockets of Sephardic Jews within Christendom and spurred new Jewish settlement in North Africa, Greece, Turkey, and Palestine. The Ashkenazic Jews of Germany likewise declined through expulsions and migrations between the late fourteenth and mid-sixteenth centuries, a factor that contributed to the explosive expansion of Polish Jewry from the mid-sixteenth century on. Moreover, from the late sixteenth to the early eighteenth century, small numbers of Jews were readmitted to France, Holland, Germany, and England. Part of this latter process involved a segment of the Portuguese *converso*, or “New Christian,” population, a number of whom had retained familial and commercial ties with the expelled Jews. Some of these—the so-called Marranos, who continued secretly to practice Judaism in Iberia—migrated to Spanish or Portuguese colonies in the New World, or fled to towns along the European Atlantic seaboard, where they were often eventually able to revert openly to Judaism. The consequence of these population movements, as historian Jonathan Israel has remarked, was to ensure the distribution of Jews and New Christians to many of the key nodes of Western trade (Iberia, Italy, the Balkans, Poland, central Europe, the Atlantic seaboard, and the New World). This, in turn, made it possible for Jews to become a leading commercial force from the middle of the sixteenth to the end of the seventeenth century.
**Expulsions and migrations.** Expulsions from Spain (Castile and Aragon in 1492) and neighboring regions (Navarre in 1498, Provence in 1500, Sicily in 1492, and the Kingdom of Naples in 1541), as well as the forced conversion of the entire Jewish population of Portugal (including tens of thousands of Spanish refugees) in 1497, shifted the Jewish center of gravity, demographically and culturally, into the eastern zones of both the Mediterranean (North Africa, Palestine, Turkey, Bulgaria, and Greece) and Europe (Poland). The Ottoman conquest of the Balkans, Bulgaria, and large portions of Hungary complemented this eastward (or southeasterly) movement by opening avenues of migration into the Turkish hinterlands (and, to a lesser extent, facilitating the movement of Sephardic Jews to Buda and other Ottoman-controlled Hungarian locales). At the same time, due to the lack of state centralization, Jewish expulsions in sixteenth-century Germany and Italy resulted in a significant degree of “internal migration.” In the German and central European case, this meant dispersion into the countryside and villages; in the Italian, it entailed an increased concentration within the provinces of Mantua and Tuscany, in Ferrara, and in the cities of Venice and Livorno, in many cases within walled ghettos.
It is important to keep in mind that not all Jewish population movements resulted from expulsions. Voluntary migration had accounted for the Jews’ original presence in many parts of Europe and recurred throughout the Middle Ages. The most notable case during the sixteenth century was Poland. With the 1569 Union of Lublin formally uniting Poland and Lithuania (confirming a dynastic union of 1386), the nobility dangled extensive privileges to lure Jews to the frontier regions of the east. Large numbers of Jews shifted from more urbanized western and central Poland to the regions
of Lithuania, Little Russia, and western Ukraine ("borderlands"). It is estimated that between 1568 and 1648 the Jewish population of eastern Poland increased twelvefold. Moreover, beginning in the second half of the seventeenth century, a reverse trend of sorts came into effect, with Polish Jews trickling back to the West, a phenomenon that increased with the exponential growth of the eastern European Jewish population, and that reached its climax in the late nineteenth century.
It should also be noted that an account of Jewish expulsions, migrations, and resettlements does not readily fit into a single schematic sequence. Although the most sustained wave of expulsions extended from 1470 to 1570, local ones persisted through the seventeenth and eighteenth centuries, including the notorious cases of Vienna (1670) and Prague (1745). Even the period's general eastward trend was counteracted by a tendency, already apparent by the middle of the sixteenth century, to draw so-called "Levantine" Jewish merchants back from Turkey and the Balkans into Italy and to lure Iberian "New Christians" into southwestern France (Bordeaux and Bayonne), an increasingly attractive prospect with the intensification of the Portuguese Inquisition in 1579. A year later, Portugal's union with Spain intensified the exodus of Jews from Iberia to Livorno, Venice, Brazil, and Antwerp. A community of converso Jews had remained in Antwerp throughout the first half of the century, growing steadily in numbers and prosperity until the mid-1580s, while after the 1595 Dutch blockade against Spanish shipping, conversos sought refuge elsewhere, establishing new trading centers in Amsterdam, Rouen, and (though as yet only as New Christians) in London. Even the Hanseatic port city of Hamburg, long prohibited to Jews, permitted a converso settlement at this time. The Hamburg city council insisted upon the conversos' commercial value despite a public clamor to expel them for crypto-Judaizing activities. At the same time, the new Sephardic presence encouraged Ashkenazic Jews to trickle into the Netherlands, as well as Altona and eventually Hamburg itself.
**International trade.** As a consequence of these population shifts, Jews became positioned as key players in the burgeoning international trade of the late sixteenth and early seventeenth centuries. Commerce linked the far-flung Jewish diaspora from the Jewish communities in the Ottoman lands and Poland in the East to the New Christian merchants in Iberia and South America and their Jewish Marrano cousins in southwest France, Amsterdam, and Hamburg. (Sincere "New Christians" often continued to do business with crypto-Judaizers or returned Jews, even when bitterly at odds religiously.) Between 1550 and 1630 Jews dominated the important overland commerce through the Balkans and played an important role in the Vistula lumber, grain, and fur trade. They likewise had a hand in overseas commodity trades, including tobacco, sugar, Brazil wood, alcohol, and slaves, as well as brokerage and the refinement of imported raw materials, such as diamond cutting and tobacco processing in Amsterdam and coral polishing in Livorno. By the seventeenth century the mere appearance of Jewish commercial prominence in so wide a range of locales often functioned to persuade rulers to open their territories to Jews, who operated not just as merchants but also increasingly as lenders and financial agents to crowns.
**Court Jews.** These developments helped make possible the rise of the court Jews (*Hofjuden*) in western and central Europe, a phenomenon that reached its acme in the period 1650–1750. The political aftermath of the Peace of Westphalia (1648), with its fractured sovereignties and attendant proliferation of state bureaucracies and armies, created a crushing need for cash on the part of states both large and small. Jewish financiers not only paid troops but also mastered the art of supplying armies in the field. The Hanover court factor, Leffmann Behrens, for instance, started as a financial intermediary between Louis XIV (ruled 1643–1715) and his ally Duke John Frederick (1625–1679), then served as a military supplier and financier to John's brother Ernest Augustus (1629–1698) (along the way helping him raise the colossal funding needed to purchase a position as the ninth elector of the imperial college), and then, in a final incarnation, became an unofficial finance minister for George Louis (1660–1727), later George I of Great Britain (ruled 1714–1727).
Jews like Behrens formed the top echelon of an elaborate network of money, credit, and supplies, linked by religion, skills, and marriage. Yet the court Jews' demise was often as remarkable as their rise. Samuel Oppenheimer (1630–1703) brilliantly
served Emperor Leopold I (ruled 1658–1705) as banker and military supplier through the War of the League of Augsburg (1688–1697) before his master (never an admirer of the Jews) abandoned him to the angry Viennese mobs. A similar fate befell the still more flamboyant and reviled Joseph Süss (“Jew Süss”) Oppenheimer (1698–1738) who, much to the chagrin of his Protestant subjects, became the virtual viceroy to the Catholic Duke Karl Alexander of Württemberg. With the duke’s death, Jew Süss was summarily tried and executed, his remains left on public display in an iron cage. In earning extensive privileges for themselves by strengthening royal centralization against the jealous local estates (quasi-feudal corporate groups), the court Jews rendered their own circumstances intensely vulnerable. Still, no matter how precarious their individual fortunes, the entitlement to settle their Jewish entourages usually endured, such settlements becoming beachheads for many a fledgling Jewish community in the seventeenth century, scattered through Germany, Austria, Holland, Denmark, and Hungary.
**Eastern Europe.** In Poland, where by the 1600s a majority of European Jews lived, the court Jew phenomenon found its counterpart in the institution of the *arendator*, a lessee of economic privileges on noble estates in Poland, Lithuania, and Ukraine. The opening up of latifundia during the fifteenth and sixteenth centuries—making possible a Baltic grain trade whose vast expansion facilitated the enserfment of the Ukrainian peasantry—drew Jews into the towns and villages of Lithuania and western Ukraine to assist the nobility’s economic exploitation of the eastern territories. In return for their services to the magnates, Jews won increasing religious, residential, and occupational freedoms, including protections against collective punishments and ritual murder accusations, limited rights to own real estate, and freedom to engage in a widening array of professions. With an expanding population, the Jewish economy became increasingly complex, diversifying well beyond the Jews’ traditional banking and tax farming activities into crafts, transport, and estate administration. The price for all this, however (in addition to mounting taxes), was the Jews’ insinuation into the dangerous and oppressive *arenda* regime.
The 1648 peasant backlash against the exploitative system, aggravated by religious tensions among Greek Orthodox, Catholics, and Jews, and inflamed by Ukrainian Cossacks’ resentment against their misuse by the Polish crown, led to a ferocious rebellion under the generalship of Ukrainian hetman Bohdan Khmelnytsky (1595–1657). The Cossack phase of the conflict lasted until 1655 and exacted a devastating toll on Jewish population centers throughout Podolia, Volhynia, southwestern Lithuania, and even part of Galicia and central Poland. While contemporary chronicles exaggerated the extent of the loss, as many as 40,000 people—a quarter of Polish Jewry—may have perished. The Khmelnytsky uprising became the largest Jewish massacre before the twentieth century. But while the devastation created a drastic refugee crisis (the Cossack rebellion was followed by invasions from Sweden and Muscovy lasting through 1667) and accelerated Jewish migration to the West, it did not stem the tide of overall Jewish economic and demographic expansion in eastern Europe. On the contrary, within a century of the uprising the Jewish population reached one half million, with Jews becoming a key commercial force in an eighteenth-century Poland beset by economic woes.
**Economic decline.** In contrast to the early sixteenth century, Jews in the eighteenth century found themselves residing throughout the Continent, though in small numbers in western Europe. Yet now the mechanisms that had allowed for their restoration and distribution—the overland Balkan trade; Dutch overseas commerce with the New World, North Africa, and India; war and state building in the petty sovereignties of central Europe—had diminished in importance or were no longer operative. Jews were ill placed to take advantage of the new commercial centers and dynamic forces fueling a changing European economy, such as British colonial trade, early industrialization, and regional, intrastate as opposed to trans-European or intercontinental trade. Even the growing importance of Jews in Poland seemed to go hand in hand with that land’s political and economic decline, or so many anti-Semites believed. Polish Jewry’s demographic growth fed emigration and itinerancy, thus aggravating the existing poverty of sister communities in central and western Europe. By the end of the early modern period a widespread perception emerged in the European press of an internal Jewish social crisis, leading to demands for Jewish political
and occupational reform at the dawn of the modern age.
**JEWISH SELF-GOVERNMENT**
*The autonomous community.* In the wake of the Khmelnytsky massacres, Rabbi Nathan Hanover (d. 1693), himself a Polish refugee living in Livorno, concluded his chronicle of the devastation with an extensive elegy for the golden era of Polish Jewry, which he believed had now come to an end. In this idealized portrait, Hanover praised the features of Polish Jewry that made it so exemplary: its devotion to religious learning and scholarship, its highly developed and meritocratic system of religious education, its generous charitable institutions, and, finally, its extensive network of religious and civil courts and local, regional, and national administration. According to Hanover’s depiction, Jews lived in a self-enclosed world, sealed off from all corrupting non-Jewish influences. “Never was a dispute among Jews brought before a Gentile judge or before a nobleman, or before the King . . . and if a Jew took his case before a Gentile court he was punished and chastised severely.”
Despite Hanover’s exaggerated claims (in seventeenth-century Poland, powerful Jewish interests—merchants, tax farmers, *arendators*—rarely hesitated to enlist non-Jewish authorities on their own behalf), Polish Jewry did enjoy a degree of autonomy almost unprecedented in the history of the diaspora, with self-governing institutions that extended from the municipal to the federal level. In earlier centuries the Polish crown had appointed chief rabbis for the entire Jewish community; such efforts died out by the middle of the sixteenth century when Jews won the right to administrative autonomy, even at the “national” level. Indeed, the crown benefited fiscally and the Jews administratively from the establishment of the Council of the Four Lands (first documented in 1581) and the Council of the Land of Lithuania (1623). Both were annual or biannual synods composed of delegates from regional Jewish councils who were entrusted with formulating general policies and recommendations for the Jewish population as a whole. Indeed, these councils exerted an influence well beyond their own lands, intervening on occasion in the internal disputes of other Ashkenazic communities (for example, Frankfurt, 1615–1628, and Amsterdam, 1660–1673), a development that underscored Polish Jewry’s newfound preeminence in the early modern period numerically, institutionally, and intellectually.
The autonomous Jewish community had derived its historic legitimacy from two sources: the consensus of its constituent members, made sacred through oaths and rights of excommunication (*herem*) and the independent, quasi-corporate standing conferred upon it in governmental charters, such as that granted by Casimir the Great in 1364 and renewed periodically by his successors. Membership rights in the community (*kehillah*) were the prerogative of the Jewish municipal government (*kahal*), rooted in local custom and conditioned by changing economic circumstances. Such membership, though normally heritable, did not automatically transfer to a new spouse; on the contrary, despite the premium placed on marriage in Judaism, communities exercised strict control over marriage and settlement. The medieval formula, according to which one acquired town citizenship by residence for “a year and a day,” did not apply to the Jewish community of this period, which imposed waiting periods of between six and twenty-five years on prospective members, again depending on economic circumstances. On the other hand, visitors remaining for longer than several weeks were subject to special taxes—the city of Kassel, for example, required outsiders lingering more than a month to pay all of the taxes normally imposed on residents, in addition to the tolls to which travelers and merchants were otherwise subject. Itinerants might receive initial assistance with food and shelter, but they would be sent packing after a few days. Especially in northern and eastern Europe, by the second half of the seventeenth century, when population growth, war, and increased regional economic integration vastly multiplied the number of Jewish beggars, communities felt forced to impose strict rules against sheltering wanderers. In 1623 the Council of the Land of Lithuania insisted that “no beggar whatsoever shall be given anything except transportation to send him away; neither shall he be kept in one’s house for more than twenty-four hours.” The Jewish community was responsible for its own poor (if no kin were able) and could not support outsiders too, a factor that further aggravated the problems of homelessness and mendicancy.
**Oligarchy.** As social divisions widened, particularly in the larger communities, a trend toward oligarchic rule emerged. In theory, ultimate authority resided in the consensus or majority rule of the entire community, meaning, essentially, all married male taxpayers. Yet by the sixteenth century, Jewish communities throughout Europe entrusted the election of municipal officers to “the majority of wealth.” Indirect election became the rule, with taxpayers of sufficient property choosing an initial assembly that in turn elected—depending on the community’s size—two or three tiers of officers (in Poland: *tovim*, ‘good men’; *zekenim*, ‘elders’; and *parnasim*, ‘pillars’) for an annual term. The position of community executive was usually rotated on a monthly basis. Stiff regulations against reappointment and nepotism were enacted, though increasingly observed in the breach. Indeed, private money was an essential ingredient of community government. At times offices might be directly purchased—though this abuse was vigorously condemned in community record books (*pinkasim*) and rabbinic preachments. But even short of such extreme cases, serving as an officer was a privilege of wealth, indeed, one that might carry numerous costs. The privilege of self-government came at a price, since every appointment of new officers had to be ratified by the ruler or his agent, entailing the payment of a sizable fee on each occasion. Rulers generally made officers personally responsible for unpaid community debts and taxes, imprisoning them to extort the fine if necessary. For this reason, communities felt justified in imposing penalties on wealthy individuals who declined to serve.
**Institutions.** The religious prerequisites for the existence of a Jewish community were a prayer quorum (*minyan*) of ten adult males, a cemetery, a kosher slaughterer (*shochet*), and a ritual bath (*mikvah*). If a community’s small size made any of these prohibitive, it would seek to affiliate with its nearest neighbor. A rabbi was not strictly necessary so long as a lay member possessed a respectable mastery of Jewish law. If no man was able, knowledgeable women would also sometimes serve as unofficial guides to the law and (in early modern Italy, at least) ritual slaughterers. The rabbinate became professionalized throughout Europe in the late Middle Ages, but financial arrangements for hiring rabbis differed according to region; in Poland, for instance, the rabbi received a salary as well as specified tax exemptions and monopoly rights; in Italy, on the other hand, he earned merely a nominal fee, which he had to supplement through teaching, preaching, writing, or business. Still, any community that could afford to have a rabbi did so, for he epitomized its highest values and embodied its authority. He was both teacher and judge—even if in reality his personal power was often subordinate to that of the lay communal leadership.
Once the framework of local government was in place, its chief functions were to collect taxes (for its own administration and on behalf of the government); to maintain good relations with the authorities (often entailing a special functionary, the *shtadlan*, as “lobbyist,” and always requiring the allocation in the budget of special funds for “gifts”); to ensure internal order and observance of the law (civil and religious); to appoint clerical officials (a rabbi and religious teachers) and lay judges to oversee local courts; to provide essential services, such as health facilities and teachers for the children of the poor; to appoint and supervise special officers, such as those responsible for tax assessment or truancy enforcement; and to oversee committees (*hevrabs*) engaged in specific activities (both ritual and civic), such as the burial society (*hevrah kadisha*) or artisan fraternities, as well as those engaged in poor relief and other charitable pursuits (for example, providing dowries to enable poor girls to marry). With the expansion of the size and complexity of Jewish communities and the intrusion of class polarities, such *hevrabs* proliferated. They allowed for participation by the middling ranks in community bodies otherwise inaccessible to them. In fact, though most *hevrabs* were restricted to males, a minority also offered a rare channel for women to participate in self-governing organizations. *Hevrabs* were mutual aid societies in life and death, providing charitable funds to help the family of a deceased member, as well as intercessory prayers on behalf of their souls. They were vehicles for the expression of new forms of spiritual creativity, even quasi-autonomous loci for an emergent Jewish civic society. But whatever their specific functions, it is important to keep in mind that such *hevrabs* were
viewed as religious institutions and not political ones.
**Education.** Public education at the elementary level, to the extent that it existed, was for the children of the poor alone. Poor but promising scholars were objects of private charity; it was considered a great religious virtue (*mitzvah*) to feed and house a penurious Talmudist. While valued as an end in its own right, scholarship also provided an avenue of social mobility and could secure a marriage into a wealthy family. Such meritocratic virtues served to elevate scholars and denigrate the illiterate. Promising children were urged to advance through the curriculum as rapidly as possible. Pedagogical theory held that the earlier something was learned, the longer it would be retained, and for this reason, ambitious parents sought to teach their sons to read Hebrew from as early as the age of two. As a proud father recorded in sixteenth-century Italy, at three his son began his religious studies, at four he chanted from Scripture, at five he learned to write, at eight he studied the legal codes, and at twelve he learned ritual slaughtering and led the morning service in synagogue. A childhood so attenuated—the process completed, as the historian Roberto Bonfil notes, even prior to any bar mitzvah rite of passage—expressed the premium placed by Jewish society on boys’ achieving early intellectual maturity. Maturity for girls, on the other hand, meant early marriage (from twelve or thirteen up). The community placed no value on a girl’s religious education (and only a wealthy family might train a girl in some secular arts), except that pertaining to the dietary rules and laws of ritual purity. Schools for girls, such as the one established in Rome in 1475, were rare. Nevertheless, learned women, self-taught or instructed by a parent, appear repeatedly in the early modern sources. Women’s spirituality—exclusive of their domestic roles—found expression in special Yiddish prayers (*tekhines*) and moralistic stories, and through the communal experience of the *hevrahs* and their charitable and devotional activities.
**Finances and taxes.** The Jewish community was as much an economic institution as a social and religious one. What this meant in practice was that the *kahal*, in its corporate status, frequently engaged in business transactions, loans (as both lender and borrower), and the leasing of franchises. (A Jewish community in early modern Poland-Lithuania might be a general *arendator*, subletting specific functions to individual community members.) In late medieval Germany, entire communities, ostensibly the “property” of the crown, were pawned to princes, nobles, or municipalities to generate cash. Jewish communities frequently found themselves deeply in debt—to individual members of their own communities or to Christians (in Poland-Lithuania, monasteries in particular thrived on loans to Jewish communities for periods often lasting generations). The trend toward oligarchic rule tended to dampen the fortunes of the *kahal*, since corruption, tax exemptions for the wealthy, the growing burden of poor relief, and mounting interest on community debts placed communal financial burdens increasingly on the backs of the middle stratum of “householders” (*ba’ale batim*).
Paying for communal services and privileges entailed a wide array of taxes. The Jewish community received assessments from state and local governments based on its ascribed population size and then apportioned the fiscal responsibility of its individual members. This created considerable overlap between “external” and “internal” taxation, with the former generally taking the form of capitation and property taxes and the latter sales taxes on commodities and fees on services. The *kahal*’s ingenuity was continuously tested by increased demands from above. Taxes on kosher meat and candles for the Sabbath and holidays proved particularly onerous, since these items were religiously obligatory. These taxes began as community imposts but were eventually seized upon by governments as their own. Ritual items like citrons (for the autumnal “Festival of Booths” [Sukkoth]) as well as “luxury” items like tobacco were likewise taxed. The community imposed sales taxes not just on types of commodities but on the types of professions that produced them. For instance, eighteenth-century Cracow taxed all transactions by peddlers, jewelers, bakers, and tailors, among others, at fixed rates, regardless of their character or size. Indeed, marriage, death, and taxes went hand in hand since dowries and burials were often taxed as well.
**Eighteenth-century developments.** The imposition of tax upon tax mandated by indebtedness and state demands, interference in the *kehillah*’s internal affairs by overweening magnates, increased oligarchic manipulation of the instruments of Jewish self-government, growing economic and social differentiation within the Jewish community, jurisdictional disputes between large Jewish communities and their numerous suburban satellites, and the eventual emergence of a strong Jewish artisan class jealous of its fraternal ties all conspired to transform if not destroy the traditional autonomous Jewish community in eastern Europe by the eighteenth century. In 1764, in an effort to extract more funds from the Jewish population, the Polish sejmiki dissolved the Council of Four Lands, thus ending one of the more remarkable experiments in the history of Jewish diaspora autonomy. With the Polish partitions of 1772, 1793, and 1795, the bulk of Polish Jewry fell under the administration of Prussia, Austria, and Russia, each with different policies affecting the future of the self-governing Jewish community.
Central, southern, and western Europe. Since medieval times the Jews of Germany and central Europe had made periodic use of rabbinic synods to deal with pressing political, economic, or religious problems. As absolutism became the order of the day, these interregional synods waned and were eventually replaced by regional councils or Landjudenschaften, backed, or sometimes even created, by the princes. Indeed, court Jews—acting as both agents of the crown and community lobbyists—would frequently play decisive roles in these bodies, at times even occupying the position of “state rabbi” (Landesrabbiner). Crown interference in the internal mechanism of the Landjudenschaften, a phenomenon that intensified in the eighteenth century, was not the only curb on their power and prestige, however. Perhaps more significant was the fact that a number of the major Jewish communities of central Europe—Vienna, Berlin, Prague—lay outside their jurisdiction. The increased independence of large urban communities in central Europe offered greater opportunities toward the end of the eighteenth century for institutional experimentation and religious reform.
A similar situation presented itself in Italy, where regional and peninsula-wide synods were held in the fifteenth century (Bologna, 1415; Florence, 1428; Ravenna, 1442–1443), but where localization was becoming the norm in the seventeenth. In Italian cities, as in Amsterdam, Hamburg, and Paris (not to mention throughout the Balkans and the Ottoman lands), Jewish community life was also fragmented by other centrifugal forces, such as linguistic and cultural divisions between Castilian, Aragonese, Portuguese, German (tedesco), Romaniot (Greek-speaking Jews), and other ethnic enclaves. In these settings communal solidarity transcending country of origin would have been unlikely, to say the least. Different rites and customs and endogamous marriages usually went together with different synagogues, cemeteries, and communal administrations. While each communal leadership demanded absolute obedience from its constituency, such institutional multiplicity and functional overlap tended in the long term to undermine the authority and prestige of autonomous Jewish institutions.
If these factors—state interference in the functioning of the super-communities, major urban communities that increasingly went their own way, and internal ethnic divisions—weakened Jewish self-government throughout Europe, they did not in themselves destroy it. On the contrary, in the “backward” societies of eastern Europe, unaffected by the French Revolution or liberal capitalism, the Jewish community persisted well into the nineteenth century, despite social divisions and frequent attacks on its legal basis and moral character.
RELIGIOUS AND INTELLECTUAL DEVELOPMENTS
Jewish law (halakhah). In the early modern as in the medieval period, Jews assumed that the proper and necessary expression of Jewish life was through the observance of Jewish law (halakhah). This was true even of the Marranos or crypto-Jews: their “Jewishness” expressed itself, inter alia, as the unfulfilled aspiration to observe the commandments of the Torah. For this reason, meaningful discussion of the inner life of the Jews of the early modern period must begin with the halakhah.
The halakhah was a highly elaborated system of study and praxis, based on the Mosaic law, alongside the “oral law” that, according to ancient custom, had been passed down from generation to generation as part of the original revelation at Mount Sinai. Scriptural and oral law were reintegrated, so to speak, both as a literary corpus and as a practical system of observance by scholars (rabbis)
active between the second and sixth centuries in Palestine and Babylonia. The laconic Mishnah (c. 200 C.E.) and the vast “sea” of the Babylonian Talmud (c. 500 C.E.)—the latter a compendium of scriptural and Mishnaic commentary, lore, and rabbinic hagiography—defined much of rabbinic Judaism and constituted the broad ideological and practical foundation for Jewish existence. Mastery of the Talmud—meaning not just its numerous tractates but also the successive layers of commentary and analysis that had evolved over generations—was also the prerequisite for entrance into the rabbinic class. Talmudic principles had to be applied and adapted to the specific circumstances of daily life as they emerged in different historical settings. Thus, a great deal of rabbinic literature is a literature of legal analysis, including commentaries on one or another aspect of the Talmudic corpus, codes of Jewish law, *hiddushim* (collections of legal *novellae* inferred from Talmudic literature and precedent), and *responsa* (answers by leading scholars to queries sent by letter from local rabbis regarding specific practical *halakhic* problems).
**Responsa literature and legal codes.** Because of the upheavals caused by wars, expulsions, migrations, and resettlements, the sixteenth and seventeenth centuries abounded in *responsa* literature. Much of it concerned banal or not particularly topical issues, for instance, the use of embroidered images on a synagogue curtain, the legality of employing non-Jewish musicians at weddings or of divorcing a wife for her refusal to relocate to the land of Israel. But a considerable number of *responsa* from this period reflect larger historical changes: disputes over jurisdiction and custom that arose when new settlements of exiles developed side by side with older established communities, for example, or uncertainty over the status of marriages, divorces, and inheritances when one or several members of a family had converted to Christianity—as was not infrequently the case with Jews leaving Iberia. In Poland, topical problems such as population growth, the rise of the *arenda*, the subsequent spread of novel economic relationships, and, later, as a consequence of the Khmelnytsky massacres, the proliferation of widows ineligible for remarriage (because Jewish witnesses could not attest to the deaths of their husbands, as required by *halakhah*) prompted penetrating investigation into the legal sources.
Despite the urgency surrounding the content of much of this literature, the stylistic convention of rabbinic *responsa* became increasingly intricate and scholastic (one is tempted to say, baroque) in character by the sixteenth century. Far more *responsa* have endured from this period than from the preceding era. Yet despite their great quantity and weighty contents, they abound in deferential pieties that insist upon the superior understanding of the juristic giants who came before. Indeed, it is from the sixteenth century that *halakhic* scholars begin referring to themselves as *aharonim* (‘later authorities’) and their predecessors as *rishonim* (‘primary authorities’).
Such terminology attests to an emergent consciousness among Jewish legal scholars in the sixteenth century of a temporal divide between their own and the preceding era. This was not conceived of in terms of “ancients and moderns.” Rather, a wide array of sources attests to a growing sense within Jewish life that the providential plan had taken a decisive turn. In *halakhah* its clearest evidence emerges from the compulsion felt simultaneously by scholars in widely different places to devise a new and definitive code of Jewish law that would offer practical guidance to a people afflicted by seemingly continuous upheaval. The *Shulhan Arukh* (1564–1565; The prepared table) authored by Joseph Karo (1488–1575), a Spanish exile who lived first in Turkey and then in northern Palestine (Safed), appeared to answer that need. Its success derived from its pithy and accessible quality, no doubt. But backing this up was the unimpeachable authority of Karo’s lengthier and far more academic legal code, the Bet Yosef. Still more decisive was the fact that the *Shulhan Arukh* was soon supplemented by the *Mapah* (Tablecloth) of the Polish rabbi Moses ben Israel Isserles (1525 or 1530–1572), who glossed the Sephardic Karo in the light of Ashkenazic jurisprudence and custom.
Initially, Karo’s compendium had provoked strong opposition in eastern Europe, on the grounds that a legal code so devoid of argumentation would attenuate direct study of the Talmudic sources, diminishing the stature of the rabbis and undermining local and regional usage (*minhag*).
Why then did Polish rabbis eventually reconcile themselves to Karo’s enterprise? The answer lies in the character of the problems generated by the mode of Ashkenazic legal studies in the early modern period. Polish Jewry had become perhaps the outstanding locus of halakhic scholarship by the sixteenth century. Its chief innovation was *biluk* (both a form of pedagogy and a method of textual analysis), characterized by the continuous comparison of disparate Talmudic texts to uncover their underlying conceptual principles. While often denigrated as “casuistic,” this dialectical approach made possible increased legal flexibility, a great virtue in the face of the many conundrums confronting early modern Jewish communities. At any rate, though the method of *biluk* was antithetical to the spirit of codification, many Polish scholars came to realize that the vast amount of legal commentary and custom that had accumulated in recent generations necessitated a new and systematic organization of the law. (Note that similar controversies surrounding codification efforts were taking place among non-Jews in sixteenth-century Europe.) Broadly speaking, then, and despite the original controversy that surrounded it, the *Shulhan Arukh* triumphed because it addressed a range of pressing needs through its unique combination of practicality, scholarship, and universality.
**Cabala (Kabbalah).** Karo was no pedantic legalist, but a mystic and a visionary, the recipient, in fact, of nightly visitations from a heavenly messenger (*maggid*) who revealed divine secrets to him through the mechanism of automatic speech. His *maggid* aside, as a devotee of the cabala or kabbalah (a body of Jewish mystical thought and practice dating from twelfth-century Provence and Spain), Karo was hardly unusual—even among halakhic scholars. By the sixteenth century, cabala had become widely disseminated in almost every diaspora locale, due in part to the dispersion of Judeo-Spanish refugees throughout the Mediterranean and beyond. With roots in gnostic and Neoplatonic thought, and a core conception of divine ontology as corresponding to and interacting with human activity, cabala helped to invest Jewish ritual with fresh meaning and magical potency. Although cabalistic theosophy achieved its classical expression in the thirteenth-century *Zohar* (a pseudepigraphic work traditionally attributed to the second-century sage Rabbi Simeon bar Yochai), the sixteenth-century Safed cabalists Moses Cordovero (1522–1570) and Isaac Luria (1534–1572) lent it greater systematization and a new set of topical emphases. Cordovero’s mystical fraternity produced instructional guides to moral behavior (*banhagah*) that reified mystical abstractions into concrete practices and lifestyles accessible to such fraternities (*bevrabs*) throughout the diaspora. Luria, according to the formulation of the historian Gershom Scholem, took over the gnostic myth of an originary crisis existing within the godhead and highlighted its correspondence to the specific condition of Jewish exile, thereby focusing attention on the cosmic process of messianic redemption within Jewish collective consciousness.
Abetted by the new print revolution, the cabalistic currents emanating from Safed and elsewhere fused with the existing pietistic temperament of sixteenth-century Poland, the latter a legacy of that community’s origins in medieval Ashkenaz and of its own syncretistic folk culture. Asceticism, strict penances, self-flagellation, and elaborate demonologies, though hardly alien to diaspora Jewish life elsewhere at this time, became especially pronounced in early modern Poland. Both pietistic and eschatological interests found expression in cabalistically inspired Bible commentaries that revealed in numerological interpretations of scriptural terms and calculations of the anticipated date of messianic redemption. In addition, *musar* literature, a genre dating to the early Middle Ages that aimed at guiding the reader to a life of mental and spiritual perfection through the adoption of an ascetic behavioral regimen, now came to function as an apt vehicle for transmitting cabala to a wider readership. *Musar* works took on a strongly cabalistic flavor, infusing prayer, Sabbath observance, study, and sexuality (or the strict avoidance of sexual sin, particularly masturbation)—indeed, nearly all areas of life—with a core of mystical symbolism. But cabala could also be disseminated orally through preaching, sermons, and homilies; through group study and recitation, as conducted by *bevrabs*; or simply through the complex if unconscious processes by which new customs, such as midnight vigils, alterations in the order of prayer recitation, prohibitions on sons attending their father’s funerals, and countless other *tikkunim* (‘corrections’ of the cosmos),
become sanctioned and sanctified. There can be little doubt that the explosion of such practices signaled a heightened sensitivity to the new spiritual possibilities engendered by the contemporary moment.
**Renaissance trends.** In early modern Italy, however, cabala seemed to take an altogether different turn. There it became linked to Renaissance trends, of both a Neoplatonic and a hermetic variety. In contrast to Isaac Luria’s mythical and intensely anti-Gentile formulations, the Florentine Johanan ben Isaac Allemanno (c. 1435–c. 1504) constructed an enduring synthesis of cabala and Neoplatonism, reflective of and conducive to a Jewish-Christian dialogue. Allemanno exerted an important influence on Giovanni Pico della Mirandola (1463–1494) and on the development of Christian cabala more generally. Indeed, in Italy—despite the proselytizing aims of its Christian practitioners—Christian and Jewish cabala shared many features, reflecting a common philosophical vocabulary and devotion to the ancient wisdom lying beneath the surface meaning of the scriptural text.
Italian cabala functioned as one component of a Jewish Renaissance humanism that embraced the aesthetic values of the general environment. Italian Jews were active in every sphere of Renaissance literary production—biographical, linguistic, poetic, and philosophic. Strikingly, the Aristotelianism that since the time of Maimonides (1135–1204) had created deep fissures in the Jewish world was now deployed in a failed rearguard action against the rising forces of cabala and Neoplatonism. The latter—with Jewish roots in eleventh- and twelfth-century Spain—achieved its highest Italian-Jewish expression in the *Dialoghi di Amore* of León Hebreo (also Judah León Abrabanel, c. 1460–after 1523).
Sixteenth-century Italy (though the phenomenon extended beyond the peninsula) also experienced a brief efflorescence of Jewish historical writing, a genre that possessed rather shallow roots in post-biblical Jewish culture. Some of these works exhibited a decidedly apocalyptic character—again, suggesting a widespread sense of approaching cosmic crisis—but others, like the *Me’or ‘Enayim* (The light of the eyes) of Azariah ben Moses dei Rossi (c. 1511–c. 1578), were produced with an unmistakably humanist orientation. Indeed, Jewish humanists viewed the pagan arts then being revived in Italy as derivative of their own ancient creed. As the geographer Abraham Farissol (1451–c. 1525) explained, “at the foot of Mt. Sinai God crowned us with the Torah in its entirety: it contained all the sciences, natural sciences, logic, theology, law, politics, and it was here that the whole World slaked its thirst.” Such one-upmanship served Jews well. In a milieu where acculturation offered opportunities and enticements, the claim of Judaic priority in the humanistic curriculum enabled Jews to act as their own cultural gatekeepers.
**“CRISIS” OR “INCIPIENT MODERNITY”?**
**Italian ghettos.** Though the broad humanist curriculum was the province of a relative handful of Jews, the adoption of Italian names, folkways, melodies, delicacies, and pastimes permeated the Italian Jewish community as a whole, even when secluded behind ghetto walls. Indeed, the impact of Italian ghettoization—few Jewish communities outside of Italy lived in ghettos proper—did not necessarily mandate inwardness or insularity. The famous Venetian rabbi Leone Modena (1571–1648), although admittedly an exceptional case, records that during the December festival of Hanukkah, the friar whom he called “Satan,” “duped me into playing games of chance . . . by the following [May holiday of] *Shavuot*, I lost more than three hundred ducats.” At the same time, while ghettos did not seal Jews hermetically from the outside world, they did offer protection from physical attack (though not plague and wrenching poverty), and a defined if circumscribed and degraded place within Christian society. That for many historians “the ghetto” became a catchall for the premodern Jewish experience in Europe as a whole is unfortunate, since it violates the actual ghetto’s historical specificity as well as misconstrues its paradoxical value to those Jews who experienced it.
This paradoxical nature of ghetto life manifested itself in a psychological need to define the moral and conceptual boundaries of Judaism within a Christian society. Indeed, ghetto existence appears to have given rise to a number of apologetic works that defended Judaism and advertised the purported benefits of maintaining a Jewish presence to Christian state and society. In a work by the
aforementioned Leone Modena, written in Hebrew but readily accessible to a host of contemporary Christian Hebraist scholars, the author brought forth a penetrating analysis of the New Testament, depicting Jesus as a Pharisee whose later epigones had distorted his original Jewish message. In 1638 Modena’s younger Venetian colleague, Simone Luzzatto (d. 1663), offered Christians a quite different message, unabashedly insisting that Jews act to enrich the gentile polity with their unmatched commercial skills. Luzzatto’s argument on behalf of “mercantilist philosemitism” influenced debates on Jewish readmission to England in 1654–1655 and continued to have an impact well into the eighteenth century.
**Marranism and messianism.** The ghetto was not the only stimulus to such literature, however. The return of many Iberian New Christians to Judaism prompted a number of them to produce treatises, addressed not just to Christians but to wavering fellow Marranos as well, that attested to what the former New Christian Isaac Cardoso (1603 or 1604–1683) called “the excellences of the Hebrews.” Such former New Christians constituted a volatile addition to the Jewish communities of Italy, Amsterdam, Hamburg, and London during the seventeenth century. Unlike their sixteenth-century predecessors, a number of whom retained a living memory of open Jewish practice in Iberia, many of these Marranos possessed only the most rudimentary knowledge of rabbinic Judaism, its observances, doctrines, and mentalities. Their subjection to the discipline of the Sephardic *kabal* government (the *Mahamad*), its alien customs, and *halakhic* regimen sometimes evoked in the minds of these “returnees” comparisons with the very tyranny they had fled. Even an insincerely felt Christianity might leave an enduring impression on the soul. When combined with a sense of disappointment with their recovered faith, this could lead in the most varied directions. The roughly contemporaneous Uriel Acosta (1585–1640) and Abraham Miguel Cardoso (c. 1630–1706)—brother of the above-mentioned Isaac—demonstrate the polar range of alternatives. Acosta fled the Portuguese Inquisition in 1615, but was later excommunicated by the Amsterdam Jewish community for his increasingly radical criticisms of the oral law. His case dramatically illustrates how the abandonment of Christianity could feed a religious skepticism irreconcilable with an equally powerful need for membership within a Jewish community. Abraham Cardoso, however, seemingly presented the opposite phenomenon. His intense hostility to his former Christian faith manifested itself in a dogged adherence to the cause of the messianic pretender Shabbetai Tzevi, even justifying on cabalistic grounds the latter’s conversion to Islam. The fact that these cases are extreme ones should not obscure the intimate and complex connections between Marranism and messianism in the Jewish history of the seventeenth century. Messianic pretenders had not been lacking during the previous century. But figures like Asher Lemlein and Solomon Molcho (c. 1500–1532), however great the fascination they engendered, secured relatively few actual followers, whereas the messianic fervor surrounding Shabbetai Tzevi appears at its height to have seized the hearts of close to a majority of Jews worldwide. The messiah’s appeal cannot be attributed to any single historical cause; neither the expulsion of 1492, nor the dissemination of Lurianic cabala, nor the rough phenomenological equivalents that appeared simultaneously within Christendom are sufficient to account for a movement that swept from Adrianople to Amsterdam—sweeping up all types and classes of Jews along its path.
Less speculative are the reasons why the modest achievements and erratic and sometimes psychotic behavior of the pretender himself did not induce a greater skepticism. The momentous announcement in the summer of 1665 of the messiah’s advent, emanating from the holy land and in the guise of a solemn appeal from his “prophet,” Nathan of Gaza (1643/1644–1680), for mass repentance, appears to have successfully undercut competing reports of Shabbetai Tzevi’s bizarre sexual behavior and evidence of the physical thuggery that his followers unleashed upon “infidel” dissenters. Concerns raised by reports of his February 1666 arrest at the hands of the sultan were likewise dampened by word that the messiah’s prison was actually a palace where the “king” hosted emissaries from throughout the exile. Only the profound shock of Shabbetai’s apostasy on 15 September 1666, once absorbed, transformed joy into disappointment, and elation into rage or despair. Cooler heads among the community leaders now emerged to supervise a
systematic effort to cover up the extent of official collusion with the movement and to root out lingering pockets of belief.
If in most cases the status quo ante was restored relatively quickly, two minority tendencies also made themselves felt: conversion from Judaism, on the one hand, and participation in the heretical Shabbetean movement, on the other. In the first instance, Christian missionaries proved adept at capitalizing on the disillusionment Shabbetai had inspired in many Jews. As for the case of Jewish heresy, Shabbetai’s propagandists (including Abraham Cardoso and Nathan of Gaza) succeeded in formulating doctrines to demonstrate that the apostasy actually “proved” Shabbetai’s messianic or (in extreme versions) divine nature. It seems that such claims may have found a particular resonance among former Marranos. For them, after all, the outward conversion and crypto-Judaizing that Shabbetai and some of his followers now engaged in constituted the very crux of their own past religious experience.
Shabbeteanism would cast a shadow over the next century of Jewish intellectual and religious life in Europe. This did not occur because the heresy was itself so widespread. Admittedly, respected community leaders such as the Sephardic chief rabbi of Amsterdam, Solomon ben Jacob Ayyllon (1655–1728), and even a revered Talmudist, Jonathan Eybeschuetz (1690–1754), were secret though moderate Shabbeteans, while at the other end of the spectrum, the shocking heretical messianism of Jacob Frank (1726–1791) seems to have taken the form of a perverse experiment to see if the original shabbatean debacle could be outdone. Yet while these instances should not be overlooked, more significant still was the degree to which self-appointed heresy hunters in the decades following Shabbetai Tzevi’s demise claimed to see incarnations of Shabbeteanism extremism almost everywhere they looked—in the pietistic conventicle of the brilliant Italian mystic Moses Hayyim Luzzatto (1707–1747), in the acrobatic “enthusiasm” of the fledgling Hasidic movement, and even in some of the mild pedagogic reforms advocated by the early Jewish Enlightenment. The Shabbetean scare, in short, seems to have produced a form of reductionism within some orthodox circles, which in itself helped to determine the dynamic interplay of “tradition and crisis” in the Judaism of the eighteenth century.
**Conclusion.** If heresy calls forth inquisition, skepticism dogma and laxity enforcement, then it is plain why some historians have depicted early modern era Judaism as engendering a crisis. The crisis they describe pits the irresistible force of acculturation, antinomianism, and apostasy against the immovable object of cultures and communal institutions turned inward and rigid. According to this view, by the middle of the eighteenth century, such tensions proved too powerful to contain, leaving the fabric of traditional Judaism exposed and vulnerable to the simultaneous eruption of Enlightenment in the West and Hasidism in the East. However, more recently, an alternative narrative has vied for dominance, one that emphasizes a comparatively seamless transition to modernity. According to this view, an “incipient modernity” was engineered, more or less unconsciously, by representatives of a moderate tradition within Judaism—philosophical in medieval Spain, humanistic in the Renaissance, and scientific in the Enlightenment—who were at home in both the world of Jewish observance and that of commerce and culture. However, if both scenarios possess merit, they likewise equally exaggerate, particularly with regard to the degree of autonomy they accord to European Jewish history. Modernity did not “arrive” at all Jewish communities simultaneously. Rather, as was the case with most minorities within Europe—as well as most populations outside of it—modernity imposed itself as an alien but ineluctable force that left no choice but to react, resist, or adapt.
*See also* Cabala; Conversos; Ghetto; Inquisition, Spanish; Jews, Attitudes toward; Jews, Expulsion of (Spain; Portugal); Khmelnytsky Uprising; Messianism, Jewish; Shabbetai Tzevi.
**Bibliography**
Baron, Salo Wittmayer. *The Jewish Community: Its History and Structure to the American Revolution*, 3 vols. Philadelphia, 1942.
Bonfil, Roberto. *Jewish Life in Renaissance Italy*. Translated by Anthony Oldcorn. Berkeley, 1994.
Halpern, Israel. *The Jews of Poland* (Hebrew). 2 vols. Jerusalem, 1948–1953.
Hannover, Nathan Nata. *The Abyss of Despair: The Famous Seventeenth Century Chronicle Depicting Jewish Life in Russia and Poland during the Chmielnicki Massacres of*
JOANNA I, “THE MAD” (SPAIN) (1479–1555), third child and second daughter of Isabella of Castile and Ferdinand of Aragón, and mother of the Emperor Charles V. The marriage agreement of Isabella and Ferdinand had stipulated that Ferdinand could not inherit the crown of Castile if Isabella died before him. It would pass instead to their legitimate heirs, who could include their daughters since in Castile women were allowed to exercise sovereign power. Intelligent and well educated, Joanna also showed signs of rebelliousness and mental instability that troubled her parents. Nonetheless, in 1502 Isabella and Ferdinand secured the cooperation of the Castilian Cortes in recognizing Joanna as proprietary heiress of Castile (her older siblings Isabel and Juan had both already died) and her husband, the Habsburg Philip the Handsome, as her legitimate consort.
When Isabella died in 1504, Joanna and Philip were not in Castile. This allowed Ferdinand to engage in political machinations that portrayed Joanna as mentally unsound and convinced the Cortes to appoint him in her place. A power struggle emerged between Ferdinand and Philip. Philip died in 1496, plunging Joanna into a period of profound mourning (which only exacerbated her tendency toward mental instability). By 1509 Ferdinand had “exiled” his daughter to Tordesillas, where she lived until her death in 1555.
Some recent scholarship has attempted to separate Joanna’s image from the unfortunate appellation of “the Mad,” seeking to demonstrate that she was the victim of the political ambitions of both her father and husband. Despite her exclusion from power, Joanna remained the queen of Castile, reigning jointly after 1516 with her son Charles I (Charles V of the Holy Roman Empire).
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**Joanna I. Portrait by Juan de Flandes, 1500.**
KUNSTHISTORISCHES MUSEUM, VIENNA, AUSTRIA/BRIDGEMAN ART LIBRARY
JOHNSON, SAMUEL (1709–1784), English writer, lexicographer, and critic. Known as “Dr. Johnson,” Samuel Johnson was one of the most complex and important figures of eighteenth-century culture. Renowned particularly for his personality, his contribution to eighteenth-century writing is important both for his scholarly knowledge and for his insight into humanity in its moral and social complexity.
EARLY LIFE AND EDUCATION
The son of Michael Johnson, a bookseller with intellectual ambitions in Lichfield, Staffordshire, Samuel Johnson was born in 1709. When he was three, he was taken to London to be touched by Queen Anne to cure his scrofula, which, along with smallpox, caused lasting disfiguration. Johnson was educated at Lichworth Grammar School and read prodigiously, enjoying Latin authors and Renaissance literature. While at school, he wrote several English and Latin poems and essays, and a distant cousin, the Reverend Cornelius Ford, whom he visited in Worcestershire, encouraged his interests in poetry and classical culture. As a student at Pembroke College, Oxford, Johnson translated Alexander Pope’s “Messiah” into Latin verse, and the poem was published in 1731.
Due to the family’s increasing poverty, Johnson completed only one year toward his degree at Oxford, a prevailing source of unhappiness throughout his life. Faced with unemployment, Johnson grudgingly helped in his father’s bookshop for two years. The drudgery was compensated for by his friendship with the Reverend Gilbert Walmesley of Lichfield, who encouraged Johnson’s literary ambitions.
Johnson taught briefly at Market Bosworth Grammar School in Leicestershire but quarreled with his employer and moved to Birmingham in 1733. He lived with a former school friend, Edmund Hector, and earned money writing for the *Birmingham Journal*. He translated the Portuguese Jesuit Jeronymo Lobo’s *Voyage to Abyssinia* in 1735. In the same year he married Elizabeth Porter, a widow twenty-five years his senior, and opened a boarding school in Edial, near Lichfield; the school failed, perhaps as a result of the combination of Johnson’s indifference to teaching and his physical deformity.
LONDON, JOURNALISM, AND BIOGRAPHY
In 1737 Johnson traveled with David Garrick (a former pupil who was to become the most famous actor of his time) to London, where Johnson was to spend the rest of his life. He found employment as a journalist with the printer Edward Cave, the founder of *The Gentleman’s Magazine*, and later commented, “No one but a blockhead wrote except for money.” Johnson almost certainly influenced the journal’s development as an authoritative source of information. He contributed book reviews on
several subjects and wrote reports of parliamentary debates (a forbidden practice) under the title of *Debates of the Senate of Magna Lilliputia*, which was a blend of both fact and Johnson’s own views presented in his own words. After writing satirical pamphlets that were critical of Prime Minister Robert Walpole, Johnson went into hiding in Lambeth under a false name because his arrest had been ordered.
Johnson secured literary success with *London*, a satirically exuberant poem on the excesses and corruption of London life. Between 1738 and 1744 he also wrote short biographies of historical and naval figures. He helped to catalogue the Harleian library, a collection of books by the first earl of Oxford, writing an influential preface on cataloguing as essential in helping scholarly investigation. Johnson collated *The Harleian Miscellany*, a series of pamphlets on the political controversies in sixteenth- and seventeenth-century Britain, and wrote a preface to his collation. In 1744 he wrote an extended biography, *A Life of Richard Savage*, a passionately written defense of his friend, a struggling poet who had died in poverty in 1743.
**LEXICOGRAPHER, LITERARY CRITIC, AND POET**
Johnson’s ambition to be an authority on language and literature is realized in his most important work. In 1747, he produced a plan for *A Dictionary of the English Language* addressed to statesman Philip Dormer Stanhope (Lord Chesterfield), who ignored Johnson and sent him £10. Johnson wished to provide a work of reference “for the use of such as aspire to exactness of criticism, or elegance of style” (Preface, 1756). His intention was to stabilize the language, for example in usage and pronunciation, but not to impose rigid rules like the dictionaries of the continental academies. Johnson’s dictionary elucidates the different meanings of words through close examination of the use of quotations from celebrated and authoritative authors. The dictionary’s diversity reflects Johnson’s wide reading to find illustrative quotations, which were transcribed with the help of six amanuenses. In a famous letter to Lord Chesterfield, Johnson refused his offer of patronage after the dictionary was published to high critical acclaim in 1755 and an abridgment published in 1756. The abridged version became the standard dictionary until the publication of Noah Webster’s in 1828.
*The Vanity of Human Wishes*, an imitation of the Latin poet Juvenal’s tenth satire, was published in 1749; the tone and vision of the poem has been debated by critics as reflecting either pessimism at human vanity or hope for humanity’s redemption. Although Johnson was disillusioned with the judgment of theater producers about its value as a tragedy, his play *Irene* was produced by David Garrick in 1749. It earned Johnson £300. Johnson also established a twice-weekly periodical, *The Rambler* (1750–1752), writing critical essays on many topics such as the English novel. Between 1758 and 1760, he produced for the *Universal Chronicle, or Weekly Gazette* a series of essays called *The Idler* that were lighter in tone. He also edited and wrote reviews for *The Literary Magazine*. Opposed to the Seven Years’ War, Johnson wrote sporadic pieces attacking the war. To pay the expenses of his mother’s illness, Johnson rapidly wrote *Rasselas, Prince of Abyssinia*, (1759) a philosophical “Oriental” novella. Because of his scholarly successes, Johnson was awarded an honorary M.A. by Oxford University in 1755 and an LL.D. by Dublin University in 1765. The need to support himself by writing was relieved in 1762, when he (controversially) accepted an annual pension of £300 from Lord Bute’s ministry.
**JAMES BOSWELL AND LATER YEARS**
In 1763, Johnson became acquainted with a young Scot named James Boswell, who became his friend and his biographer. Johnson’s expanding social life saved him from the bouts of melancholia and depression he suffered. Acquainted with almost all the leading political and literary figures of the time, in 1764 he formed the Literary Club, whose members included Joseph Banks, Edmund Burke, David Garrick, Edward Gibbon, Richard Brinsley Sheridan, Adam Smith, and James Boswell, who recorded their conversations. Johnson befriended Robert Chambers, a lawyer, who asked his help in composing a course of lectures on common law to deliver to Oxford undergraduates. The degree to which Johnson helped write the fifty-six lectures remains undetermined. In the same year he met the Welsh writer Hester Lynch Thrale (later Piozzi), with whom he developed a close friendship, and traveled to Wales and to France with her family. Her *Anecdotes of*
Johnson (1786) and *Letters to and from Johnson* (1788), as well as her diaries, have provided rich material for Johnson’s biographers. In 1765, Johnson finally published an edition of Shakespeare’s plays, which is the first variorum edition, providing the notes of previous editors to aid or sometimes correct interpretation. His preface to the edition demonstrates Johnson’s excellence at close critical reading.
In 1773, Johnson traveled with Boswell to the Hebrides, recorded in his *Journey to the Western Islands of Scotland* (1775) and in Boswell’s *Journal of a Tour to the Hebrides* (1785). At the urging of a number of London booksellers, Johnson agreed in 1777 to write *Prefaces, Biographical and Critical to the Works of the English Poets* (later known as *The Lives of the Poets*), which was published 1779–1781. The monumental work discussed fifty-two of the most celebrated English writers and displayed Johnson’s powers of literary criticism and insight.
Johnson died in December 1784 and was buried in poets’ corner in Westminster Abbey. His fame followed him with the appearance of his letters and several biographies after his death, most notably James Boswell’s *The Life of Samuel Johnson* (1791).
*See also* Boswell, James; Dictionaries and Encyclopedias; English Literature and Language.
**BIBLIOGRAPHY**
*Primary Sources*
Johnson, Samuel. *A Dictionary of the English Language*. London, 1755.
———. *Early Biographical Writings of Dr. Johnson*. Edited by J. D. Fleeman. Farnborough, U.K., 1973.
———. *The History of Rasselas, Prince of Abyssina*. Edited by J. P. Hardy. Oxford, 1999.
———. *Journey to the Western Islands of Scotland*. Edited by J. D. Fleeman. Oxford, 1985.
———. *The Letters of Samuel Johnson*. Edited by Bruce Redford. 5 vols. Princeton, 1992.
———. *Samuel Johnson: Political Writings*. Edited by Donald J. Greene. New Haven, 2000.
———. *Samuel Johnson: The Major Works*. Edited by Donald J. Greene. Oxford, 2000.
———. *The Yale Edition of the Works of Samuel Johnson*. 16 vols. currently published. New Haven, 1958–.
*Secondary Sources*
Boswell, James. *Boswell’s Life of Johnson, together with Boswell’s Journey of a Tour of the Hebrides and Johnson’s Diary of a Journey into North Wales*. Edited by George Birkbeck Hill and revised by L. F. Powell. Oxford, 1934–1964. Important posthumous biographies of Johnson, invaluable for its detail.
Clingham, Greg. *The Cambridge Companion to Samuel Johnson*. Cambridge, U.K., 1997. Fifteen essays discussing politics, religion, travel, women, imperialism and many other topics.
Greene, Donald. *Samuel Johnson*. Boston, 1989. Useful introductory guide to the range of Johnson’s work and influence. See also Greene’s critical introduction to *Samuel Johnson: A Critical Edition of the Major Works*. Oxford, 1984.
Hart, Kevin. *Samuel Johnson and the Culture of Property*. Cambridge, U.K., 1999. Explores the critical emergence of “The Age of Johnson” in relation to Johnson’s literary reputation as a public commodity.
Korshin, Paul J., and Jack Lynch, eds. *The Age of Johnson: A Scholarly Annual*. New York, 1987–. Periodical published once a year focusing on Johnson and his influence.
Venturo, David F. *Johnson the Poet: The Poetic Career of Samuel Johnson*. Newark, N.J., 1999. First monograph focusing on all of Johnson’s poetry.
**Max Fincher**
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**JOINT STOCK COMPANIES.** *See Trading Companies.*
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**JONES, INIGO** (1573–1652), English architect. Inigo Jones was important for introducing Italian design into a country that was only haphazardly acquainted with the forms of Renaissance architecture. He was also responsible, from 1605 to 1640, for staging over fifty masques and plays for the royal court, often in collaboration with Ben Jonson; many surviving drawings show how well acquainted he was with stage designs from Florence and the Medici court. Jones was born in London, the son of a Welsh clothworker. Nothing is known of his early life but he is first recorded in 1603 as a picturemaker, working for the 5th earl of Rutland, with whom he perhaps went on a diplomatic mission to Denmark. But it was also about this time that he first traveled to Italy, perhaps in the entourage of Frances Manners, the earl’s brother.
Jones’s first architectural designs date from about 1606 and show that by then he had already
acquired a knowledge of the work of architects like Andrea Palladio and Sebastiano Serlio. In 1610 he was appointed surveyor to Henry, Prince of Wales, and it was during this period that he may have worked on some internal alterations at St. James’s Palace. In 1612, after the death of the prince, Jones came into contact with the duke of Arundel, an important patron and collector of art, in 1613–1614 accompanying him to Italy, to deepen further his knowledge of architecture. It was on this trip that Jones acquired his first drawings by Palladio. When, in 1615, he was appointed surveyor of the king’s works, he was now ready to design works of his own. Through the generous patronage of King James I, he was able to design a small, but important, number of buildings: the Queen’s House at Greenwich (1619–1635), the Queen’s Chapel at St. James’s Palace (1617–1618), and the Banqueting House, Whitehall (1619–1622). Nothing like these buildings, in their strict, spare Italianate forms, had ever been seen in England, and their style was perhaps at first difficult for many to appreciate.
From about 1618 to 1640 Jones was also busy on two other major projects: the repair of St. Paul’s Cathedral, London, and the square and houses that he built for the Earl of Bedford on property the earl owned at Covent Garden. The work Jones did at St. Paul’s Cathedral was destroyed in the fire of 1666, but, especially in its vast Corinthian portico, it represented a new and grander Roman style of architecture, defining church architecture in ways that would be especially important for Christopher Wren when he also worked at St. Paul’s and later designed other London churches. At Covent Garden, where Jones designed St. Paul’s Church, the first classical church in England, his opportunities were limited. But in the plan, and in the design of the houses around the square, borrowed from what he had seen in Paris and Livorno, Jones defined a pattern of
Jones’s grandest project was for a vast palace at Whitehall, modeled on both the Escorial in Spain and the Louvre in Paris. And if nothing came of his plans because of the financial and political difficulties of King Charles I, what Jones suggested, as documented in his preparatory drawings, affected all the later designs done on this important site. Jones was also involved with several projects for country houses, the most important being Wilton House, Wiltshire, where the south front, begun by Isaac de Caux about 1636, was much influenced by his ideas. In a series of designs from this time, none of which were executed, Jones defined a restrained, undecorated style that was used in many of the buildings of this kind designed in England after the Revolution of 1688–1689.
The political misfortunes of Charles I affected Jones very directly; in 1643 he was dismissed as surveyor of the king’s works. He received no further commissions after this, but when he died, he was able to leave a considerable sum of money to John Webb, his pupil and assistant, who had married one of his relatives. It was also to Webb that Jones bequeathed his drawings, which were later acquired by Lord Burlington in the 1720s and then used to define the revival of Palladio in England in the eighteenth century. Over forty volumes from Jones’s library, many with his annotations, now reside at Worcester College, Oxford, and have been used extensively by scholars; many of his drawings for masques and stage designs passed through Lord Burlington to the dukes of Devonshire and are presently preserved at Chatsworth.
See also Britain, Architecture in; London; Palladio, Andrea, and Palladianism; Wren, Christopher.
BIBLIOGRAPHY
Primary Sources
Chaney, Edward. *Inigo Jones’ Roman Sketchbook*. Facsimile of the original manuscript at Chatsworth. Forthcoming.
Harris, John, and Gordon Higgott. *Inigo Jones: The Complete Architectural Drawings*. New York, 1989.
Peacock, John. *The Stage Designs of Inigo Jones: The European Context*. Cambridge, U.K., and New York, 1995.
Secondary Sources
Summerson, John. *Inigo Jones*. London, 1966. Reprinted, New Haven and London, 2000.
———. “The Surveyorship of Inigo Jones, 1615–43.” In *History of the King’s Works*, edited by H. M. Colvin, vol. 3, pp. 129–160. London, 1975.
DAVID CAST
JONSON, BEN (1572–1637), English playwright and poet. A highly influential dramatist of Jacobean London and the court of his day, Jonson was a colorful character of early theater history. His plays communicate much about the vicissitudes of life for those who shared the playwright’s time and place. Jonson’s father was a clergyman; his death a month before Jonson’s birth was to affect the playwright’s early life, for Jonson’s mother soon married a master bricklayer, Robert Brett. Jonson was educated at Westminster School, where the antiquary William Camden, who was the master, became his intellectual inspiration. It is not certain, however, how long Jonson remained at school. According to the Scottish poet William Drummond of Hawthornden (1585–1649), friend and recorder of his conversations, Jonson was “taken” from Westminster and began an apprenticeship in bricklaying. He left London briefly to serve as a soldier in the Low Countries, but by 1594 he had returned. He married, and in 1595 he entered the Tylers and Bricklayers Company.
Soon after this he was writing and performing as an actor with the Earl of Pembroke’s Men. In 1597 the company got into trouble for presenting *The Isle of Dogs* (now lost), a seditious play that Jonson finished for Thomas Nashe, and subsequently they had to disband. Jonson was constantly at odds with the authorities. In 1598, the same year that he produced his highly successful comedy, *Every Man in His Humour*, for Shakespeare’s company, the Chamberlain’s Men, he killed an actor called Gabriel Spencer in a duel. When arraigned for the offense, he successfully pleaded “benefit of clergy”—that is, he escaped a hanging due to his ability to read. While in prison for this offense, he became a Catholic, though he reverted to the Protestant faith twelve years later.
Jonson was frequently punished for the subject matter of his plays, which were often interpreted as being too satirically interested in national or court politics. In response to his tragedy *Sejanus His Fall*,
performed at the Globe in 1603 and published in 1605, he was suspected of portraying the political crimes of Robert Devereux, the earl of Essex. He was jailed in 1605 with George Chapman (1559–1634) and possibly John Marston (c. 1575–1634), collaborators with him on the London satire, *Eastward Ho!*, because it alluded to King James I’s acceptance of payments for knighthoods. Despite these troubles, Jonson always seemed to emerge unharmed, and ultimately he excelled within the context of court entertainment. This is borne out by the success of his many masques, written for members of the court to perform. Some of these were produced in collaboration with the designer and architect Inigo Jones (1573–1652). In 1616 he was given a royal pension that was similar, in today’s terms, to being granted the post of “poet laureate” in England. Thereafter he styled himself “the King’s Poet.”
His principal dramatic works, other than those already mentioned, include satirical pieces like *Cynthia’s Revels* (1600) and *Poetaster* (1601)—both contributing to a perceived dialogue among the playwrights, or what has been called “the war of the theaters” played out between Jonson, Marston, and Thomas Dekker. Other satires include *Every Man Out of His Humour* (1599), *Epicene, or the Silent Woman* (1609), *The Devil Is an Ass* (1616), and the rumbustiously carnivalesque *Bartholomew Fair* (1614). The most famous of the playwright’s works are undoubtedly *Volpone, or the Fox* (1606) and *The Alchemist* (1610), which are regularly produced on the stage to this day.
Jonson also wrote poetry including his *Epigrams* and a selection called *The Forrest*. These were published in his collected *Works* of 1616. Another selection of verse called *Underwoods* was published in a collection in 1640. This also included *Timber; or Discoveries made upon Men and Matter*, a prose work that comprised some personal musings on texts he had read. Jonson is best remembered for plays that, while showing his audience the world in which they lived, drew heavily on classical influences. These sources were often noted in the margins of Jonson’s published works—nowhere more so than in the collection that he himself put together, the folio of 1616. Never before had there been such a publication, which included dramatic works written in English, and it was this endeavor that probably inspired the production of Shakespeare’s First Folio of plays in 1623. Jonson demonstrated perceptiveness and foresight concerning the universal nature of Shakespeare’s work when he wrote in a prefatory poem to his dead friend’s collection that Shakespeare’s plays were “not of an age, but for all time!” Jonson’s plays belonged to early modern London and to England’s court, and therefore to his age.
In 1623, Jonson suffered the catastrophe of seeing many of his papers burned in a fire. Although he continued to write into the Caroline period, he never regained the favor he had once won at court. In 1628 this extraordinary personality suffered a paralytic stroke, and he died in 1637 plagued by ill health and financial insecurity. He is buried in Westminster Abbey under a tombstone bearing the inscription, “O rare Ben Jonson.”
*See also* Drama: English; English Literature and Language; Shakespeare, William.
**BIBLIOGRAPHY**
*Primary Sources*
Jonson, Ben. *The Poetaster, or, The Arraignment; Sejanus, His Fall; The Devil Is an Ass, The New Inn, or, The Light Heart.* Edited by Margaret Jane Kidnie. Oxford and New York, 2000.
———. *Three Comedies: Volpone, The Alchemist, Bartholomew Fair.* Michael Jamieson, ed. London and New York, 1966.
Jonson, Ben, George Chapman, and John Marston. *Eastward Ho!* Edited by C. G. Petter. London and New York, 1994. Originally published London, 1973.
*Secondary Sources*
Kay, W. David. *Ben Jonson: A Literary Life.* Basingstoke, U.K., and London, 1995.
Shakespeare, William. *The First Folio of Shakespeare.* Prepared by Charles Hinman; 2nd ed. New York and London, 1996.
Eva Griffith
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**JOSEPH I (HOLY ROMAN EMPIRE)** (1678–1711; ruled 1705–1711), Habsburg emperor. Joseph I’s reign was dominated by the War of the Spanish Succession (1701–1714), which pitted Bourbon France and Spain against the “Grand Alliance” led by Austria and the Maritime Powers. Born to Emperor Leopold I and Eleonore of the
Palatinate-Neuburg, Joseph’s upbringing was notable for the absence of Jesuit influence and the resurgence of German patriotism during lengthy struggles against France and the Ottoman Empire. In 1699 he married Wilhemine Amalie of Brunswick-Lüneburg, who his parents hoped would tame his youthful excesses, which included wild parties and a string of indiscriminate sexual escapades. He was soon admitted to the privy council, where he became the center of a “young court” of reform-minded ministers eager to resolve the daunting financial and military crises that confronted the monarchy during the opening years of the war, which Leopold had entered to secure the far-flung Spanish inheritance for his second son, Archduke Charles (the future Holy Roman emperor Charles VI). Their first victory came in 1703, with the appointments of Prince Eugene of Savoy and Gundaker Starhemberg to head the war council (*Hofkriegsrat*) and treasury (*Hofkammer*). Shortly afterward, John Churchill, the duke of Marlborough, was induced to march a British army into southern Germany, where it combined with imperial troops in destroying a Franco-Bavarian force at Blenheim (August 1704).
Although the great victory saved the monarchy from imminent defeat, Joseph had to overcome a succession of new challenges after succeeding his father (5 May 1705), which included the need to wage war on multiple fronts in Germany, the Spanish Netherlands, Italy, the Low Countries, and Spain, while simultaneously suppressing a massive rebellion in Hungary led by Prince Ferenc II Rákóczi. Joseph’s strong German identity informed vigorous initiatives within the empire, including reform of the Imperial Aulic Council (*Reichshofrat*) and the banning of several renegade German and Italian princes who had sided with the Bourbons. Yet he gave little assistance to the imperial army fighting along the Rhine frontier or to the Maritime Powers campaigning in the Low Countries. Instead, he focused his resources (together with considerable Anglo-Dutch loans) on Italy, which Prince Eugene delivered in a single stroke at the battle of Turin (1706), after which the French evacuated northern Italy, much as they had abandoned Germany after Blenheim. A small force expelled Spanish forces from Naples the following spring. Joseph’s other principal concern was Hungary, where Rákóczi had aroused widespread support against Leopold’s regime of heavy taxation and religious persecution. Although Joseph dissociated himself from his father’s policies and promised to respect Hungary’s liberties, he refused Rákóczi’s demand that he cede Transylvania as a guarantee against future Habsburg tyranny. As a result, the war dragged on for eight years, as Joseph committed roughly half of all Austrian forces to the difficult process of reconquering the country. Once victory was assured, relatively generous terms were granted the rebels at the peace of Szatmár (April 1711), signed just ten days after Joseph’s death.
With Italy secured and the Hungarian rebellion under control, Joseph shifted his attention to the last and least pressing of his war aims—his brother’s acquisition of the rest of Spain’s European and American empire. Prince Eugene and a small force were sent to join Marlborough’s Anglo-Dutch army in the Spanish Netherlands, most of which fell after their victory at Oudenarde (1708). Joseph also instigated a short war with Pope Clement XI at the end of 1709, forcing him to recognize Charles as king of Spain. By 1710, the first Austrian troops were fighting alongside their British, Dutch, and Portuguese allies in Spain itself. Nonetheless, a combination of logistical difficulties, timely French
reinforcements, and the Spanish people’s dogged support for the Bourbon claimant, Philip V, doomed the allied effort. Unsuccessful peace negotiations at The Hague (1709) and Gertruydenberg (1710) failed to deliver what the allies could not win for themselves. Finally, a new British cabinet initiated secret peace talks with Louis XIV at the beginning of 1711, foreshadowing the Peace of Utrecht two years later.
Despite his untimely death from smallpox (17 April 1711), Joseph attained his two main objectives: securing an Italian glacis to the southwest and reconciling Hungary to Austrian domination, albeit with constitutional safeguards. Indeed, both achievements endured until 1866. Much of his success rested with a talent for choosing and managing able ministers to whom he could delegate much of the responsibility for realizing policy objectives. At the same time, Joseph jeopardized these gains through extramarital liaisons, which prevented his wife from bearing children after he gave her a venereal infection in 1704. Although he was survived by two daughters, the absence of a male heir foreshadowed the dynasty’s extinction in 1740.
See also Habsburg Dynasty; Leopold I (Holy Roman Empire); Rákóczi Revolt; Spanish Succession, War of the (1701–1714); Utrecht, Peace of (1713).
BIBLIOGRAPHY
Hengelmüller von Hengervár, Ladislas, Freiherr. *Hungary’s Fight for National Existence; Or, the History of the Great Uprising Led by Francis Rakoczi II, 1703–1711*. London, 1913.
Ingrao, Charles W. *In Quest and Crisis: Emperor Joseph I and the Habsburg Monarchy*. West Lafayette, Ind., 1979.
McKay, Derek. *Prince Eugene of Savoy*. London, 1977.
CHARLES INGRAO
JOSEPH II (HOLY ROMAN EMPIRE) (1741–1790; ruled 1765–1790), the eldest son of Empress Maria Theresa (ruled 1740–1780) and Francis of Lorraine (ruled 1745–1765), succeeded his father on the imperial throne in 1765, after which he acted as co-regent with his mother in ruling the Habsburg domains. Although the imperial dignity meant little in the non-Habsburg lands of the Holy Roman Empire, it was of real importance within the Austrian domains. These were held together constitutionally only by the person of the emperor and the Pragmatic Sanction of 1713, in which Emperor Charles VI (ruled 1711–1740) had declared the Austrian lands to be indivisible and that the various titles and thrones would descend to his daughter Maria Theresa. To this minimal constitutional framework Maria Theresa added the Council of State (Staatsrat) in 1762, part of a continuing effort to strengthen the central administration of her lands. Her constant policy, which her son would accelerate, was to increase royal power at the expense of provincial autonomy.
The domains that Maria Theresa and Joseph II ruled were the most diverse in all of Europe. Belgium belonged to the Habsburgs, as did some Italian provinces, the Duchies of Austria, Styria, Carniola, Carinthia, the kingdom of Bohemia, Croatia, the kingdom of Hungary, and other assorted lands and duchies. All spoke different languages, had different histories, laws, and customs, and were accustomed to being ruled according to their own traditions. Maria Theresa and Joseph II made it their overriding political aim to bring together administratively provinces and kingdoms that were otherwise separate, and which defended local privileges and immunities with tenacity and vigor.
Maria Theresa and Joseph II had two aims in their efforts to strengthen the central monarchy at the expense of provincial autonomy. The first, and easier to obtain, was centralization, which involved transferring political decision-making power from local notables to the royal councils. The second, much more difficult aim was uniformity, which meant treating all provinces and all social and legal classes alike in matters of law and administration. These policies constituted the core of enlightened despotism, in which reforms and modernization were imposed from above upon often hostile and unappreciative subjects. As enlightened despots, Maria Theresa and Joseph II had good intentions. For Maria Theresa, the difficulties in achieving centralization and especially uniformity had made her cautious, but Joseph was impatient, and his enlightened rationalism was as absolute as his despotism.
In 1780, the courteous, modest, diligent, and likeable Joseph II became sole ruler of Austria at the
death of his mother, which enabled him to push his aims as hard and fast as he liked. He had several programs, which he instituted quickly throughout all of his diverse domains. Joseph disliked the independent power of the Roman Catholic Church. He began his reign with an edict of religious toleration (13 October 1781), fulfilling the Enlightenment ideal that religious persecution was squalid, loathsome, and beneath the moral dignity of a modern monarch. This followed the Edict on Idle Institutions (1780), which began the closure of monasteries—ultimately about seven hundred of them—with their property seized to support secular state schools and charitable institutions. Joseph believed in religious liberty for everyone. His general religious opinions may be discerned from his comment that service to God was the same as service to the state.
Joseph combined secularism with reform of the courts and law within the Austrian crownlands. Centralization and uniformity were the basic principles he used to bring order and coherence to the chaos of multiple legal inheritances. He abolished the law that made mixed marriages a crime against religion, and he closed a number of ecclesiastical courts. Beyond these particular changes, Joseph simply nationalized the judicial system. Manorial and municipal courts had their jurisdiction circumscribed, and they came under much closer governmental scrutiny. He established new appellate courts, which were uniform throughout all his lands. He engaged in a favorite project of enlightened rulers and philosophers: codification of the existing welter of medieval law into a modern and coherent code that would apply uniformly to all the realm. He continued the work begun by Maria Theresa, who in 1770 had issued a criminal code, the Nemesis Theresiana. Joseph reformed this further with the Penal Code of 1787 and the Code of Criminal Procedure in 1788. A notable feature of this code was a substantial reduction in the death penalty. He also reformed civil law, with a code of the law of persons and of property in 1786. Finally, he abolished the patrimonial courts in the kingdom of Hungary, establishing new courts of first instance and bringing Hungarian procedure in line with the rest of the Austrian crownlands. Such judicial reform is rarely easy. Joseph’s reforms deeply angered the Hungarian rural nobility, who complained about the loss of their ancestral privileges.
Joseph II departed most dramatically from his mother’s pattern of cautious reform in the area of land and the abolition of serfdom. On 1 November 1781, he abolished some of the worst disabilities of serfdom in the lands of Bohemia and Austria, and he extended these reforms to Transylvania in 1783 and Hungary in 1785. In 1789 he abolished the remaining obligations of serfdom and changed the existing tax structure into a single tax on land. This was the culmination of his social reforms, which turned the serfs from patrimonial into royal subjects.
Joseph had tried to reform everything, never learning that politics is the art of the possible, not the perfect. He appears to have been convinced that imperial power was sufficient to change virtually every aspect of social and communal relationships in the crownlands. A flood of decrees would improve everything. In Joseph’s world, however, inertia had greater power than command. He attempted to use
central power to create the state, whereas it was the state that must come first for the central power to be effective.
See also Austria; Bohemia; Holy Roman Empire; Hungary; Maria Theresa (Holy Roman Empire).
BIBLIOGRAPHY
Beales, Derek Edward Dawson. Joseph II. Cambridge, U.K., and New York, 1987.
Bernard, Paul P. Joseph II and Bavaria: Two Eighteenth-Century Attempts at German Unification. The Hague, 1965.
Gagliardo, John G. Reich and Nation: The Holy Roman Empire as Idea and Reality, 1763–1806. Bloomington, Ind., 1980.
Krieger, Leonard. The German Idea of Freedom: History of a Political Tradition. Chicago, 1972.
Padover, Saul K. The Revolutionary Emperor: Joseph the Second, 1741–1790. New York and London, 1934.
James D. Hardy, Jr.
JOSEPHINISM. The meaning of the term, as well as the origins and nature of Josephinism, have been the objects of one of the most savage controversies in Central European historiography. Initially coined in the nineteenth century to describe the reform program implemented in the Habsburg Monarchy during the reign of Emperor Joseph II (co-regent 1765–1780, ruled 1780–1790), “Josephinism” came increasingly to apply specifically to the measures undertaken against the social, economic, political, and cultural position of the Catholic Church in the monarchy. Definitions have ranged across a broad spectrum, from seeing it as a general ideology of reform—a kind of Austrian variant of the Enlightenment—to interpreting it narrowly as state control over the ecclesiastical sphere. All interpretations have come to agree, however, that the roots of the reform momentum go back to the early eighteenth century, and that the reign of Empress Maria Theresa (ruled 1740–1780) was the critical era during which reform ideas crystallized.
In the seventeenth-century Counter-Reformation, Catholicism was in many ways the integrating ideology of the highly pluralistic patrimony of the Habsburgs. It involved not only a set of confessional dogmas, but broader patterns of thought and culture inextricably intertwined with a social and political infrastructure that had grown out of the economic and social upheavals of the era. When this polity proved unequal to the challenges it faced in the first half of the eighteenth century, the remedial measures undertaken identified confessional issues among the central problems to be addressed. Because of the degree of integration between political and confessional issues in the Counter-Reformation state, however, these reforms were not effected in discrete confessional spheres but had broad social, economic, and political consequences. Political economists argued that confessional policies were responsible for the relative economic underdevelopment of the Habsburg lands, while various ecclesiastical reform movements within the church became increasingly disenchanted with most ritualized form of baroque piety and advocated more internalized forms of worship. Secular, rational, and utilitarian values and a simpler, internalized religious ethos thus came to constitute the backbone of Josephinism.
By the time Joseph II became sole ruler of the Habsburg lands in 1780, all the main features of the “Josephinist” program were already in place. Both the pace and scope of reform accelerated, but even then its most prominent aspects remained those that touched on the religious sphere: the dissolution of about one-third of the monarchy’s monastic institutions with its concomitant confiscation of church property, the proclamations of confessional tolerance for Protestants and Jews, the effective establishment of a civil constitution for the Austrian clergy through state control of seminaries and the wide-ranging reorganization of parishes, and the promulgation of civil marriage and austere burial ordinances. Attitudes underlying these reforms remained alive well into the next century, despite the monarchy’s sharp turn to political conservatism during the Revolutionary and Napoleonic Wars and the subsequent Age of Metternich. Josephinism can thus be seen as one of the most important roots of nineteenth-century Austrian liberalism.
See also Bohemia; Enlightenment; Habsburg Dynasty: Austria; Joseph II (Holy Roman Empire); Maria Theresa (Holy Roman Empire).
JOURNALISM, NEWSPAPERS, AND NEWSHEETS. The earliest printed periodical news publications appeared shortly after 1600. By the end of the seventeenth century, newspapers were being published in every major European country. Together, they constituted a phenomenon new in European history and unique in the world: a system of communication that made the most up-to-date information available, not just to members of government bureaucracies or wealthy elites, but to a socially diverse public that included even those of modest means. Printed periodicals tied Europe’s “Republic of Letters” together, promoted the diffusion of knowledge and of new cultural models, and offered a source of income to the period’s increasing number of writers. As a medium for advertising, periodicals helped promote the growth in consumption that was one of the striking phenomena of the eighteenth century. By 1804, the German journalist and scholar August Ludwig von Schlozer could write that the periodical press was “one of the great instruments of culture through which we Europeans have become what we are.”
Broadsheets (French *canards*, German *Flugblätter* or *Neue Zeitungen*), the earliest printed news publications, began to appear in the sixteenth century, carrying news of unusual occurrences such as battles, royal deaths, and “wonders” such as two-headed calves. Printers produced them irregularly, as the flow of events dictated, and used illustrations and headlines set in oversized type to attract readers. Around the same time, manuscript newsletters, particularly common in Italy, began to offer subscribers a regular flow of reports. Such handwritten newspapers continued to circulate in many parts of Europe until the period of the French Revolution, but soon after the beginning of the seventeenth century, the development of dependable postal systems encouraged the creation of the first printed publications issued on a regular periodical schedule. The earliest known printed newspapers were published in Germany in 1605. In the course of the seventeenth century, the press spread throughout the European continent. The first newspapers appeared in Holland in 1618, England in 1622, France in 1631, Spain in 1641, and Russia in 1702. Events such as the Thirty Years’ War, the Puritan Revolution in England, and the wars of Louis XIV promoted the spread of newspaper publication, producing a flow of constantly changing reports and generating an audience with an intense interest in the latest developments.
Unlike the broadsheets, early modern news gazettes lacked pictures and headlines, and their content consisted largely of dry chronicles of events from the major courts, battlefronts, and trading cities. The earliest news publications appeared at relatively long intervals, sometimes only once a year, but it did not take long for weekly and twice-weekly gazettes to dominate the market. A daily newspaper appeared in Bremen as early as 1650, and although daily publication remained rare before the French Revolution, there was a general trend toward more frequent issues and a greater total volume of content. Publishers quickly learned to help their readers make sense of the news by numbering and dating each issue of the paper, and giving the date and place of origin of each news bulletin they printed. Readers often preserved their newspapers as a permanent chronicle of events, and publishers sometimes provided title pages and even indexes so that the annual collections could be bound as books.
Throughout the early modern period, newspapers continued to be produced on hand-operated wooden printing presses. This technology limited the number of copies that could be printed: a single press could produce at most 3,000 copies of a paper in a day, so that expanding the press run required paying compositors to set a second form of type. In contrast to the leisurely and irregular pace of work in most enterprises of the period, newspaper printers were subjected to strict time constraints and
had to “frequently work as if on a forced march,” as an eighteenth-century typographer put it: the papers had to be ready to be mailed at fixed times. Although the work was demanding, skilled workers could earn more than in ordinary printing shops, and even before the end of the eighteenth century, some publishers offered enticements such as pensions to keep a loyal work force. For the owners of printing shops, newspaper publishing was a way of ensuring a regular income, particularly since most periodicals were sold by subscription, and readers therefore had to pay in advance, in contrast to the purchasers of books. In small provincial towns, a newspaper might be just one of a local printer’s many ways of keeping his presses occupied. At the opposite extreme, the eighteenth century already saw the rise of the first great “press barons,” entrepreneurs who brought together a group of periodicals aimed at different market niches. In the 1770s and 1780s, the French publisher Charles-Joseph Panckoucke (1736–1798) managed to gain control of most of the French national press, including the venerable *Gazette de France* and the country’s leading literary journal, the *Mercure de France*, and to create a “stable” of writers dependent on his patronage.
The news carried in the gazettes attracted a large and varied audience: rulers and their courtiers, military officers, bankers and merchants, all of whom had professional reasons for wanting to know about wars, treaty negotiations, and unusual developments in foreign states, as well as general readers motivated by simple curiosity. Kaspar Stieler (1632–1707), whose *Zeitungs Lust und Nutz* (1695) was the first book about newspapers, claimed that they were read by many artisans and also discussed their influence on women. Newspapers were the most popular reading matter in the coffeehouses, cafés, and reading rooms that began to spring up in major European cities in the late seventeenth century and then spread across the continent. Numerous sources describe the animated discussions that resulted from this kind of public reading: newspapers were the essential fuel for the verbal interactions that produced the phenomenon of public opinion.
Early journalists, such as Théophraste Renaudot (1586–1653), creator of the *Gazette de France*, had recognized that the newspaper could also serve an important economic function by carrying advertising. In addition, many newspapers regularly reported the prices of commodities and other economic information. In most continental countries, advertising was printed primarily in newspapers licensed specially for that purpose (French *affiches*, German *Intelligenzblätter*), but in eighteenth-century England, a tradition developed of newspapers combining commercial advertising and political news. These mixed publications had a stronger revenue base than most of their continental rivals and pointed toward the form that the newspaper would take throughout the world in the nineteenth and twentieth centuries.
Whereas gazettes dealt largely with political news, periodical magazines, of which the first was the French *Journal des Savans*, founded in 1665, showed that the periodical form could also be adapted to carry many kinds of cultural information. Whereas newspapers did not change greatly in form and function before the end of the eighteenth century, magazines became increasingly varied. Less tied to the immediate flow of events than newspapers, they appeared at less frequent intervals and were often aimed at more limited audiences. Book reviews, literary journals, periodicals aimed at particular professions and at audiences such as women and peasants all appeared in the course of the eighteenth century. Joseph Addison (1672–1719) and Richard Steele’s (1672–1729) *Spectator* (1711–1714), which offered witty commentary on middle-class urban life, served as a model for dozens of imitators throughout Europe.
The profession of journalist developed more slowly than the press itself. Early news gazettes were frequently compiled by entrepreneurs who also engaged in other activities, such as postmasters, who had privileged access to incoming news, or printers. By the eighteenth century, some writers were able to make a living from editorial work alone, but journalists were disparaged as mercenaries who prostituted their talents for pay, and they therefore had a strong incentive to present themselves as “men of letters” rather than identifying themselves with the periodical industry. Voltaire’s article in Diderot’s *Encyclopédie* urging that “a good gazetteer should be promptly informed, truthful, impartial, simple, and correct in his style” shows that the elements of what would later become journalism’s professional ethic were taking shape, but Voltaire
also complained that few journalists measured up to these standards. In spite of its low prestige, newspaper work provided an important source of income for many eighteenth-century writers, and positions such as the editorship of the *Gazette de France* were much-coveted patronage plums. Editing journals and magazines generally paid less well, but by the end of the seventeenth century it had become one way in which individuals could establish important positions in the “Republic of Letters.” Pierre Bayle’s *Nouvelles de la République des lettres*, founded in 1684, provided one of the first demonstrations of this possibility and inspired imitators throughout the eighteenth century.
Rulers took a strong interest in the press from the outset. Throughout most of Europe, publishers needed a license or privilege to create a periodical. They were usually required to submit to censorship and to pay an annual fee to publish, but in exchange they enjoyed a protected monopoly on publication in their native region. Although governments routinely censored the press to prevent the circulation of items that might cause unrest in the population or embarrassment at court, their interest in the press also had a positive side. At a time when the notion of the reporter was unknown, publishers often depended on their local government to furnish them with foreign news culled from diplomatic dispatches. Each major government sponsored its own official gazette to present the news in the fashion most favorable to its own interests. By the eighteenth century, most rulers saw that periodicals could serve useful functions by publicizing new laws and edicts and by circulating economic information; French *intendants* often played key roles in establishing provincial *affiches*. Through the fees they paid for their privileges and for postal delivery, periodicals were also a source of income for governments.
The development of the press in England differed from the pattern on the continent. In 1695, the Licensing Act that had restricted press freedom was allowed to lapse, making England the only country where publishers could establish periodicals without prior permission. As a result, England became the only country where the press took on a clear political coloration, with Whigs and Tories subsidizing editors to promote their points of view. The absence of restrictions also gave free reign to entrepreneurial initiative in England. Many of the country’s provincial newspapers, for example, were established by local bookstore owners, who used them to advertise their wares. The British press was not completely unfettered: a stamp tax on printing paper kept prices high and discouraged the poor from subscribing, and frequent libel prosecutions had a deterrent effect on most journalists and publishers. Summaries of debates in Parliament were not permitted until the 1780s. Continental visitors were nevertheless struck by the outspokenness of British periodicals and their wide audience.
Although the absence of regulation made the English press unique, its influence on the Continent was limited. In international affairs, the most important newspapers of the eighteenth century were the so-called *gazettes d’Hollande*, journals published in French but produced in the Netherlands or in other parts of Europe where the censorship systems of the major powers did not reach. Although they depended on privileges granted by their city governments, publications such as the *Gazette d’Amsterdam* and the *Gazette de Leyde* were normally accorded considerable latitude in their coverage of events in other countries. Founded in many cases by members of the Huguenot diaspora during Louis XIV’s reign (1643–1715), they remained a major part of public life in Europe throughout the eighteenth century. Unable to prevent their circulation, rulers sought to influence them instead by courting their editors, offering them confidential information, and negotiating favorable postal rates. Since French was an international language, these gazettes found readers throughout the European world. Under the editorship of Étienne Luzac from 1738 to 1772 and his nephew Jean Luzac from 1772 to 1798, the *Gazette de Leyde* occupied the position of Europe’s “newspaper of record.” “By water and land it was sent to the most distant countries; it was read with the same intense interest at the gates of the Seraglio and on the banks of the Ganges, and copied from by almost all other newspaper editors . . . ,” wrote one observer.
Censorship restrictions kept newspapers published in the Holy Roman Empire from reporting as comprehensively as the international French-language press, but more newspapers were published in the German-speaking world than in any other part of Europe: at least 93 in 1750, and 151 by
1785. The most successful of these, the *Hamburgische Unparteyische Correspondent*, may have reached a press run of 20,000 by the time of the French Revolution. The large number of newspapers in Germany, and the correspondingly impressive number of journals and magazines, reflected both the area’s division into many political units and the relatively high level of literacy in the population. By the 1780s, some German publishers were even putting out newspapers aimed explicitly at the peasant population.
Under normal conditions, governments throughout Europe were able to control the periodical press more easily than certain other forms of printing, such as pamphlets, which could be circulated anonymously. Anxious not to jeopardize their privileges and dependent on postal systems to deliver their products, publishers had strong incentives not to antagonize the authorities. The century saw few genuine examples of underground or subversive periodicals. The outstanding example was the French *Nouvelles ecclésiastiques*, the voice of that country’s Jansenist religious minority, which successfully defied the police from 1728 down to the Revolutionary era. This feat was only possible, however, because the paper spoke for a well-organized and strongly committed group that included many influential elite members.
When public authority broke down, however, the door was opened for “media revolutions” in which periodicals became instruments for political agitation. The poet John Milton (1608–1674) served as a newspaper editor during the English Civil Wars of the 1640s, and the impact of his contemporary Marchamont Needham’s (1620–1678) journalism was still remembered by the journalists of the French Revolution. Periodicals played important roles in the “democratic revolutions” of the second half of the eighteenth century, particularly the revolt in Britain’s North American colonies and the Dutch Patriot movement of the 1780s. The greatest example of the press’s role in a crisis was the French Revolution of 1789. At the start of that year, there had been only four newspapers published in Paris, only one of them a daily; before the end of 1789, 140 new titles had been founded, and readers had a choice of several dozen dailies representing a wide spectrum of political views and writing styles. This journalistic explosion increased readership; newspapers read aloud even reached illiterate sections of the population. Leading journalists commanded salaries that dwarfed what pre-Revolutionary writers had made from their books, and many of them, most notably Jean-Paul Marat (1743–1793), used their papers to launch political careers.
The French Revolution and the wars that resulted from it brought about fundamental changes in Europe’s press. Although Napoleon restored censorship and licensing of newspapers, press freedom became a central part of liberal programs throughout the Continent. Public demand for news led publishers to experiment with new technologies that would allow larger press runs: in 1814, the London *Times* put the first steam-powered press into service. Such machines allowed periodicals to overcome the limitations on press runs that had characterized the “typographical old regime” of the early modern period and made the development of a true mass press possible. The growth of the press after 1800 was so striking that its early modern predecessors were largely forgotten. Modern scholarship has made it possible to appreciate the important roles that periodical publications played in the politics, culture, and economic life of the seventeenth and eighteenth centuries.
*See also Censorship; Literacy and Reading; Printing and Publishing; Public Opinion.*
**BIBLIOGRAPHY**
Barker, Hannah. *Newspapers, Politics, and Public Opinion in Late Eighteenth-Century England*. Oxford and New York, 1998. A study of the press in the country where it enjoyed the greatest political freedom in the early modern period.
Censer, Jack R. *The French Press in the Age of Enlightenment*. London and New York, 1994. A survey covering the eighteenth century.
Feyel, Gilles. *L’annonce et la nouvelle: La presse d’information en France sous l’ancien régime* (1630–1788). Oxford, 2000. This detailed study of the French regional press demonstrates its important role in the early modern economy.
Lindemann, Margot. *Geschichte der deutschen Presse*. Part 1, *Deutsche Presse bis 1815*. Berlin, 1969. A comprehensive survey of the press in the German-speaking world.
Popkin, Jeremy D. *News and Politics in the Age of Revolution: Jean Luzac’s Gazette de Leyde, 1772–1798*. Ithaca, N.Y., 1989. An analysis of the international news system of the eighteenth century and of its political and cultural impact.
JOURNALS, LITERARY. Literary journals appeared in the seventeenth and eighteenth centuries to provide a growing readership with news and gossip about literary matters and a sampling of contemporary writings. Like novels, coffeehouses, and salons, literary journals appealed to an emerging public keen on fashioning its own cultural tastes and literary opinions.
Though the best-known literary journals, such as *The Tatler* and *The Spectator* in England, were independent publications launched by enterprising men of letters, others, especially early periodicals, originated from official sponsorship. The *Journal des savants*, for example, was created by Jean-Baptiste Colbert in 1665 and combined scientific and technical information with the most noteworthy news from “the Republic of Letters.” The *Mercure galant*, founded in 1672, was also a quasi-official publication: its editor was provided lodgings in the Louvre and received a royal pension. It furnished readers with news of the court and Parisian society, as well as commentary on literary, theatrical, and scientific events. France was not the only nation to give rise to literary journals in the seventeenth century. In Italy the *Journal des savants* served as a model for several *Giornali dei letterati*, which began appearing in 1668.
It was in the eighteenth century that this type of periodical, like newspapers in general, began to appear throughout western Europe, becoming an important feature of urban culture and sociability. Germany had its *Litteratur-Zeitung*; Spain its *Espiritu de los mejores diarios*; Italy its *Giornale dei letterati d’Italia*, published in Venice starting in 1710. Many of these newspapers, especially those in Germany and Spain, had a very limited circulation of only several hundred readers. The *Mercure galant*, however, was distributed in twenty-six provincial towns in 1748 and fifty-five by 1774.
By far the most successful and influential literary newspapers were *The Tatler* (1709–1711), edited by the playwright Richard Steele, and *The Spectator* (1711–1712), a joint venture of Steele and the poet Joseph Addison. Though in part literary in nature, they were “moral” in spirit, aimed at improving manners and fostering sociability in a society increasingly dominated by the competitive spirit of commercialism. The success of these periodicals was enormous: *The Spectator* went from a circulation of 4,000 to around 30,000 in a few months. They also inspired emulators on the Continent despite the fact that the conditions for publication, such as censorship and a limited reading public, were clearly less favorable. The French writer Pierre de Marivaux (1688–1763) took Addison’s journal as his model for the *Spectateur français* (1722). The first German weekly, the *Hamburg Vernunftler* (1713–1740), was also fashioned after the English newspapers. Justus van Effen (1684–1735) began publishing the journal *Le misantrope* in Holland and also published *De Hollandsche Spectator* (1731–1735).
Literary newspapers were integral to the culture of the Enlightenment. Indeed, well-known men of letters, such as Jean-François Marmontel, who edited the *Mercure de France* in 1758–1760, helped transform these publications into organs of Enlightenment, offering fellow philosophes popular and convenient outlets for their ideas. They also served as agents of national integration, bringing the fashion, language, and news of the court and capital to the provinces. But these journals were not simply one-way instruments: they invited readers’ comments and printed their letters, thus fostering discussion and debate. Many of their readers were women. Nearly half of the articles appearing in Addison and Steele’s newspapers addressed female concerns. In France the *Journal des dames*, which specifically aimed at a female readership, was inaugurated in 1759.
Literary journals scrupulously avoided the contentious topics of politics and religion. It was in part because of this that they were able both to flourish and to create a public out of readers who might otherwise find themselves at odds.
See also Addison, Joseph; Colbert, Jean-Baptiste; Journalism, Newspapers, and Newsheets; Steele, Richard.
JUAN DE AUSTRIA, DON (1547–1578), Spanish admiral and governor, known to Elizabethans as Don John. Born in Regensburg, Germany, to commoner Barbara Blomberg, Don Juan, the natural son of Emperor Charles V, was brought to Brussels, where his mother married. In 1550 Charles had the boy, called Jeromín, taken to Spain by a servant couple, and then, in 1554, transferred to the castle of his chief of household, Don Luis de Quijada, and his wife, Doña Magdalena de Ulloa, at Villagarcía de Campos. Before his death, Charles saw Jeromín but did not openly acknowledge his parentage. In 1559 Philip II embraced Jeromín as his brother and renamed him Juan de Austria. Philip did not accord him royal status, though he was ranked before the grandees, but in 1575 he yielded to Don Juan’s being addressed as “Highness.” Charles hoped Don Juan might enter the clergy, but during his education in statecraft alongside Prince Don Carlos and Alexander Farnese, future duke of Parma, he revealed his martial inclinations. When he reached twenty-one in 1568, Philip appointed him Captain General of the [Mediterranean] Sea.
Don Juan returned from his summer at sea to find the court mourning the deaths of the mentally unstable Don Carlos and the queen. Differing with Philip over his place at the queen’s funeral, he withdrew to a monastery. When the Morisco revolt erupted in Granada, Don Juan volunteered to serve as supreme commander over feuding local grandees in March 1569 to suppress it. Quijada, assigned to guide him, was mortally wounded in a skirmish, and a musket ball grazed his own helmet. In subduing the rebellion, he became a skilled general. Blond and handsome, he also became a womanizer. He desired two natural daughters, one in Spain, the other in Naples.
When Philip agreed to a Holy League with Venice and Pope Pius V against the Ottoman Turks in 1570, he sought supreme command for Don Juan. Philip hoped the league might recover Tunis and conquer Algiers, after saving Cyprus for Venice. Don Juan sailed from Barcelona in July 1571 and had the League armada assembled at Messina by September. Unknown to him, Cyprus had been lost. Despite arguments that the season was late, he took the league armada to sea. The 207 galleys of the distrustful allies he mixed in the center, two wings, and rearguard, so that none dared desert. On 7 October 1571 he won a heady victory over the Turks at Lepanto and became a hero to all Christendom.
He hoped to complete the destruction of Turkish sea power in 1572, but Philip II, nervous about developments in France and the Netherlands, kept him and his galleys in the western Mediterranean. Not until September did Don Juan join the Venetian and papal galleys off the Peloponnesus, where forts and cavalry prevented him from destroying the beached Turkish fleet.
Venice quit the league in March 1573, and Don Juan recovered Tunis in October. Advised to dismantle the fortress of La Goleta, which dominated Tunis’s harbor, and level Tunis, Don Juan chose instead to hold La Goleta and erect a citadel in the city. (Critics claimed he hoped the pope would make him king of Tunis.) In summer 1574, while Don Juan was distracted by Genoese politics and French threats, a huge Turkish armada took Tunis and La Goleta. In 1575 Philip declared bankruptcy, limiting Don Juan to raids against Turkish Barbary.
In May 1576 he received orders to proceed directly to the rebellious Netherlands as governor-general and restore peace. In correspondence with his half-sister, Margaret of Parma, once regent there, he expressed fear of such assignment. Other than duty, the only lure, nurtured by the papacy, was the possibility of invading England to liberate Mary Stuart, queen of Scots, and join her on England’s throne. Uncertain about funds and authority, he detoured to see Philip in Spain. Continuing through France in disguise, he reached Luxembourg in November to find that the sack of Antwerp
by mutineers had united the Estates-General (the Netherlands’ parliament) against him. Only by dismissing Philip’s army, (and, thus, the chance to free Mary Stuart), temporizing on religion, and trading on his personal charm did he win acceptance. In May 1577 he entered Brussels. As his instructions allowed no real concessions regarding religion, the Protestant provinces remained defiant. Fearing assassination, in July Don Juan seized Namur in the southern Netherlands and dispatched secretary Juan de Escobedo to Spain to beg the return of the army. Having just received fresh treasure from America, Philip reluctantly agreed.
In December 1577 the army returned with the prince of Parma. In January 1578 they routed the Estates-Generals’ army at Gembloux. In Spain, the king’s unscrupulous and ambitious secretary, Antonio Pérez, bred unjustified suspicions of Don Juan in Philip’s mind, and in March had Escobedo murdered (probably with Philip’s approval). Again, inadequately funded, Don Juan failed before Brussels in July. With success eluding him and unsure of Philip’s trust, he regrouped outside Namur, where, health failing, he died on 1 October 1578. He had served Philip faithfully and, if he failed, it was due to their shared opposition to religious toleration.
See also Charles V (Holy Roman Empire); Lepanto, Battle of; Moriscos; Moriscos, Expulsion of (Spain); Parma, Alexander Farnese, duke of; Philip II (Spain).
BIBLIOGRAPHY
Dennis, Amarie. *Don Juan of Austria*. Madrid, 1966.
Ibañez de Ibero, Carlos, Marqués de Mulhacén. *Don Juan de Austria*. Madrid, 1944.
Stirling-Maxwell, William. *Don John of Austria, or Passages from the history of the sixteenth century*. 2 vols. London, 1883.
Peter Pierson
JUDAISM. See Jews and Judaism.
JÜLICH-CLEVES-BERG. The duchy of Jülich-Cleves was a shifting agglomeration of principalities on the Lower Rhine, a location that, despite its lack of large cities, gave it strategic significance as the gateway from the Low Countries to central and southern Germany. During the late Middle Ages the county of Jülich was raised to the dignity of a duchy in 1356 and expanded by adding the county of Ravensberg in 1346 and the county of Berg in 1348. Meanwhile the county of Cleves was taken over by the county of Mark in 1368 and was then raised to the dignity of a duchy in 1417. In 1511 a strategic marriage joined the duchies of Jülich-Berg-Ravensberg in a personal union with Cleves Mark, creating a territory almost the size of the landgraviate of Hesse or Württemberg.
In an effort to consolidate and expand these holdings, Duke William V (“the Rich,” ruled 1539–1592) took advantage of the death of Charles of Egmont (1467–1538), the last duke of Gelderland, in 1538 and took over lordship of this important province as well, a move that could have had major political and religious implications, creating as it did a direct link between Cleves (on the Netherlandish frontier) and Jülich (between Aachen and Cologne). Duke William also seemed to welcome Lutheran ideas in his lands. In preparation for a possible contest over this expansion, William had pursued a calculated dynastic policy by marrying Jeanne d’Albret of Navarre, the thirteen-year-old
niece of Francis I of France (ruled 1515–1547), while giving his sister Anne of Cleves (1515–1557) to Henry VIII of England (ruled 1509–1547) in 1540. An older sister, Sybilla, had married Elector John Frederick I of Saxony in 1526. However, Emperor Charles V (ruled 1519–1556) reacted energetically to counter such an expansion by exercising a claim that Gelderland belonged to his Burgundian inheritance. Diplomatically he secured the neutrality of France and England and crushed Duke William at Düren in 1543. William the Rich had to subject himself to the emperor, give up all claims to Gelderland, and give up his wife (the marriage with Jeanne d’Albret was annulled in 1545).
In 1546 William married Mary, a daughter of King Ferdinand I of Austria (ruled 1521–1564; emperor 1558–1564), and he learned to practice a more cautious religious policy over the next thirty years. It was long thought that his moderate rule along with the influence of his skeptical physician, Johann Weyer (Wier), protected the duchies from severe witchcraft trials. But research has shown that over a span of 240 years well over two hundred persons were executed as witches, including two as late as 1737–1738.
In 1592, with the death of the duke, the succession of Jülich-Cleves-Berg went to William’s only surviving son, Johann Wilhelm I (ruled 1592–1609), who was already suffering from severe madness. Despite increasingly desperate measures, Johann Wilhelm’s marriage to Jacobe of Baden remained childless, as did his subsequent marriage to Antoinette of Lorraine. It seemed obvious that there would be no direct male heir, and claimants began jockeying for position already in the 1590s. When Johann Wilhelm died in 1609, the two Possidentes (that is, the two claimants already in place at the ducal court in Düsseldorf) were Elector Johann Sigismund of Brandenburg (1572–1619) and Pfalzgraf Wolfgang Wilhelm of Pfalz-Neuburg, both of whom were Lutherans. Emperor Rudolf II (ruled 1576–1612) reacted to prevent an important portion of the empire from going Protestant, and in 1610 the War of the Jülich Succession broke out (with reinforcements on the Protestant side from England, the Netherlands, France, and the Protestant Union). With the assassination of Henry IV of France (ruled 1589–1610), the anti-Habsburg coalition collapsed, but the two Protestant claimants prevailed. Soon enough their collaboration broke down, however, especially after Johann Sigismund converted to Calvinism (1613) and Wolfgang Wilhelm converted to Catholicism (1614).
In the Treaty of Xanten (1614, reconfirmed in 1666) it was agreed that the duchy should be divided, with Cleves, Mark, and Ravensberg going to Brandenburg and Jülich and Berg going to Pfalz-Neuburg. This division was fateful in many ways, for while it extinguished an independent power on the Lower Rhine, it also guaranteed the involvement of two major dynasties in that region: the Hohenzollern of Brandenburg Prussia and the Wittelsbach of the Palatinate and Bavaria. Their rivalry punctuated the history of this region to the end of the eighteenth century. On the death of Elector Maximilian III (Joseph of Bavaria; 1727–1777; elector 1745–1777) in 1777, the presumptive heir Charles Theodore (Karl Theodor) of Pfalz-Sulzbach (1724–1799) even made plans with Emperor Joseph II (ruled 1765–1790) in 1777–1778 to exchange Bavaria for the Austrian Netherlands, which, along with Jülich and Berg, would have once again created a major power on the Lower Rhine and a greatly expanded and consolidated Habsburg territory in the southeast. But Frederick the Great of Prussia (Frederick II, ruled 1740–1786) successfully opposed these plans in the War of the Bavarian Succession (1778–1779, also ridiculed as the “Potato War” because of its military maneuvers without battles). The Prussian-sponsored League of Princes (1785) guaranteed that the Wittelsbach dynasty would remain in possession of Bavaria and would not expand on the Lower Rhine. The Hohenzollern possessions in Cleves and Mark provided a western outpost and later an industrial powerhouse that balanced their overwhelmingly agrarian interests in the German Northeast.
See also Bavaria; Brandenburg; Hohenzollern Dynasty; Palatinate; Prussia; Wittelsbach Dynasty (Bavaria).
BIBLIOGRAPHY
Anderson, Alison D. *On the Verge of War: International Relations and the Jülich-Kleve Succession Crises (1609–1614).* Boston, 1999.
Midelfort, H. C. Erik. *Mad Princes of Renaissance Germany.* Charlottesville, Va., 1994.
JULIUS II (POPE) (Giuliano della Rovere; 1443–1513; reigned 1503–1513), Italian pope. Born at Albissola near Savona in 1443, Giuliano was a vigorous man, suited to a life of action, not contemplation, and destined for an ecclesiastical career under the aegis of his uncle, Francesco della Rovere, who became a cardinal in 1467. Like him, Giuliano was a Franciscan; he studied at a Franciscan friary in Perugia.
The election of his uncle to the papal throne as Sixtus IV (reigned 1471–1484) was swiftly followed in December 1471 by his own promotion to cardinal. Important benefices were bestowed on him, including the see of Avignon, as well as the major curial office of Grand Penitentiary. He welcomed the opportunities for action, including participation in military campaigns, offered by legations to Umbria in 1474 and to France in 1480–1482. His wealth, energy, increasing experience, and taste for politics made him one of the most powerful figures in the College of Cardinals; he was an influential adviser to Pope Innocent VIII (reigned 1484–1492) and a leader of the opposition to the Borgia pope, Alexander VI (reigned 1492–1503). Justifiably fearing arrest, he went into exile in France in 1494, and, after accompanying King Charles VIII of France (ruled 1483–1498) on his campaign to conquer the kingdom of Naples in 1494 to 1495, he did not return to Rome during Alexander’s lifetime. He was elected pope on 31 October 1503, taking the title Julius II.
His choice of title has been seen as a desire to identify himself and the papacy with the imperial traditions of ancient Rome, an ambition that is often associated with his artistic commissions as pope. Although there is no direct evidence for this link, Julius II was undoubtedly one of the most important cultural patrons of Renaissance Italy. Among the major artists who worked for him were Michelangelo Buonarroti (1475–1564), from whom he commissioned the Sistine Chapel ceiling and his own tomb, Raphael Sanzio (1483–1520), who decorated Julius’s apartments in the Vatican and painted his portrait, and Donato Bramante (1444–1514), whose projects for the pope included the Vatican courtyard and the new St. Peter’s, which replaced the crumbling old basilica.
His most consistent political aim as pope was to bring the Papal States more firmly under the control of the papacy; he took personal command of some of the military operations that these aims involved. His efforts to prevent the Venetians from extending their influence in the northern Papal States brought him to participate in the League of Cambrai of 1509, and the subsequent war against Venice in 1509–1510. Having achieved his aims, he made peace with Venice and turned his attention to reducing the power in Italy of his former ally, Louis XII of France (ruled 1498–1515); he was a member of the coalition that drove the French out of the duchy of Milan in 1512.
Julius’s initiatives in Italian politics and his personal participation in military campaigns shaped his reputation, both among his contemporaries and posthumously. He has been criticized by some patriotic Italians for his part in the war against Venice and lauded by others for his reputed determination to expel the “barbarians” from Italy. In practice, he was prepared to ally himself with the “barbarians” of France, Spain, and Germany when it suited his purposes, but he did not want them to form independent links with his own subjects. His penchant for military life was seen as unfitting for a pope, although his resolution and physical courage were admired by some. The image of Julius leading an army to the gates of heaven to demand entrance and being turned away by St. Peter, in the c. 1513 satirical dialogue *Julius Exclusus* ‘Julius Excluded from Heaven’ attributed to Desiderius Erasmus (1466?–1536), has had an enduring influence.
Julius himself regarded the recovery of the territory of the church and the defense of the independence of the Papal States, by war if need be, as prime duties of the pope. Although his outbursts of rage and heavy drinking attracted ridicule, he was conscious of the dignity of his office and careful to fulfill his religious duties. Nevertheless, his behavior gave Louis XII and the Emperor Maximilian I (ruled 1493–1519) an opportunity to seek his deposition from the papacy. They used dissident cardinals to
call a general council of the church that opened in Pisa in 1511; this attracted little support. The summons by Julius of the Fifth Lateran Council may have been a riposte to this, but once it assembled in 1512, he insisted that it should give serious consideration to the reform of the church. Julius died during the night of 20 February 1513.
See also Cambrai, League of (1508); Charles VIII (France); Louis XII (France); Michelangelo Buonarroti; Papacy and Papal States; Raphael.
BIBLIOGRAPHY
Primary Source
Sowards, J. Kelley, ed. *The Julius Exclusus of Erasmus*. Bloomington, Ind., 1968.
Secondary Sources
Partridge, Loren, and Randolph Starn. *A Renaissance Likeness: Art and Culture in Raphael’s “Julius II.”* Berkeley, 1980.
Shaw, Christine. *Julius II: The Warrior Pope*. Oxford, 1993.
CHRISTINE SHAW
JUSTICE. See Law: Courts.
KALMAR, UNION OF. The Union of Kalmar, which combined the three crowns of Denmark, Norway, and Sweden under one sovereign, was founded in 1397 in the Swedish city of Kalmar and lasted, with some exceptions, until 1520. The union established internal peace under a strong union king, supported by the nobility. It became a reality at a time when other unions in Europe were founded, such as the union in 1386 between Poland and Lithuania. Earlier unions had also existed in Scandinavia. A union between Norway and Sweden was established in 1319, and Scania and Sweden had a common king from 1332 to 1360.
Denmark and Norway united in 1380 when the young Danish King Olof, son of Haakon VI of Norway and Queen Margaret of Denmark (1353–1412), succeeded to the throne of Norway on the death of his father. Margaret had served as regent of Denmark since 1376, and she now became regent of Norway for her son. Olof died in 1387, but Margaret continued to rule Denmark and Norway. At the same time a group of Swedish nobles who opposed the Swedish king, Albert of Mecklenburg, asked for Margaret’s help and made her regent of Sweden. The power struggle ended in 1389 when Margaret’s forces defeated and captured Albert at Falköping.
Eric of Pomerania, Margaret’s fifteen-year-old grandnephew, had been recognized as heir to the Norwegian throne in 1388 and was elected king in Denmark and in Sweden in 1396, but Margaret continued to govern. In the summer of 1397 she invited nobles from Denmark, Norway, and Sweden to Kalmar. The meeting resulted in the formation of the Kalmar Union with Eric as its king. The coronation document presented a strong royal political program (*regimen regale*), whereas the “Letter of the Union,” the written record of the proceedings, expressed aristocratic constitutional interests (*regimen politicum*).
Queen Margaret and Eric of Pomerania governed the three Nordic states as a unity until her death in 1412. Denmark was the most prominent country in the union, and the Øresund (The Sound, the straits between Denmark and Scania) became an economic center. Danes and Germans were placed in several Swedish castles. Eric followed an active foreign policy toward the Teutonic Order and fought the dukes of Holstein for many years in order to secure the Duchy of Schleswig for Denmark. From 1426 the king was also at war with the Hanseatic cities. The centralized royal system created opposition in the church and among the peasants and the nobility in Sweden. Under the leadership of Engelbrekt Engelbrektsson, the Swedish peasants rioted in 1434 and were soon supported by the nobility and the church. At a meeting in Kalmar in 1436 Eric had to agree to govern with more respect for the constitution, but he soon tried to restore his old position and was removed from the throne in Denmark in 1439 and in Sweden in 1440, forcing Norway to follow in 1441. King Eric lived on the island of Gotland in the Baltic Sea until 1449.
The new elected union king was Christopher of Bavaria, son of King Eric’s sister Katarina; he governed the three countries together with their Councils of State. After his death in 1448, the Swedes elected the nobleman Karl Knutsson (Bonde) as King Charles VIII, whereas the Danes elected Duke Christian I of Oldenburg as king. The two monarchs fought over Norway and Gotland, with the conflict ending in favor of Christian I, who was king of Denmark and Norway.
During the union wars beginning in 1452, portions of the Swedish nobility supported Christian I, and in 1457 the union was reinstated with Christian as king, but this lasted for only a few years. A noble faction rioted in 1464, and Karl Knutsson became the Swedish king 1464–1465 and again 1467–1470. After his death, his nephew Sten Sture the Elder took over as regent and defeated King Christian in a battle at Brunkeberg in 1471; the subsequent negotiations did not restore the union.
King Hans succeeded his father Christian I in 1481 as king of Denmark and Norway. In 1483 the Swedish Council of State supported a renewal of the union (Kalmar Recess). Sten Sture the Elder managed to stay in power, however, until King Hans allied with his opponents in 1497 and was recognized as king of Sweden. The union was restored, but in 1501 a faction of Swedish noblemen rioted, and Sten Sture took over his old position.
The following two decades were marked by negotiations and war. The confrontation sharpened when Christian II became king of Denmark and Norway in 1513. Finally, in 1520, Christian II invaded Sweden, won a decisive military victory, and became king of Sweden. In spite of having promised amnesty, in November 1520 he in the end ordered the execution of all the Swedish nobles who had opposed him, the so-called Stockholm Bloodbath. This act stiffened Swedish resistance to Christian and to the Kalmar Union, which came to a definitive end when Gustav Eriksson became king of Sweden as Gustav I Vasa in 1523.
See also Denmark; Northern Wars; Sweden; Vasa Dynasty.
BIBLIOGRAPHY
The Cambridge History of Scandinavia. Vol. 1, Prehistory to 1520. Edited by Knut Helle. Cambridge, U.K., forthcoming.
Christensen, Aksel E. *Kalmarunionen og nordisk politik 1319–1439*. Copenhagen, 1980.
Enemark, Poul. *Fra Kalmarbrev til Stockholms Blodbad: Den Nordiske Trestatsunions Epoke 1397–1521*. Copenhagen, 1979.
Larsson, Lars-Olof. *Kalmarunionens tid. Fraan Drottning Margareta til Kristian II*. Stockholm, 1997.
*Margrete I. Regent of the North. The Kalmar Union 600 Years*. Danish National Museum, exhibition catalogue. Copenhagen, 1997.
JENS E. OLESEN
KANT, IMMANUEL (1724–1804), German philosopher. Immanuel Kant was born 24 April 1724 in Königsberg (now Kaliningrad) in East Prussia. He attended a Pietist school and the University of Königsberg and in 1755, after six years as a private tutor, obtained a position at his university. Promoted to professor there in 1770, he taught and served in administrative posts until 1798 and died 12 February 1804.
CENTRAL IDEAS
Kant’s predecessors had treated knowledge as beginning from data about the world that the mind passively receives from the senses or through immediate insight into eternal truths or ideas. Kant, by contrast, made the activity of the mind central both to the world as we live in it and to our knowledge of it.
Kant built his systematic theoretical philosophy around the idea that the world as we experience it does not exist independently of us. Our own minds, he argued, are responsible for its form and structure. This idea constituted his “Copernican revolution.” Before Copernicus, astronomical data were explained by assuming that the sun revolves around the earth. Reversing this, Copernicus explained the data by taking the earth to revolve around the sun. Kant explained experience by denying that our knowledge conforms to objects, instead holding that objects in experience conform to our knowledge—to the way our mind necessarily works.
In moral philosophy Kant proposed an equally revolutionary idea. In morality, he held, we are not required to obey laws imposed by God or eternal moral principles or Platonic forms; instead we must understand morality as resting on a law that springs
from our own practical rationality. We are “autonomous” because we legislate the moral law we are to obey. The form of the moral world results from the mind’s activity.
These views were designed to protect scientific knowledge from skeptical attacks such as that of David Hume (1711–1776) and also to show how morality and responsibility could be preserved in a Newtonian deterministic universe. Kant’s theoretical philosophy laid the foundations for the whole enterprise.
**THEORETICAL PHILOSOPHY**
In the *Kritik der reinen Vernunft* (1781; Critique of pure reason) Kant criticized his predecessors for not seeing that there is a deep difference between perceptual experiences and abstract concepts. The mind accepts the “percepts” that things outside it cause in it, but the mind itself imposes a framework of both time and space even on such given data. Concepts are rules by which the mind organizes percepts, and they show the mind’s activity. The mind of any rational agent is equipped with several basic “categories,” which are fundamental ways of organizing the data accepted through the senses. Nothing can be part of our experience, therefore, unless it is temporal and spatial and is organized by categories like those of continuing physical object and cause and effect. Percepts and concepts together yield the world as we live in it. The mind’s structure explains how we can attain necessary truth in our knowledge of this world.
Kant allows that we can think of a thing as it is in itself (*Ding an sich*) outside experience—a noumenon—but insists that we can know only things as they are for us—as phenomena. Because percepts as well as concepts are necessary for knowledge, we cannot know anything at all about what goes beyond possible experience. Hence we cannot have answers, either positive or negative, to what were then the main questions of religion and metaphysics: Does God exist? Are we immortal? Are we free?
**MORAL PHILOSOPHY**
In the *Grundlagung zur Metaphysik der Sitten* (1785; Groundwork of the metaphysics of morals) and the *Kritik der praktischen Vernunft* (1788; Critique of practical reason) Kant claimed that, in the practical realm, our desires are the counterpart to given sensory data in theoretical knowledge. But we are not causally determined to accept desires as giving us reasons to act. We are free because our will enables us to affirm or reject the claim of any desire to be a reason. Only what the will accepts is a reason to act. And the will, which Kant defines as practical reason, imposes its own forms prior to allowing a desire to count as a reason.
The forms the will imposes on desires include the master form, which is the moral law. As it applies to us, the moral law is an imperative or directive that cannot reasonably be flouted: it is the “categorical imperative.” It tells us to act only on plans we could rationally allow everyone to act on. Hence morality, under the categorical imperative, would create a harmonious moral world out of desires that would naturally all too often lead us into conflict.
**RELIGION**
Because he denied that we could know anything that goes beyond experience, Kant seemed to his contemporaries to have eliminated all hope for a rational religion. But he said that he had destroyed knowledge to make room for faith. He tried to justify a religion safe from scientific criticism by
arguing that the categorical imperative gives us practical or moral reason to believe in the essential religious tenets: God, freedom, and immortality. If few philosophers have been convinced by his moral arguments for God and immortality, many think that his account of freedom still has great appeal.
**SIGNIFICANCE**
Kant aimed to limit naturalism—the view that a single system of causation explains all human activity as well as all other events. To do so, he made philosophy the master discipline that sets boundaries to the cognitive claims of all other thinking. Science is the judge of beliefs about experience, but it can say nothing about claims concerning morality or religion, or (as Kant also argued) about aesthetic taste. His remarkable theory that the mind helps construct the world in which we live opened the way for the radical idealisms of Friedrich Wilhelm Joseph von Schelling (1775–1854), Johann Gottlieb Fichte (1762–1814), and Georg Wilhelm Friedrich Hegel (1770–1831). Kant’s assertion of “the primacy of practical reason”—that practical reason can answer questions that theoretical reason cannot—was suggestive for the development of pragmatism. His moral philosophy has been and still is both widely used and hotly contested. Kant’s work has had an influence on Western thought unsurpassed by that of any other modern philosopher.
*See also* Hume, David; Moral Philosophy and Ethics; Natural Law.
**BIBLIOGRAPHY**
*Primary Sources*
*The Cambridge Edition of the Works of Immanuel Kant*, edited by Paul Guyer and Allen W. Wood, Cambridge, U.K., 1992–. Contains the best translations of Kant’s works, from the early “pre-critical” writings through the *Opus Postumum*, and including extensive selections from student lecture notes.
Kant, Immanuel. *Gesammelte Schriften*. Vols. 1–27. Berlin, 1969–.
*Secondary Sources*
Guyer, Paul, ed. *Cambridge Companion to Kant*. Cambridge, U.K., 1992. Contains articles covering most aspects of Kant’s philosophy and a good bibliography.
Kuehn, Manfred. *Kant: A Biography*. Cambridge, U.K., 2001. Excellent scholarly bibliography.
J. B. SCHNEEWIND
**KAUFFMANN, ANGELICA** (1741–1807), Swiss neoclassical painter. The Swiss-born painter was considered a child prodigy, achieving attention for her works as early as age eleven. She was trained by her father, Johann Josef Kauffmann, whose family accompanied him to Italy, where he executed decorative schemes for churches. The Kauffmann family lived in Como, Milan, Parma, Florence, and eventually Rome, where Angelica copied the works of famous Old Masters. These included her richly colored version of Domenichino’s *Cumaeon Sibyl* (1763, National Museum of Women in the Arts, Washington, D.C.) that was probably purchased by the 4th duke of Gordon, one of her many aristocratic patrons. Others included Catherine the Great of Russia, Emperor Franz Joseph of Austria, and John Parker II, Lord Boringdon.
During her first stay in Rome (1765–1766), Kauffmann became an integral part of the circle of artists that gathered around the German theorist Johann Joachim Winckelmann, who served as librarian to Cardinal Albani. This group, which included Pompeo Girolamo Batoni, Anton Raphael Mengs, Benjamin West, Sir Nathaniel Dance, and Giambattista Piranesi, was instrumental in promoting a neoclassical stylistic approach in art that remained fashionable in both Europe and America well into the nineteenth century. Kauffmann, in fact, was one of the first artists to paint in a neoclassical style and one of few women to gain fame from historical paintings. Her classically inspired historical works include *Venus Directing Aeneas and Achates to Carthage* (1768, The National Trust, England, Saltram collection); *Venus Persuading Helen to Accept the Love of Paris* (1790, Hermitage Museum, St. Petersburg, Russia); *Zeuxis Selecting Models for His Picture of Helen of Troy* (1778, Brown University, Providence, R.I.); and *Sappho* (1775, John and Mabel Ringling Museum, Sarasota, Florida).
It is believed that Kauffmann used self-portraits in her representations of Helen and Sappho, as well as many more of her historical figures, since they often resemble her. This may be judged by comparing them to her identified self-portraits, such as the one she contributed to the famous de Medici self-portrait collection at the Uffizi (1787, Uffizi Gallery, Florence). Looking much like a classical goddess, Kauffmann wears a white muslin dress, belted just below the bodice. It is secured by a cameo that, according to Louise Rice and Ruth Eisenberg, represents the battle between Minerva and Neptune for control of Athens—a battle significantly won by the female goddess. Kauffmann’s stylistic approach combines the linearity and order of neoclassicism with a pastel lushness characteristic of the English rococo. This is not surprising since Kauffmann spent from 1766 to 1782 in London, where she was named one of the founding members of the Royal Academy of Art (1768). She painted a portrait of the academy’s first director, Sir Joshua Reynolds, in 1767 (The National Trust, England, Saltram collection). Reynolds praised Kauffmann’s talent, but there were many who criticized her weak rendering of anatomy. It was difficult for a woman to gain skill in this area because she was generally barred from drawing nude models.
Kauffmann was skillful enough in her historical works to be invited to contribute to the decorative scheme of Somerset House, a building designed by William Chambers to house the Royal Academy. Kauffmann’s contribution included four oval compositions entitled *Invention*, *Composition*, *Design*, and *Color* using iconographic references from Cesare Ripa’s *Iconologia or Moral Emblems* (1611). These works are now located at Burlington House, London. She was also asked to participate in a scheme to decorate the dome of St. Paul’s Cathedral, although this was never realized.
Kauffmann had many admirers in both her personal and professional life. Contemporaries praised her beauty, talent, intelligence, and wit. Not surprisingly, she attracted a number of suitors, which included Reynolds, Dance, and the early Romantic painter Henry Fuseli. She rejected the attention of these artists to marry a Swedish rogue named Brandt, who charaded as the Count de Horn. After his death (1767), she married the Italian artist Antonio Zucchi and returned with him to Rome in 1782. There she was an active member of the Academy of St. Luke and maintained a studio that was
often visited by fellow artists. These included Elisabeth Vigée-Lebrun, who visited Kauffmann while in exile after the French Revolution. Kauffmann died in Rome on 5 November 1807. After a magnificent funeral, she was buried in the church of Sant’Andrea delle Fratte. Three years after her death, her good friend Giovanni Gherardo de Rossi published his *Vita di Angelica Kauffmann* (Life of Angelica Kauffmann), which serves as a major source of information with regard to her life and career.
*See also Reynolds, Joshua; Women and Art.*
**BIBLIOGRAPHY**
*Primary Source*
De Rossi, Giovanni Gherardo. *Vita di Angelica Kauffmann, pittrice 1741–1807*. Florence, 1810.
*Secondary Sources*
Adam, Malise Forbes, and Mauchline, Mary. “Neoclassical Furniture in the Palace of Pavlovsk with Designs after Angelica Kauffmann.” *Apollo* 155, no. 479 (Jan. 2002): 42–46.
Gerard, Frances. *Angelica Kauffmann*. London, 1892.
Manners, Victoria, and G. C. Williamson. *Angelica Kauffmann, R. A.: Her Life and Her Works*. London, 1924. Reprinted New York, 1976.
Mayer, Dorothy. *Angelica Kauffmann R. A. 1741–1807*. Gerrards Cross, U.K., 1972.
Pomeroy, Jordana. “The Uncommon Genius of Angelica Kauffmann.” *Women in the Arts* 15 (Winter 1997): 2–4.
Rice, Louise, and Ruth Eisenberg. “Angelica Kauffmann’s Uffizi Self-Portrait.” *Gazette des Beaux Arts* 117 (March 1991): 123–126.
Rosenthal, Angela. *Angelika Kauffmann: Bildnismalerei im 18. Jahrhundert*. Berlin, 1996.
Roworth, Wendy Wassynq. *Angelica Kauffmann: A Continental Artist in Georgian England*. London, 1992.
———. “Biography, Criticism, Art History: Angelica Kauffmann in Context.” In *Eighteenth Century Women and the Arts*, edited by Frederick M. Keener, pp. 209–221. New York and London, 1988.
Kathleen Russo
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**KEPLER, JOHANNES** (1571–1630), German astronomer and mathematician; discoverer of the laws of planetary motion. Born into the Protestant minority in the free city of Weil der Stadt, within the Lutheran duchy of Württemberg, Kepler’s family was poised at the boundary between the aristocracy and the artisan class. His father and brother Heinrich both served as soldiers; his youngest brother worked as a tinsmith. Kepler was educated at religious schools supported by the duke of Württemberg, and at the University of Tübingen. Here he studied with theologians trained by Philipp Melanchthon (1497–1560), the great German religious and educational reformer, and began a lifelong friendship with his mathematics teacher, the Copernican astronomer Michael Mästlin (1550–1631).
Unable to follow a church career because his scruples prevented him from signing the Formula of Concord, Kepler began his professional life as a teacher in the Protestant gymnasium at Graz, in southern Austria. From here he rose to become an imperial courtier, and achieved lasting fame as an innovator in astronomy. Kepler married twice (1597 and 1613). He was a devoted father who suffered deeply at the early deaths of many of his children, and he seems to have used mathematical research as a solace. Kepler’s publication of the *Mysterium Cosmographicum* (1596; The secret of the universe) began a meteoric rise. Compelled to leave Graz with other Protestants in 1598, he attached himself to the court of Emperor Rudolf II (ruled 1576–1612) in Prague, and succeeded Tycho Brahe as imperial mathematician in 1601. Thus, in only three years, Kepler ascended from the position of a provincial schoolteacher to become the astrological and astronomical adviser to the most powerful monarch in the Christian world, although the emperor proved unreliable as a source of financial support. Kepler immediately began to produce a series of major works, especially the *Optics* (*Astronomiae pars Optica*, 1604) and the *New Astronomy* (1609), which extended and refounded their subjects. Other works (1601, 1610) attempted to reform astrology. In 1612, after the forced abdication and death of Rudolf, Kepler left Prague, but retained his title of imperial mathematician under later emperors. From 1612 to 1626 he and his family made their home in Linz, in Upper Austria, although Kepler traveled widely. While in Linz he produced the *Epitome of Copernican Astronomy* (1618–1621) and the *Harmony of the World* (1619). The latter precipitated a violent exchange with the English theosophist Robert Fludd (1574–
1637), but Kepler declined an invitation to visit England despite his long-standing admiration for King James I (ruled 1603–1625). During this period his mother was accused of witchcraft. Kepler directed the defense that led to her acquittal in 1620–1621. The work that had secured the favor of the imperial house for so long, the *Rudolfine Tables*, was completed in 1627.
With the increasing violence and disorder of the Thirty Years’ War, Kepler again sought the protection of a powerful patron, and he became astrological adviser to A. W. E. von Wallenstein, the leading Catholic general, in 1628. His patron’s fall from power immediately preceded his own death, at Regensburg, in 1630. In the *Mysterium Cosmographicum*, Kepler presented the most important defense of Sun-centered astronomy since the appearance of Nicolaus Copernicus’s *De Revolutionibus Orbium Coelestium* in 1543. Uniting ideas from his education in mathematics and religion, Kepler proposed that God had employed each regular geometrical solid exactly once in the plan of the world. Nesting the solids within each other, the orbs defining the limits of the planets’ motions could be inscribed between them. The five regular solids provided the spacing between six orbs, explaining both their relative distances and the number of planets (the Earth-Moon system forms one unit). On both counts Kepler’s Sun-centered model could be argued to be superior to the Earth-centered Ptolemaic system. But Kepler’s defense of Copernicus faced another rival: the newly proposed hybrid system of Tycho Brahe, in which Earth was central and stationary, the Moon and Sun went around the Earth, but all the other planets circled the Sun.
On arriving in Prague in 1600, Kepler was effectively subordinated to Brahe, who first set him to writing an attack on an earlier imperial mathematician (*A Defense of Tycho against Ursus*). Although not actually published during Kepler’s lifetime, this work gives valuable insights into both the state of astronomy and Kepler’s novel methodological ideas. Brahe had presented Kepler to Rudolf II as the man who would distill Brahe’s decades of observations into new astronomical tables that would carry the emperor’s name. When Brahe died unexpectedly in 1601, the importance of this project helped Kepler to succeed Brahe as imperial mathematician. Kepler used the superlatively accurate and complete observations to show that Brahe’s cosmic scheme was untenable, and to replace Copernicus’s circle-based models with elliptical orbits.
In 1604 Kepler published an important work on optics, which treated the nature of light and vision, the phenomena of refraction, and the applications of optics in astronomy. During the same period he established that the path of Mars was an ellipse and introduced a new way of calculating the planet’s position based on the novel concept of an orbit with the Sun at one focus (a principle now called the first law of planetary motion). He showed that his new approach was superior not only to the models of Ptolemy and Brahe, but also to the original form of Copernicus’s system. Also improving on Copernicus, he was able to show that the planes of the planet’s orbits intersected in the Sun. He also suggested that the Sun was the origin of a quasi-magnetic force responsible for the planets’ motions. Based on these physical ideas, he argued for a connection between the speed of a planet along its path and the area swept out by the line connecting it to the Sun (now called the second, or area, law). He demonstrated this result first for a circular path, then for an ellipse. Although originally presented only for the case of Mars, the elliptical orbit and the mathematical principles governing its motion were intended to extend to all planets, based on universal physical principles. Kepler advertised the new connection between physics and astronomy in his book’s title, *A New Astronomy, Based on Causes, or Celestial Physics*. It appeared in 1609 after a delay caused by Brahe’s heirs.
In Prague, Kepler also produced two important works attempting to reform astrology, *On More Certain Foundations for Astrology* (1601) and *Tertius Interveniens* (1610; The intermediary third position [between two extremes]). He rejected the traditional astrological machinery of houses, but retained the idea that geometrical configurations of celestial objects influenced human judgment and caused terrestrial weather. Also in 1610 he gave enthusiastic support to Galileo Galilei (in *Conversation with the Sidereal Messenger*, 1610, and preface to the *Dioptrice*, 1611), and confirmed the latter’s telescopic discovery of the moons of Jupiter.
During his time in Linz, Kepler’s two most important productions were the *Harmony of the*
World (1619) and the Epitome of Copernican Astronomy (which appeared in several volumes, 1617–1621). The former attempted a grand synthesis of geometry, harmonics, astrology, and astronomy, and presented the music of the spheres, in the form of tones generated as planets vary in speed throughout their orbits. Here also Kepler stated the third law of planetary motion, connecting the square of the planetary year with the cube of its mean distance. The Epitome of Copernican Astronomy was a systematic presentation of Kepler’s version of the Copernican system, intended as a textbook, and as a basis for understanding Kepler’s approach in the Rudolfine Tables. Appearing in 1627, the tables successfully predicted that Mercury would pass across the face of the sun in November 1631, showing that Kepler had improved the accuracy of positional calculations by a factor of ten.
Kepler was an innovator where Copernicus was a renovator. Copernicus had re-centered the planetary system, but his calculations of planetary positions took as their geometrical center the mean sun, a constructed point, located elsewhere than the Sun itself. The Sun played no physical role in Copernicus’s system and he retained celestial spheres to move the planets. Like Ptolemy, Copernicus continued to use circles carrying circles to predict the positions of planets against the background of fixed stars, and although distances were calculable in his system, they played no role in predicting positions. Kepler introduced the modern form of Copernicanism. His planets moved freely through the heavens, propelled by a force originating in the Sun, along orbits that intersected at the Sun. They obeyed mathematical laws that united physics and astronomy in a new way. Their path through space was an ellipse, not a circle, and their distances and velocities were linked in the second law.
Kepler’s insights were not immediately accepted by contemporaries, but they were vindicated by Isaac Newton (1642–1727), who replaced Kepler’s solar force with universal gravitation, and demonstrated that the three laws of planetary motion followed from his own more general laws of motion in the case of a planet moving around the Sun. Although the laws of planetary motion became central results of the later mechanical philosophy, Kepler himself was not a mechanical philosopher. Kepler’s sun rotates because of an animating spirit; the planet Earth has a spirit that perceives celestial alignments and creates weather; in the 1609 presentation of Kepler’s theory, planets are capable of directing their own motion of approach to or recession from the Sun. In his last work, the Somnium, published posthumously in 1634, another kind of spirit narrates the appearance of the heavens as seen from the Moon. In Kepler’s cosmos, mathematical regularities are evidence of controlling minds, and the structure of the universe, which Kepler spent his life uncovering, testifies to the architectonic mind of its Creator.
See also Astrology; Astronomy; Brahe, Tycho; Copernicus, Nicolaus; Galileo Galilei.
BIBLIOGRAPHY
Primary Sources
Kepler, Johannes. Apologia Tychonis contra Nicolaum Raymarum Ursum. Prague, 1600.
———. De Fundamentis Astrologiae Certioribus. Prague, 1601.
———. Dioptrice. Augsburg, 1611. Reprint, Cambridge, U.K., 1962.
———. Epitome of Copernican Astronomy Books IV and V, and Harmony of the World Book V. Translated by C. G. Wallis. New York, 1995. Translation of Epitome Astronomiae Copernicanae (1617–1621).
———. Harmony of the World. Translated by E. J. Aiton, A. M. Duncan, and J. V. Field. Philadelphia, 1993. Translation of Harmonice Mundi (1619).
———. Kepler’s Conversation with Galileo’s Sidereal Messenger. Translated by E. Rosen. New York, 1965. Translation of Dissertatio cum Nuncio Siderio (1610).
———. Mysterium Cosmographicum: The Secret of the Universe. Translated by A. M. Duncan. Norwalk, Conn., 1981. Translation of Prodromus Dissertationem Cosmographicarum, continens Mysterium Cosmographicum (1596).
———. New Astronomy. Translated by William H. Donahue. Cambridge, U.K., 1992. Translation of Astronomia Nova Attiologetos, sev Physica Coelestis (1609).
———. Optics: Paralipomena to Witelo and the Optical Part of Astronomy. Translated by William H. Donahue. Santa Fe, N.M., 2000. Translation of Ad Vitellionem Paralipomena, quibus Astronomiae pars Optica Traditur (1604).
———. Somnium. Translated by E. Rosen. Madison, 1967. Translation of Somnium, sive Astronomia Lunaris (1634).
———. Tabulae Rudolphinae. Ulm, 1627.
———. Tertius Interveniens. Frankfurt am Main, 1610.
KHMELNYTSKY, BOHDAN (c. 1595–1657)
KHMELNYTSKY, BOHDAN (c. 1595–1657), hetman of the Zaporozhian Cossack Host (1648–1657) and founder of the Hetmanate (Cossack state). Born into a family of Orthodox petty gentry, Khmelnytsky received a Jesuit education. Khmelnytsky took part in the Battle of Cecora (1620) and was taken as a prisoner to Istanbul for two years. He enlisted in the Chyhyryn Cossack regiment near his family holding of Subotiv and emerged during the Cossack revolts of 1637–1638 as military chancellor of the Zaporozhian Host, signing the capitulation of 27 December 1637. It is possible that he served among Cossack mercenary troops in France in 1644. In 1646, as captain of the Chyhyryn regiment, he accompanied a Cossack delegation to King Władysław IV Vasa (ruled 1632–1648), who sought to win the Cossacks over to his secret plans for a war against the Ottomans.
Khmelnytsky’s life as an established Cossack took a radical turn in 1647 because of a personal and property dispute with a magnate’s servitor. Khmelnytsky found no redress for the seizure of his estate and was arrested in November 1647. He escaped and fled to the traditional Cossack stronghold or sich, where he was proclaimed hetman in February 1648. He rallied the Cossacks, who smarted under the harsh Polish regime, to his cause and came to an agreement with the Crimean Khanate that ensured cavalry support for the Cossack infantry. In May, Khmelnytsky defeated the Polish armies sent after him. The death of the king in the same month threw the Polish-Lithuanian Commonwealth, an elective monarchy, into crisis.
Although some historians believe that from the first Khmelnytsky had sought to overthrow Polish rule, in the initial phase of the revolt his demands centered on Cossack rights. Throughout 1648, as social war reigned in much of Ukraine and the commonwealth’s elite fell into factional struggles over the election, Khmelnytsky energetically organized a military force and an administration of the territory he controlled. Defeating what remained of the commonwealth’s forces in September, Khmelnytsky forces reached the limit of Ukrainian ethnic territory and influenced the election of John II Casimir Vasa (Jan II Kazimierz; ruled 1648–1668) as a pro-peace candidate. At the end of the year Khmelnytsky marched east, entering the ancient Ukrainian capital of Kyiv to the acclamation of the clergy and the other inhabitants that he was a Moses and a liberator from the “Polish bondage.” He announced his plans to liberate the Ruthenian (Ukrainian-Belarusian) nation and declared that God had raised him up to be the autocrat of Rus’. These declarations of intentions to be the ruler of a new state could only be resolved by military victory. The Battle of Zboriv (August 1649) proved inconclusive because of the desertion of the Crimean
khan, who was troubled by the rising power. Khmelnytsky was recognized as hetman with sweeping privileges, above all as the leader of a Cossack Host of forty thousand. But this fell far short of his earlier aspirations and endangered his position because the masses rejected the terms and the depredations of his Tatar allies.
From mid-1649 Khmelnytsky sought to keep the unwieldy coalition supporting him in Ukraine together as he searched for foreign allies and protectors against the commonwealth in a program to entrench his rule. Initially the Ottoman Empire seemed the most likely source, and the hetman sought to create a dynasty by marrying his son Tymish to the daughter of the Moldavian hospodar, an Ottoman vassal. Defeated by the Poles at Berestechko (June 1651), Khmelnytsky in turn defeated the Poles in June 1652 on an expedition to marry off his son. His Balkan policy ultimately ended in ruin and the death of his son (September 1653). Khmelnytsky then turned more seriously to the Muscovite tsar, taking an oath of loyalty to him in January 1654 at Pereiaslav but failing to receive an oath from him. Retaining far greater power in Ukraine than the terms negotiated, Khmelnytsky came to be disillusioned with Muscovy, especially after the truce between Muscovy and the commonwealth in November 1656. He joined a coalition with Sweden and Transylvania against the commonwealth (and Muscovite desires), but news of the failure of a Transylvanian-Ukrainian invasion reached him on his deathbed.
Khmelnytsky’s major problem in his final years was the question of succession because his remaining son Iurii was a weak figure. Iurii initially succeeded him, but the Host soon turned instead to his chancellor Ivan Vyhovsky.
In a ten-year period the hetman had managed to create an effective army and civil administration and to turn his capital Chyhyryn into a center of international diplomacy. Khmelnytsky had not, however, found a secure place for the Hetmanate in
the East European state system or a way to prevent foreign intervention in Cossack affairs. Contemporary and subsequent evaluations of him differed, with some seeing him as a brilliant state builder and diplomat, an equal of Oliver Cromwell (1599–1658) or Armand-Jean du Plessis, Cardinal Richelieu (1585–1642), while others saw him as chimerical, rash (above all in the terms he negotiated with Muscovy), given to bouts of drunkenness, and even a destructive despot similar to Tamerlane (Timur; 1336–1405) or Batu Khan (died 1255). Eighteenth-century Ukrainian historiography created a cult of Khmelnytsky as founder of the Hetmanate. Opinions varied in the nineteenth century, with the Ukrainian national poet Taras Shevchenko (1814–1861) chiding him for his agreement with the Russians. Soviet historiography beginning in the 1950s praised him for bringing about the “reunification” of Ukraine and Russia. In the Jewish tradition he is decried as responsible for massacres of Jews during the uprising. He figures prominently in Polish historical imagination as an enemy of the Polish state.
See also Cossacks; Khmelnytsky Uprising; Poland-Lithuania, Commonwealth of, 1569–1795; Ukraine.
BIBLIOGRAPHY
Hrushevsky, Mykhailo. *History of Ukraine-Rus’.* Vol. 8. Translated by Marta D. Olynyk. Edmonton and Toronto, 2002.
Sysyn, Frank E. “Bohdan Chmel’nyc’kyj’s Image in Ukrainian Historiography since Independence.” In *Ukraine,* edited by Peter Jordan et al., pp. 179–188. Wien, 2001.
———. “The Changing Image of the Hetman: On the 350th Anniversary of the Khmel’nyts’kyi Uprising.” *Jahrbücher für Geschichte Osteuropas* 46 (1995): 531–545.
———. “Grappling with the Hero: Hrushev’skyi Confronts Khmel’nyts’kyi.” *Harvard Ukrainian Studies* 22 (1998): 589–609.
———. “The Political Worlds of Bohdan Khmel’nyts’kyi.” *Palaeoslavica* 10, no. 2 (2002): 197–209.
Vernadsky, George. *Bohdan, Hetman of Ukraine.* New Haven, 1941.
Frank E. Sysyn
KHMELNYTSKY UPRISING. The uprising in the Ukrainian territories against the Polish-Lithuanian Commonwealth began in early 1648 under the leadership of Bohdan Khmelnytsky (c. 1595–1657), a Cossack officer proclaimed hetman. The secret negotiations of King Wladyslaw IV Vasa (ruled 1632–1648) with the Cossacks to begin a war with the Ottomans against the will of the diet stirred them to action. Initiated because of injustices against Khmelnytsky and discontent among the Cossack stratum with their treatment by the Polish authorities, the revolt rapidly succeeded because it enlisted Crimean Tatar support. The rebels destroyed the Polish standing army, and the confusion and dissension following the death of the king in May 1648 gave them the advantage.
The Cossack revolt turned into a general uprising drawing upon peasant resistance to the imposition of serfdom and manorial duties, Eastern Orthodox anger at discrimination by the Catholic authorities, Ruthenian (Ukrainian-Belarusian) antagonism toward the Poles, and the Ukrainian frontier population’s opposition to the magnates and their servitors and leaseholders. In the first months a bloody social war raged with attacks on landlords, Catholic clergy, and Jews. Where they had the means, the magnates took brutal reprisals. The disparate coalition assembled around the Cossack Host did not have a united social or political program, but the Cossack hetman professed to support the monarch against the willful high nobility. Yet negotiations failed with the new king, John II Casimir Vasa (Jan II Kazimierz; ruled 1648–1668), elected in November, and by early 1649 the rebels had greatly expanded their Cossack Estate demands to a broad political-national program that would have virtually overturned the old order in Ukraine. Certainly by this time the leadership envisaged a break with the commonwealth and entered into negotiations with foreign powers for support. A battle at Zboriv in August 1649 wrung major concessions from the government, but the betrayal of the Crimean khan deprived the rebels of a decisive victory.
By 1649 a new political structure, the Cossack Hetmanate, had emerged out of the Cossack Host in the central Ukrainian territories, but it could not come to an accommodation with the commonwealth’s magnate elite, which would not accept sweeping changes in the economic and political order. Defeated at the Battle of Berestechko in 1651, the Cossack authorities, despite subsequent victories, could not fully triumph over the commonwealth in battle, thus leading them to redouble their search for foreign protectors.
Although surrounding states feared the radical nature of the revolt and distrusted the Cossack parvenu elite, they soon sought to take advantage of the commonwealth’s distress and the opportunities offered by the revolt. The Ottoman sultan accepted the new polity under his protection in 1650–1651, but tied down by the War of Candia, he did not provide essential military support. The Porte also found Cossack intervention among its Danubian vassals troublesome, though this Ukrainian policy ended in a fiasco in 1653, offering new opportunity for Polish revanche. The need for military support led the Cossack hetman to accept the sovereignty of the Muscovite tsar, a coreligionist, in January 1654, though from the first the political cultures of the autocratic Russian state and the Cossack Hetmanate, derived from the traditions of the Cossack Host and the Polish monarchical republic, clashed. The commonwealth continued to struggle to regain its control of Ukraine, even coming to an agreement with Muscovy in 1656. The Muscovite officials attempted to assert control in Ukraine, but Hetman Khmelnytsky continued to rule over the new order he had established up until his death in 1657. He sought to change the political position of the Hetmanate and to partition the commonwealth through alliances with Sweden, which had invaded the weakened commonwealth in 1655, and Transylvania.
There is no clear ending to the Khmelnytsky Uprising because the consequences of the rebellion unfolded over decades. Although the commonwealth eventually won back the Ukrainian territories to the west of the Dnieper (1667, confirmed in 1686), the political and social order established by the revolt endured to the end of the eighteenth century. The Khmelnytsky Uprising stands out among early modern revolts for its success in overturning the social order and in setting up a new polity, thereby motivating some to call it a revolution. It also had great impact in setting off conflicts among the neighboring states and remaking the international order, above all by weakening the commonwealth, transforming Muscovy into the Russian Empire, and inciting the Ottomans’ last great thrust into central Europe. It has also served as a focal point for modern Ukrainian identity and relations with Poles, Russians, and Jews.
See also Cossacks; Khmelnytsky, Bohdan; Poland-Lithuania, Commonwealth of, 1569–1795; Ukraine.
BIBLIOGRAPHY
Basarab, John. *Pereiaslav 1654: A Historiographical Study*. Edmonton, 1982.
“Gezeirot Ta”ḥ: Jews, Cossacks, Poles, and Peasants in 1648 Ukraine.” Special issue. *Jewish History* 17, no. 2 (2003).
Hrushevsky, Mykhailo. *History of Ukraine-Rus’.* Vol. 8. Translated by Marta D. Olynyk. Edmonton and Toronto, 2002.
Raba, Joel. *Between Remembrance and Denial: The Fate of the Jews in the Wars of the Polish Commonwealth during the Mid-Seventeenth Century as Shown in Contemporary Writings and Historical Research*. Boulder and New York, 1995.
Sysyn, Frank E. *Between Poland and the Ukraine: The Dilemma of Adam Kysił, 1600–1653*. Cambridge, Mass., 1985.
———. “The Khmelnytsky Uprising and Ukrainian Nation-Building.” *Journal of Ukrainian Studies* 17, nos. 1–2 (Summer–Winter 1992): 141–170.
———. “Ukrainian-Polish Relations in the Seventeenth Century: The Role of National Consciousness and National Conflict in the Khmelnytsky Movement.” In *Poland and Ukraine: Past and Present*, edited by Peter J. Potichnyj, pp. 58–82. Edmonton and Toronto, 1980.
———. “Ukrainian Social Tensions before the Khmel’nytsky Uprising.” In *Religion and Culture in Early Modern Russia and Ukraine*, edited by Samuel H. Baron and Nancy Shields Kollmann, pp. 52–70. DeKalb, Ill., 1997.
———. “War der Chmel’nyč’kyj-Aufstand eine Revolution? Eine Charakteristik der ‘großen ukrainischen Revolte’ und der Bildung des kosakischen Het’manstates.” *Jahrbücher für Geschichte Osteuropas* 53, no. 1 (1995): 1–18.
Frank E. Sysyn
KIEV (Ukrainian, Kyiv; Polish, Kijów). Capital of the Rus’ principality (tenth to thirteenth centuries), Kiev arose on the Dnieper River at the intersection of the Varangian trade route connecting the north by river with Constantinople and overland routes connecting the Caucasus and the Crimea with Galicia and western Europe. This religious and trade
center of medieval eastern Europe was sacked in 1240 by the Mongol-Tatar army of Batu Khan. In 1362 Lithuanian Grand Duke Algirdas annexed Kiev, and in 1471 it became the capital of the Kiev palatinate of the Grand Duchy of Lithuania. A modest revival began in the early fifteenth century, culminating in the confirmation of the Magdeburg law for municipal self-government by Grand Duke Alexander in the years 1494–1497. By this time, however, the Crimean Khan Mengli Giray had again plundered Kiev (1482), and the “Upper City” lay in ruins for over a century.
With the Union of Lublin in 1569, the Kiev palatinate was transferred from the Grand Duchy of Lithuania to the direct rule of the Polish crown, opening the door more widely to Polish immigration and cultural influences. In the first half of the seventeenth century, Kiev again experienced renewal, and it eventually became the political, religious, and cultural capital of Rus’-Ukraine, overtaking existing centers of early modern Ruthenian culture that had arisen in Vilnius and Lviv. Cossack hetman Petro Sahaidachnyi resided there (c. 1610–1622) and was a member of the Kiev Orthodox Brotherhood of the Epiphany (founded 1615). A printing house was established at the Kiev Monastery of the Caves by 1615. In 1620, Patriarch of Jerusalem Theophanes III, stopping off in Kiev on his way home from Moscow, restored an Orthodox Ruthenian hierarchy to sees occupied by Uniate bishops since the Union of Brest in 1596. The Orthodox metropolitan again took up residence in Kiev. The Moldavian nobleman Peter Mohyla (archimandrite of the Caves Monastery 1627–1632, metropolitan of Kiev 1633–1647) launched a wide-ranging renovation of the city’s old monuments (including the St. Sophia Cathedral) and began new construction. The school he founded at the Caves Monastery in 1631 was joined in 1632 with the older Brotherhood school (established c. 1615) to form the Kiev College (renamed the Kievan Mohyla Academy in 1701). It was the premier center of higher learning for the Orthodox of the Polish-Lithuanian Commonwealth, and it would later
help propagate Western learning in the Russian empire.
The triumphant entry of Bohdan Khmelnytsky into Kiev in December 1648 confirmed the city’s status as the spiritual capital of a new Cossack polity. With the 1654 Treaty of Pereiaslav, a Muscovite garrison was established in the town. The Muscovite-Polish Treaty of Andrusovo (1667) granted Kiev to Muscovy for two years only, but the city never returned to Polish rule, and the 1686 Eternal Peace acknowledged the status quo. Until the second partition of Poland in 1793, Kiev remained an autonomous border town, severed from its former hinterland in Polish right-bank Ukraine. The city experienced a brief refloourishing under the hetmancy of Ivan Mazepa (1687–1709), but the Russian tsars of the eighteenth century progressively curtailed Kiev’s autonomies along with those of the Hetmanate, making Kiev more and more into a provincial Russian city. In 1797 it became the capital of the Kiev province of the Russian empire.
See also Cossacks; Mohyla, Peter; Orthodoxy, Russian; Ukraine; Uniates.
BIBLIOGRAPHY
Alferova, G. V., and V. A. Kharlamov. *Kiev vo vtoroi polovine XVII veka: Istoriko-arkhitekturnyi ocherk*. Kiev, 1982.
Hamm, Michael F. *Kiev: A Portrait, 1800–1917*. Princeton, 1993.
Kondufor, Iu. Iu., ed. *Istoriia Kieva*. Vol. 1, *Drevniy i srednevekovyi Kiev*, and vol. 2, *Kiev perioda pozdnego feodalizma i kapitalizma*. Kiev, 1982–1983.
DAVID FRICK
KINGSHIP, DIVINE RIGHT. See Divine Right Kingship.
KIRCHER, ATHANASIUS (1602–1680), German Jesuit polymath and collector. Considered by many to be the greatest polymath in an encyclopedia age, Athanasius Kircher was a scholar who aspired to expertise in many different domains of knowledge and sought connections among them in a quest to recover ancient *pansophia* (universal wisdom). He corresponded with scholars, princes, popes, and missionaries, and his books traveled to virtually every corner of the globe.
Born in the German town of Geisa, Kircher entered the Society of Jesus in 1616; he completed his novitiate in 1620 and was ordained in Würzburg in 1628. That same year he requested to be sent as a missionary to China (he would make the same request in 1637). The Superior General turned down his request because he felt that Kircher’s unique talents would best serve the society closer to home. After teaching mathematics, philosophy, and Syrian at the Jesuit college in Würzburg for several years and developing a reputation as an inventor of sundials, Kircher found himself caught in the vicissitudes of the Thirty Years’ War (1618–1648) and fled Germany. He spent almost two years in Avignon, teaching at the Jesuit college there and cultivating a relationship with the French savant and antiquarian Nicolas-Claude Fabri de Peiresc. During this period, he convinced Peiresc that he was the person most capable of deciphering Egyptian hieroglyphs through the study of Coptic. Peiresc urged his Roman acquaintances, principally the pope’s nephew, Cardinal Francesco Barberini, to find a position for Kircher in the Eternal City in order to realize this project.
Kircher arrived in Rome in November 1633, only months after the condemnation of Galileo for his advocacy of heliocentrism. He succeeded Christoph Scheiner in the prestigious chair of mathematics at the Collegio Romano, the leading educational institution of the Society of Jesus. Save for a brief excursion to Malta and Sicily in 1637–1638 to accompany a recently converted German prince on his travels, Kircher remained in Rome for the rest of his life. During his long and productive career, he published over thirty encyclopedic works on virtually every imaginable subject, not including the works of disciples such as Kaspar Schott, Giuseffo Petrucci, Johann Kestler, and Francesco Lana Terzi, who published his ideas—and often his exact words—under their own names. By 1646 his intellectual work had become so valuable and his fame so great the Jesuits relieved him of his teaching duties at the Collegio Romano, allowing him to devote himself fully to his research.
Kircher began his intellectual career with two principal interests: physico-mathematics and ancient Eastern languages and cultures. His earliest publications concerned various mathematical instruments such as the sundial he created in the Jesuit college in Avignon and a multipurpose measuring, calculating, and observational device that he invented during his trip to Malta. By 1636 his first work on Egypt, the *Prodromus Coptus sive Aegyptiacus* (Coptic or Egyptian forerunner), appeared. During the next two decades, Kircher published a series of works on Egyptian language, philosophy, history, and religion, culminating in his massive *Oedipus Aegyptiacus* (Egyptian Oedipus) of 1652–1655. In such works, he demonstrated his mastery of hieroglyphs—based on his Neoplatonic understanding of Egyptian as a symbolic and divine language, which bore little resemblance to the early-nineteenth-century decipherment of the Rosetta Stone—and argued strongly that Egypt was a universal source of culture and civilization that had anticipated Christianity with its strong Trinitarian symbolism. Kircher parlayed his expertise into a series of famous interpretations of the principal obelisks of Rome, namely the obelisk erected at the center of the sculptor Gian Lorenzo Bernini’s famous fountain in Piazza Navona and the one atop Bernini’s elephant in front of Santa Maria sopra Minerva. Kircher assisted Bernini in devising the words beneath each obelisk and published his interpretations of them in 1650 and 1666 respectively.
In addition to his work on Egypt, Kircher was equally prolific and bold in his account of the natural world. In 1641, his popular *Magnes sive de Arte Magnetica* (The magnet or the magnetic art) appeared, one of several publications in which Kircher argued that magnetism was the principal force organizing and controlling nature. At the same time, he began to develop his ideas on optics, leading to his *Ars Magna Lucis et Umbræ* (Great art of light and shadow) of 1646—a work filled with numerous optical demonstrations such as Kircher’s famous magic lantern. Kircher complemented his work on optics with similarly intensive studies of acoustics in such works as his *Musurgia Universalis* (Universal music making) of 1650. The hydraulic organ in the Quirinale in Rome still today bears traces of his skills at designing ingenious musical machines that created sound without regular human intervention. Finally, Kircher spent over twenty years developing an explanation of earthquakes, after witnessing the eruption of Mount Etna in his youth. His *Mundus Subterraneus* (Subterranean world) of 1664–1665 attempted a comprehensive portrait of all the natural forces that organized the earth, just as his controversial *Iter Ecstaticum* (Ecstatic journey) of 1656 sought to explain what the cosmos looked like in an imaginative dialogue between an angel and a philosopher who discussed its composition while traveling throughout the heavens.
Kircher’s reputation as a man who knew almost everything emanated not only from his publications but from his role as custodian of one of the most famous museums in Europe. Founded in 1651, the museum of the Collegio Romano flourished under his guidance. Kircher filled it with natural objects, machines, antiquities, paintings, and curiosities brought back by missionaries from all over the world. Visitors were enthralled by dancing demons, talking automata, sunflower clocks, Japanese scrolls, Chinese stone rubbings, Greco-Roman and Egyptian fragments, and a seemingly endless series of demonstrations of the powers of the magnet. Kircher parlayed his ability to gather objects and information into expertise on subjects about which he otherwise knew very little. His popular *China Illustrata* (China illustrated) of 1667, for example, was written without once traveling to Asia or knowing much about its languages, customs, and religions.
Kircher relied upon his ability to command the resources of the entire Jesuit order in the service of a universal account of the presence of Christianity in every corner of the world. His boundless curiosity and energy, a source of wonder in his own lifetime, made him a figure of fun in a later age when scholars such as Leibniz declared that Kircher had written much but known nothing about virtually every interesting subject of his age. He was one of the last great humanistic scholars of the seventeenth century, a man of faith whose vision of the world was as global as the missionary networks of his religious order.
*See also* Dictionaries and Encyclopedias; Galileo Galilei; Jesuits; Leibniz, Gottfried Wilhelm; Museums; Peiresc, Nicolas-Claude Fabri de.
**BIBLIOGRAPHY**
Benlich, Horst, et al. *Spurensuche. Wege zu Athanasius Kircher*. Dettelbach, Germany, 2002.
KLOPSTOCK, FRIEDRICH GOTTLIEB (1724–1803), German poet. Friedrich Gottlieb Klopstock was the oldest of seventeen children born into an impoverished Pietist family of attorneys and pastors in Quedlinburg (Saxony-Anhalt). After receiving a humanistic education at the princely college in Schulpforta, he studied theology and philosophy at the universities of Jena and Leipzig, where he began writing the first songs of his monumental religious epic *Der Messias* (The Messiah; published in 4 volumes between 1748 and 1773, final version in 1799/1800). In 1751, he accepted an invitation from the Danish king, Frederick V, who sponsored the completion of the *Messias*. Shortly after his arrival in Denmark, Klopstock married Margarethe (Meta) Moller from Hamburg, the “Cidli” of his odes, who died four years later. After living in Denmark for almost twenty years, Klopstock resided in Hamburg for the rest of his life, married his first wife’s niece, the widow Johanne Elisabeth von Winthem, and published poems, plays, and theoretical writings on German literature, language, and culture.
Klopstock became one of the most celebrated poets of his time and revolutionized German poetic language and its function within the theoretical debate about the possibility of a German national culture. Inspired by Johann Jakob Bodmer’s and Johann Jakob Breitinger’s literary theory of the poetic use of imagination, he rejected the dominant German aesthetic theory, the rationalist poetics of Johann Christoph Gottsched with its rigid literary conventions. Klopstock aspired to create a new poetry that could live up to the stylistic qualities of masterpieces such as Homer’s *Iliad* or John Milton’s *Paradise Lost*. His vision of the poet as “genius” or prophetic “creator” rather than “imitator” of nature led to the invention of a new lyrical language. Written in classical hexameters instead of the traditional German alternating verse forms, the first three cantos of the *Messias* signaled a departure from grammatical and syntactical rules and introduced an innovative, complex style. The pathetic use of inversions, repetitions, neologisms, comparisons, and metaphors infused enthusiasm, passion, and sentiment into the biblical story. In this way Klopstock transformed the culture of religious dogma into an inner world of sensitive experience. Although composed and perceived as a devotional work, the *Messias* evoked readers’ or listeners’ emotional responses and let them experience the religious sublime through the new aesthetic form. In his following poems, odes of enthusiasm, patriotic hymns, and elegies, Klopstock continued his formal experiments and was the first to introduce free verse into German poetry. His search for an emotional and yet sacred poetic language that manifested the experiences of the inner self combined expressive subjectivity with poetic autonomy and resulted in the interdependence of the secular and the spiritual. In this way, Klopstock instilled religious pathos into the poetic representation of friendship, nature, love, leisure, and the nation.
While Klopstock wrote spiritual songs (*Geistliche Lieder* [1757, 1769]), and religious and patriotic tragedies (*Der Tod Adams* [1757; The death of Adam] and *David* [1772]), his most influential work was probably the play *Hermanns Schlacht* (1769; The battle of Arminius). However, it did not receive the same attention as his poetic work—after all, Klopstock and the *Messias* had become synonyms. His collection of theoretical and fictional texts, *Die deutsche Gelehrtenrepublik* (1774; The German Republic of Letters) added a new dimension to his publications. This utopian historiography of a German national culture in the
making launched the idea that national identity could be generated through shared values and transmitted by cultural artifacts and institutions. Drawing on Greek ideals, Klopstock envisioned a German republic in which the humanist tradition would unite political and cultural and public and private spheres. While the esoteric montage of different text genres did not receive the same attention as the *Messias*, its form of dissemination was quite remarkable in the history of publishing. Being concerned to receive fair compensation as an author, Klopstock circumvented the established book trade through publishers and booksellers by advertising his work via subscription and successfully launched a new means of profitable distribution.
Klopstock’s contemporaries celebrated him as Germany’s national poet. His poetic focus on feeling and experience influenced the young poets of the Sturm und Drang (Storm and Stress) movement; Johann Wolfgang von Goethe, Johann Gottfried Herder, and Friedrich Hölderlin praised him as Germany’s leading lyric poet, and the Romantics embraced his cultural patriotism. Klopstock’s poetic legacy was soon surpassed by that of Goethe, who dominated Germany’s cultural landscape throughout the nineteenth century, and it was not until the twentieth century that German poets and authors such as Rainer Maria Rilke, Arno Schmidt, and Peter Rühmkorf rediscovered the power of Klopstock’s lyrical voice. Recent scholarship has established a continuing interest in Klopstock through the production of a historical-critical edition of his works.
*See also* Drama: German; German Literature and Language; Germany, Idea of; Goethe, Johann Wolfgang von; Herder, Johann Gottfried; Pietism.
**BIBLIOGRAPHY**
*Primary Sources*
Klopstock, Friedrich Gottlieb. *Werke und Briefe: Historisch-kritische Ausgabe*. Edited by Horst Gronemeyer et al. Berlin and New York, 1974–.
Swales, Martin, ed. *German Poetry: An Anthology from Klopstock to Enzensberger*. Cambridge, U.K., and New York, 1987.
*Secondary Sources*
Hilliard, Kevin. *Philosophy, Letters, and the Fine Arts in Klopstock’s Thought*. London, 1987.
Hilliard, Kevin, and Katrin Kohl, eds. *Klopstock an der Grenze der Epochen. Mit Klopstock-Bibliographie 1972–1992*. Berlin and New York, 1995.
Kohl, Katrin M. *Friedrich Gottlieb Klopstock*. Stuttgart, 2000.
———. *Rhetoric, the Bible, and the Origins of Free Verse: The Early “Hymns” of Friedrich Gottlieb Klopstock*. Berlin and New York, 1990.
Lee, Meredith. *Displacing Authority: Goethe’s Poetic Reception of Klopstock*. Heidelberg, 1999.
**STEPHAN K. SCHINDLER**
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**KNOWLEDGE, DISSEMINATION OF.** *See* Dissemination of Knowledge.
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**KNOX, JOHN** (c. 1513–1572), Scottish church reformer. Born in Haddington (Lothian), Knox studied at Glasgow University and probably also at St. Andrews. After his ordination to the priesthood in 1536, he became a notary apostolic (a church lawyer); as tutor to Lothian gentry, the Douglases and Cockburns, he met the Scottish reformer George Wishart and was converted to evangelical views around 1545. When Wishart was burned at the stake in 1546, Knox took refuge with the Protestant garrison in St. Andrew’s Castle and began his preaching career. Although he had not been involved in the garrison’s murder of Cardinal David Beaton, when the French captured the castle in July 1547, he was taken to France and made a galley slave, which permanently undermined his health. After his release in 1549, he went to England, where he actively promoted official Protestant changes, first in the northeast; he inevitably came into conflict with the conservative bishop of Durham Cuthbert Tunstall, but also captivated an enthusiastic evangelical gentlewoman, Elizabeth Bowes. In autumn 1551 he was made a royal chaplain, and John Dudley, duke of Northumberland, brought him south, probably hoping to exploit his religious radicalism to strip the church of its wealth. However, their relations deteriorated, and Knox was among the leading clergy who in early 1553 denounced politicians’ worldliness. He failed to persuade the Privy Council to modify the 1552 Book of Common Prayer to forbid kneeling at holy
communion, although his protests prompted Archbishop of Canterbury Thomas Cranmer to insert a last-minute instruction (the “black rubric”) explaining that kneeling did not signify adoration of the bread and wine.
Mary I’s accession in 1553 interrupted Knox’s preaching ministry in Buckinghamshire. He fled abroad, followed by Elizabeth Bowes (who abandoned her Catholic husband) and her daughter Marjorie, whom he soon married. Knox championed thoroughgoing Calvinist reform among English exiles at Frankfurt am Main, resulting in his expulsion in 1555; he returned to John Calvin’s Geneva, which he called “the most perfect school of Christ on earth since the days of the Apostles.” In 1555–1556 he made a clandestine preaching tour in Scotland; back in Geneva in 1556 he drew up a directory of worship for the English congregation, the basis of the Church of Scotland’s *Book of Common Order*. After Scottish bishops burned him in effigy in Edinburgh, he abandoned a planned return visit to Scotland in 1557. His attack on the two Catholic rulers Mary Tudor in England and Mary of Guise in Scotland, *The First Blast of the Trumpet against the Monstrous Regiment of Women* (1558), asserted that it was unnatural (“monstrous”) for women to hold political power (“regiment”). Unfortunately this soon also applied to the Protestant Elizabeth I. Furious, she ended Knox’s hopes of resuming his English career, refusing even to let him pass through England on his way back to Scotland. He was appointed minister of Edinburgh in 1559. He became the most prominent clerical leader of the Protestant and anti-French revolution and successfully pressed Elizabeth’s adviser, William Cecil, Lord Burghley, for English military support. In August 1560 he was one of a team of ministers (“the six Johns”) who drew up a Confession of Faith for the Kirk (the new Protestant Church of Scotland); they also prepared a scheme to reorganize the Kirk on Calvinist lines, the first *Book of Discipline*, which, because of political uncertainty and lack of resources, was not fully implemented. From 1561 he bitterly opposed Mary, Queen of Scots and preached violent sermons against her; after she was deposed in 1567, he preached at her son’s coronation as James VI. He also preached at the funeral of the murdered regent James Stewart, earl of Moray, in 1570, but Stewart’s death and the resulting civil war lessened his influence. One of his last contributions to the Reformation cause was, in spite of having suffered a stroke, to preach one of his classic sermons on the St. Bartholomew’s Day massacre of French Protestants.
Knox’s *History of the Reformation of Religion within the Realm of Scotland* (published 1587, then in full in 1644) remains an essential witness to the Reformation although it carefully conceals much of his own early career. He is a potent symbol of a militant and uncompromisingly Presbyterian Scottish Reformation, yet with his English wife and live-in mother-in-law, he was more Anglophile and flexible than either his detractors or his Presbyterian near-idolators have recognized. The contemporary Roman Catholic controversialist Ninian Winzet sneered at Knox that he had forgotten “our auld plane Scottis quhilk your mother lerit you” because his language was so Anglicized: at the height of the Scottish political crisis in 1566, he spent six mysterious months in England of which we know nothing. Without the accidents of English politics, John Knox might well have become the first in a long troop of Scotsmen to end up a bishop of the Church of England.
*See also* Calvinism; Church of England; Elizabeth I (England); Reformation, Protestant; Scotland.
**BIBLIOGRAPHY**
*Primary Source*
Knox, John. *The Works of John Knox*. Edited by David Laing, 6 vols. Edinburgh, 1846–1864. Reprint, New York, 1966.
*Secondary Sources*
Mason, Roger A., ed. *John Knox and the British Reformation*. Aldershot, U.K., and Brookfield, Vt., 1998.
Ridley, Jasper. *John Knox*. Oxford, 1968.
Diarmaid MacCulloch
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**KOCHANOWSKI, JAN** (1530–1584), Polish and Neo-Latin poet, humanist, royal secretary and courtier, arguably the outstanding literary figure of the Slavic world before the Romantic age. Kochanowski was born to a middling gentry family of Little Poland. He matriculated at the standard age of fourteen in the Cracow Academy in 1544, then spent 1551–1552 at the Lutheran university in
Königsberg, where he once returned (1555–1556), perhaps in search of a patron at Duke Albert Frederick’s court. Over the years 1552–1559, Kochanowski spent three longer periods at the University of Padua, where he studied with one of Italy’s leading humanist scholars, Francesco Robortello. He completed his study years with a tour of France (1558/1559), where he came into contact with the poet Pierre de Ronsard.
Upon his return to Poland in 1559, Kochanowski began a fifteen-year period of activities connected with politics and the royal court. We find him among the clients of Little Polish magnates, including the Calvinist palatine of Lublin, Jan Firlej, and crown vice-chancellor (later bishop of Cracow) Piotr Myszkowski, thanks to whose patronage he became one of King Sigismund II Augustus’s secretaries and courtiers. Around 1571 Kochanowski’s ties with court life began to loosen, and he retreated more and more to his country estate at Czarnolas in Little Poland, where he lived from 1575 until his death in 1584.
Kochanowski began as a Neo-Latin poet, but his place in literary history is secured by his pioneering work in Polish. This “father of Polish literature” attempted to establish Polish models for the entire canon of classical and humanistic genres. During his court period, Kochanowski focused on poetry in an epic tonality (*Susanna*, c. 1562; *Chess*, between 1562 and 1566) and occasional poetry, as well as political poetry (*Harmony*, 1564; *Satyr, or the Wild Man*, c. 1564). He gradually shifted toward what would be his strength, lyric poetry. A central work here was his *Songs* (published posthumously in 1585), composed over nearly twenty years and based on Horatian and Petrarchan models. Over the same years Kochanowski worked on his *Trifles*, a collection of mostly short poems, often of personal or topical content, ranging in style from epic to anacreontic. They continue to find imitators among Polish poets. Kochanowski was the author of Poland’s first Renaissance tragedy, *The Dismissal of the Grecian Envoys* (written probably c. 1565 but first performed in 1578, before King Stephen Báthory, and published that year). From the last, rural period come his *Laments* (1580) on the death of his beloved daughter Urszula. Kochanowski began work on his masterpiece—a versified *Psalter*, based on the model of George Buchanan’s Latin version (among others)—while still at court, but he did the lion’s share of the work at Czarnolas, publishing it only in 1579.
Kochanowski received recognition as the premier Polish poet during his lifetime, and traditions of reading and imitation of his work have continued uninterrupted. His *Psalter* was issued twenty-five times by the middle of the seventeenth century, and it influenced similar projects in Russian, Romanian, Lithuanian, German, Hungarian, Czech, Slovak, and Lusatian. Polish Catholics and Protestants sang his versions of the Psalms in their churches (often without realizing whose they were), and seventeenth-century Polish Catholics sought to make him into an orthodox post-Tridentine Catholic, evidently troubled by the tonalities of Horatian epicureanism, Senecan stoicism, and Erasmian irenicism in his life and work.
*See also Polish Literature and Language.*
**Bibliography**
Fiszman, Samuel, ed. *The Polish Renaissance in its European Context*. Bloomington, Ind., and Indianapolis, 1988.
Langlade, Jacques. *Jean Kochanowski: L’homme, le penseur, le poète lyrique*. Paris, 1932.
Pelc, Janusz. *Jan Kochanowski: Szczyt renesansu w literaturze polskiej*. Warsaw, 1980.
David Frick
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**KOŁŁATAJ, HUGO** (1750–1812), Polish cleric, reformer of education, politician, promoter of Enlightenment thought, historian, and philosopher. Born in Dederkaly (Volhynia), the youngest son of an impoverished gentry family, he soon chose the clerical path of material and social advancement. He began studies at the Cracow Academy in 1761 and continued in Vienna (1771–1772) and Italy, especially Rome (1772–1774); during these travels he studied French, canon law, and theology and made his first contacts with Enlightenment thought.
Upon his return to Cracow in 1775, Kołłataj took priestly orders and soon joined in the work of the Commission of National Education. From 1775 to 1786 he directed the reform of the Cracow Academy, Poland’s oldest university, serving as rector from 1783 to 1786. In the years immediately preceeding the Second Partition of Poland (1786–1792), Kołłątaj resided in Warsaw, playing a leading role in attempts to reform Polish politics and society. He achieved high office (becoming Lithuanian spiritual referendary in 1787 and crown vice-chancellor in 1791) and led a movement to transform Poland’s feudal, magnate-dominated society into a modern bourgeois nation led by property gentry and burghers, governed by a parliament in permanent session, and with a now hereditary but much weakened monarch. From “Kołłątaj’s Smithy” (a term coined by his opponents) came a stream of reformist writings by various authors. Among his concerns was the status of burghers and Jews in a reformed state. Kołłątaj was a coauthor of the constitution of 3 May 1791.
In the face of the catastrophe of 1792, Kołłątaj took up a conciliatory stance, urging King Stanisław II August Poniatowski to find a modus vivendi with the Russian-sponsored Confederation of Targowica—although Kołłątaj himself was anathema to the Polish conservatives of the confederation. The Second Partition (1793) found him in Saxony, where he helped prepare the Kościuszko uprising of 1794. Contacts with revolutionary France radicalized some of his ideas. Kołłątaj returned to Warsaw in May 1794, where he became a focal point for supporters of the uprising, burghers, and Jacobins, although he was certainly not the “Polish Robespierre” that the king and others saw in him.
After the Russian conquest of Warsaw in early November 1794, Kołłątaj fled south and was arrested by the Austrians near Przemyśl. He remained incarcerated in Moravian Olomouc until November 1802. During this time he continued his scholarly work, gathering materials and sketching an outline for an ambitious historical and ethnographic project. Upon release, Kołłątaj settled in Russian Volhynia, where, under discreet police surveillance, he continued his scholarly projects and worked on the organization of a lyceum at Kremenets.
Summoned to Warsaw under Napoleon in 1806, Kołłątaj delayed. This delay, plus the emperor’s distrust of former “Jacobins,” increased his isolation. He was arrested by the Russians in 1807 and interned in Moscow until the next year, when he returned to Warsaw. He failed, however, in his attempts to play a role in the politics and culture of Napoleonic Poland. A late work, *Nil Desperandum* (1808), offered a vision of a modernized, liberal Poland restored to its old borders, in alliance with France, in a Europe divided into two empires, west (France) and east (Russia).
*See also* Poland, Partitions of; Poland-Lithuania, Commonwealth of, 1569–1795; Poniatowski, Stanisław II Augustus; 3 May Constitution.
**BIBLIOGRAPHY**
Jobert, Ambroise. *La Commission d’Education Nationale en Pologne, 1773–1794, son oeuvre d’instruction civique*. Paris, 1941.
Lech, Marian J. *Hugo Kołłątaj*. Warsaw, 1973.
Leśnodorski, Boguslaw. *Les Jacobins polonais*. Paris, 1965.
DAVID FRICK
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**KRAKÓW.** *See* Cracow.
LA BRUYÈRE, JEAN DE (1645–1696), French moralist, social commentator, and satirist. Jean de La Bruyère was baptized in Paris. His parents were bourgeois. Other than these facts, little is known about his early years before he obtained a law degree from the University of Orléans in 1665. He did not practice, however, and led a life of leisure, made possible by a modest inheritance from an uncle in 1671. In 1684 he obtained a position as one of the tutors to Louis de Bourbon, grandson of the Grand Condé, Louis II de Bourbon (1621–1686), a royal prince. When the latter died three years later, the young Louis quit his studies, but La Bruyère remained attached to the household. The role of domestic servant did not suit his temperament, although it allowed him to observe closely the court and all of its foibles.
His wounded pride and the injustices he witnessed due to the disparity of social status are often considered crucial to the creation of his only literary work, a collection of sarcastic observations and caricatures entitled *Les caracères* (1688; The characters). The work was immediately and immensely successful, going through seven editions in four years, with each edition bringing additions to previous texts as well as new passages. He was received into the Académie française (French Academy) in 1693, and can be considered one of the last “Anciens” in the quarrel between ancients and moderns. He wrote a polemical tract, *Dialogues sur le Quiétisme* (1696; Dialogues on Quietism), against the contemporary vogue for religious mysticism, assailing with vigor François Fénelon (1651–1715). He died suddenly at Versailles in May, 1696.
In *Les caracères*, (‘portraits’ or ‘caricatures’), La Bruyère established his work within the tradition of classical Greco-Roman literature. He presented first a French translation of the Greek text by Theophrastus (d. 278 B.C.E.) with some of his own *caracères* and satiric observations drawn from his own time and society. These were divided into sixteen different chapters, covering such diverse topics as literary criticism, life in town and country, the court, women, judgment, and taste. With each successive edition came an increase of entries in all categories, until La Bruyère’s text far surpassed that of Theophrastus. The opening passage to his own work, in which he switches from translator to author, begins with the often-cited phrase, “Everything has been said. . . .” a paradoxical beginning perhaps, but one that indicates the contemporary view of imitation. Novelty is to be sought less in substance than in style, in how a work is expressed.
His text is a compendium of brief forms—maxims, observations, thoughts, portraits—that often lack external connections or transitions. The coherence, or organic unity, of the whole is not apparent, although certain themes and perspectives, such as superficiality, vanity, and righteous indignation, reappear. Some critics have argued that the entire work should be read in light of the final chapter—a Christian defense—although others consider him more a pessimist or satirist than a Christian reformer. He does stress the virtues of retreat from society. Within a textual entry, elliptical, paratactical structures make for a rapid and vivid description, as nouns and verbs come shooting forth, separated by punctuation marks, a simple “and” or “but” rather than complex constructions joined by direct causal links (“because”). The age of King Louis XIV (1638–1715) prized an oral, theatrical style, and many of the *caractères* read like small scenes, presented without authorial comment. To this extent the reader plays a role in supplying the criticism or condemnation implicit within the text, such as that found in the chasm that separates Giton, who is rich, from Phédon, who is poor.
Following his literary model, La Bruyère used Greek pseudonyms for his portraits, and keys soon circulated that claimed to identify the real identities of Ménalque, the scatterbrain, Gnathon, the gourmand, Ornulphre, the religious hypocrite patterned after Molière’s Tartuffe, and dozens of other individuals. He was much imitated in the eighteenth century, although without much success. Due to their short form but richly dense material, many passages were anthologized in the nineteenth and twentieth centuries, for general audiences as well as classroom exercises. Gustave Flaubert (1821–1880), Marcel Proust (1871–1922), and André Gide (1869–1951) were influenced by his style, and recent literary criticism has found an affinity for the open, “readerly” nature of the texts. As for his content, his comments on women have brought him some approbation, but his indictment is primarily against the way society treats them and how they are obliged to behave. In addition, La Bruyère was one of the few writers of the seventeenth century even to allude to the plight of the poor and the peasants.
*See also Ancients and Moderns; Condé Family; Fénelon, François; French Literature and Language; Louis XIV (France); Molière (Jean-Baptiste Poquelin); Quietism.*
**BIBLIOGRAPHY**
James, Edward. “La Bruyère: A traditionalist in an age of change.” In *Seventeenth-Century French Studies* 14 (1992): 69–79.
Knox, Edward C. *Jean de La Bruyère*. New York, 1973.
Parkin, John. “La Bruyère: A Study in Satire.” In *French Humour*, edited by John Parkin. Amsterdam, 1999.
Van Delft, Louis. *La Bruyère moraliste*. Geneva, 1971.
**LA FAYETTE, MARIE-MADELEINE DE** (Marie-Madeleine Pioche de la Vergne, countess of La Fayette; 1634–1693), French novelist. Born in Paris to a family of the lower nobility with close ties to the court of King Louis XIII (ruled 1610–1643), Marie-Madeleine Pioche de la Vergne became a lady-in-waiting at the age of fifteen to Anne of Austria, the French queen. She received a broad education in the classics and languages, was an enthusiastic reader of the popular new novels of her day, and, from an early age, was close to prominent figures including the moralist and philosopher François de la Rochefoucauld, the cardinal of Retz, and the writers Gilles Ménage and Madeleine de Scudéry. In 1655 she married Francis Motier, count of La Fayette, and moved with him to his property in the Auvergne. The first of her two sons was born in Poitou in 1658, but after three years in the provinces Marie-Madeleine moved back to Paris, leaving her husband behind to manage his country estates. She lived independently in Paris for the rest of her life in her home next to the Luxembourg palace, where she remained closely involved with the intellectual and political life of the court and the salons of the capital.
Literary history has traditionally designated Madame de La Fayette as the originator of the modern novel. She turned to writing fiction soon after her return to Paris, and in 1662 anonymously published a short historical fiction, *La princesse de Montpensier* (The princess of Montpensier) followed by two novels, *Zaïde* (1670) and *La princesse de Clèves* (1678; The princess of Clèves). La Fayette’s great innovation was her particular way of blending history, romance, and psychological analysis. In her fiction she incorporated some of the features of pastoral and epic narrative into a framework more closely resembling memoirs and historical documents. In her most important and influential novel, *La princesse de Clèves*, she designed a plot drawn from events at the French court of the sixteenth century. Into a group of characters including Catherine de Médecis, the duc of Guise, and the young Mary Stuart, she placed a central figure of her own invention, presenting the story of the psychological development of a young woman maturing in the oppressive atmosphere of courtly intrigue. Madame de La Fayette’s first readers recognized in her novel more a reflection of their own time than that of
history. The book precipitated a major literary quarrel, conducted in print via a popular gazette of the day, *Le Mercure galant* (The gallant Mercury). Readers argued passionately about the novel’s realism, the plausibility of the heroine’s behavior, and the moral implications of her story. The controversy extended to La Fayette’s readers in England, where each of her novels was published in translation within a year of its appearance in France.
Themes central to *La princesse de Clèves* are examined in all of La Fayette’s fiction: the difficulty of sincere communication, the fugitive quality of love, the tensions between religious principles and worldly demands, and the constraints of marriage. Retreat from the world is the solution that holds the strongest appeal for her female characters, but the difficulty of decisions such as these, and their slow maturation in the minds of the protagonists, are what most fascinate La Fayette: exemplary behavior is achieved at a great cost. In the darkest of La Fayette’s scenarios, as in the posthumously published *La comtesse de Tende* (1724; The princess of Tende), the heroine’s urge for escape is suicidal. In *La princesse de Clèves*, retreat is a solution that is closer to a form of religious devotion.
Also published posthumously were historical memoirs of the court of King Louis XIV, *Mémoires de la cour de France* (1731; Memoirs of the French court). La Fayette used the memoir genre to dramatize the inevitable confrontation with death in her more personal historical memoir, *Histoire de Madame Henriette d’Angleterre* (The Story of Madame Henrietta of England) begun as a biography at the request of her friend Henrietta of England and transformed by the princess’s abrupt death in 1670.
In the last decade of her life Madame de La Fayette withdrew from Parisian society but continued to engage in social life through letter correspondence. Her closest friend, after the death of her companion La Rochefoucauld, was Madame de Sévigné, whose letters are an important source for our knowledge of La Fayette’s life. Their correspondence also provides documentation of Madame de La Fayette’s ambivalent attitude toward her own status as an author and her strategic use of the practice of anonymous publication. Sévigné’s letters record the popularity of La Fayette’s writings.
Madame de La Fayette has remained a canonical figure in French literary history. The innovative aspects of her fictional plots are increasingly explored in literary criticism, with particular interest in her invention of new models for describing women’s psychological and social development.
*See also* French Literature and Language; La Rochefoucauld, François, duc de; Louis XIII (France); Seudéry, Madeleine de; Sévigné, Marie de.
**BIBLIOGRAPHY**
*Primary Sources*
La Fayette, Madame de. *La princesse de Clèves; La princesse de Montpensier; La comtesse de Tende*. Translated by Terence Cave. Oxford and New York, 1999.
———. *The Secret History of Henrietta, Princess of England, First Wife of Philippe, Duc d’Orléans; Together with, Memoirs of the Court of France for the Years 1688–1689*. Translated by J. M. Shelmerdine. New York, 1993.
*Secondary Sources*
Green, Anne. *Privileged Anonymity: The Writings of Madame de Lafayette*. Oxford, 1996.
Henry, Patrick, ed. *An Inimitable Example: The Case for the Princesse de Clèves*. Washington, D.C., 1992.
Elizabeth C. Goldsmith
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**LA FONTAINE, JEAN DE** (1621–1695), French poet and fable writer. Jean de La Fontaine grew up in a bourgeois family in rural France, where his grandfather, father, and finally he himself held the local charge of master of waters and forests. In his youth he quit the study of theology to pursue and obtain a law degree. He married and had a son, but cared little for his family and soon lived separately, in Paris. The poems “Adonis” (1658) and “Elegie aux nymphes de Vaux” (1661; The dream of Vaux) impressed Nicolas Fouquet (1615–1680), Louis XIV’s superintendent of finances and a patron of the arts, who granted the poet a pension in 1659. The disgrace and imprisonment of Fouquet (1662) disrupted La Fontaine’s life and finances and caused the king to be suspicious of the poet for many years. He entered into the service of the king’s widowed aunt, where he again had access, albeit limited, to the rich bourgeoisie and the aristocracy. He began to frequent literary salons and published *Contes et nouvelles en vers* (1665; Tales and stories in verse), which were shockingly indecorous to precious ladies and followers of classicism because of their bawdy
withheld royal approval until after Nicolas Boileau-Despréraux (1636–1711) had been admitted several months later. Leading a libertine life well into his sixties, La Fontaine did not change his life or renounce his more scandalous works until after he fell gravely ill in 1693. The next year saw a final book of *Fables*, a year before his death in Paris.
La Fontaine had the nickname of the “butterfly of Parnassus,” as he was often considered to be flighty and disorganized. Anecdotes abound related to his naïveté, lack of seriousness, and inability to hold a decent conversation. But more recently this view has been challenged, and he has been seen as a capable courtier possessed of more skills than previously thought. Meanwhile, his superb mastery of poetic technique has never been doubted.
The two hundred and forty or so fables that he wrote can be considered as various overlapping scenes in the drama of human life. This is presented generally by a brief story of animal conflicts, making the poems allegorical. They need to be applied to human behavior (the wolf represents a certain kind of individual, or even a particular person) before instruction can be drawn. The morals, which are often (but not always) stated, can seem contradictory, or at least tied to a certain situation, when the entire body of fables are read, but the didactic purpose frequently lies in citing one fable for a unique real-life case. The fables are appealing to both children and adults and are linked to the seventeenth century by numerous specific details, but they attain universal pertinence by the general character traits and morals revealed.
The first set of *Fables* was inspired mainly by the Greek writer Aesop and the Roman Phaedrus, while later works were modeled after Bilpay and other non-Western sources. The conflicts between the grasshopper and the ant, the wolf and the lamb, and the tortoise and the hare, among many others, were part of both an oral tradition and a literary one. La Fontaine did not alter the basic stories or outcomes from these sources, but elaborated both the narrative and poetic aspects. A bit of conversation or some detail of clothing or place makes them more dramatic, picturesque, and plausible. As for poetic technique, at a time that valued the alexandrine couplet, La Fontaine displayed great irregularity, as he varied his line lengths and rhyme schemes within
each fable, making them less artificial and predictable.
Both Jean-Jacques Rousseau (1712–1778) and Alphonse Marie Louis de Prat de Lamartine (1790–1869) criticized the *Fables* as being too violent for children or even for adults, who also might mistakenly follow the vices, rather than the virtues, depicted. It is true that the poems often teach by negative example, but their charm has captivated most critics, teachers, and parents for more than three hundred years.
*See also* Boileau-Despréaux, Nicolas; Folk Tales and Fairy Tales; French Literature and Language; Lully, Jean-Baptiste.
**BIBLIOGRAPHY**
Calder, Andrew. *The Fables of La Fontaine*. Geneva, 2001.
Danner, Richard G. *Patterns of Irony in the Fables of La Fontaine*. Athens, Ohio, 1985.
Lapp, John C. *The Esthetics of Negligence: La Fontaine’s Contes*. Cambridge, U.K., 1971.
Rubin, David Lee. *A Pact with Silence: Art and Thought in the Fables of Jean de La Fontaine*. Columbus, Ohio, 1991.
Runyon, Randolph Paul. *In La Fontaine’s Labyrinth: A Thread through the Fables*. Charlottesville, Va., 2000.
Slater, Maya. *The Craft of La Fontaine*. London, 2001.
Sweetser, Marie-Odile. *La Fontaine*. New York, 1987.
Vincent, Michael. *Figures of the Text*. Amsterdam and Philadelphia, 1992.
**ALLEN G. WOOD**
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**LA METTRIE, JULIEN OFFROY DE** (1709–1751), French physician and philosopher. Julien Offroy de La Mettrie is best known for his work of materialist philosophy, *L’homme-machine* (1747). His philosophical works were written early in the French Enlightenment but are among some of the most radical works of that period.
La Mettrie was born in Saint-Malo in Brittany on 19 December 1751, the son of a textile merchant wealthy enough to give him a good education. He attended several provincial colleges, where he was influenced by Jansenism. In 1725 he enrolled in the College d’Harcourt, the first academic institution to make Cartesianism central to the curriculum. La Mettrie then spent five years at the University of Paris studying medicine. To avoid graduation fees at Paris, he took his degree at the University of Reims. He found his education insufficient preparation for the actual practice of medicine and went to the University of Leiden to study with Hermann Boerhaave (1668–1738), a renowned teacher of physiology and chemistry and an innovative practitioner of clinical medicine. La Mettrie translated many of Boerhaave’s most significant works, and in his commentaries on those works, he emphasized the materialistic strand he found in them that provided the foundation for his own medical philosophy. La Mettrie also wrote five medical treatises on specific diseases and public health. His medical experiences led him to lampoon the ignorance and venality of Parisian medical practitioners in thinly veiled medical satires. From these satirical counterexamples, La Mettrie developed his notion of the *médecin-philosophe* who incorporated the astute empirical observation of a surgeon, the thorough training in physiology of an idealistic physician, and the zeal of the reform-minded philosophe. The *médecin-philosophe* could be an agent for reform based on scientific knowledge.
The critical perspective of the *médecin-philosophe* was gleaned from an understanding of the human being based in medicine and physiology. La Mettrie’s philosophical works all approached philosophical issues from this perspective. *L’histoire naturelle de l’âme* (1745), his first philosophical work, was a rather conventional discussion of the philosophical treatment of the vegetative and animal souls combined with a materialist view of the human, rational soul, using a materialist reading of John Locke’s (1632–1704) *An Essay concerning Human Understanding* (1690) as its source. La Mettrie argued that the human soul could be completely identified with the physical functions of the body and that any claims about the existence of the soul must be substantiated by physiology. Consequently his books were banned, and he was exiled to Holland in 1745. In *L’homme-machine*, La Mettrie not only adopted the engaging style of Enlightenment philosophes, he also applied a thoroughgoing materialism to human beings. Using evidence drawn from anatomy, physiology, and psychology, he demonstrated the effects of the body on the soul and the comparability between humans and animals. His man-machine was active, organic, and
self-moving; his materialism did not distinguish between conscious, voluntary movement and unconscious, instinctive movement. This work was deemed so radical that the tolerant Dutch exiled La Mettrie. He sought refuge at the court of Frederick the Great (1712–1786) of Prussia, where he remained until his early death in 1751.
Several other philosophical works, including *L'homme plante* (1747) and *Le système d'épicure* (1751), compared humans to lower creatures and placed all creatures in the context of the unfolding of matter and motion in an evolutionary process. La Mettrie insisted that the physician’s approach to questions, usually treated by theologians and metaphysicians, would be more productive, even on ethical issues. In *Le discours sur le bonheur* (1748) La Mettrie examined the implications of materialism for moral values. He questioned whether moral systems corresponded to human nature as corroborated by his physiological understanding of human beings. Vice and virtue, he concluded, were arbitrarily constructed by society to serve its interests, but those interests were often at odds with the physiological constitution of the individual. He hoped that, by recognizing the arbitrary nature of its moral notions, society would reward a greater array of human behaviors and so alleviate the sufferings of those who were ill disposed to seek happiness in what society deemed virtuous. La Mettrie was particularly critical of both stoicism and Christianity as moral systems, which, he claimed, were based on a distorted understanding of human nature.
La Mettrie saw the *médecin-philosophe* as an agent of rational analysis and social progress and identified with the goals of the early Enlightenment. The philosophes, however, found his materialism, moral relativism, hedonistic ethics, and atheism much too dangerous to espouse. Even other materialists, such as the Baron d’Holbach (1723–1789) and Denis Diderot (1713–1784), did not acknowledge their debt to such a radical thinker. La Mettrie’s medical materialism, grounded in the scientific issues of his day, is his most significant contribution to the French Enlightenment and the history of philosophy.
*See also* Boerhaave, Herman; Medicine; Philosophes; Philosophy.
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**BIBLIOGRAPHY**
Thomson, Ann. *Materialism and Society in the Mid-Eighteenth Century: La Mettrie’s “Discours Préliminaire.”* Geneva, Switzerland, 1981.
Vartanian, Aram. *La Mettrie’s “L’homme machine”: A Study in the Origins of an Idea.* Princeton, 1960.
Wellman, Kathleen. *La Mettrie: Medicine, Philosophy, and Enlightenment.* Durham, N.C., 1992.
Kathleen Wellman
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**LA RAMÉE, PIERRE DE.** See Ramus, Petrus.
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**LA ROCHEFOUCAULD, FRANÇOIS, DUC DE** (1613–1680), French writer. A peer of France who later became a leading moralist in the French classical age, La Rochefoucauld, the eldest son of a provincial nobleman and courtier from the Angoumois in western France, was groomed early to inherit the family name, title, and estate. His formative reading centered more upon popular romance than the classical canon, as he acquired his nickname from a character in the serialized novel *Astrée*. Married at fifteen when he was still the prince of Marcillac, he soon embarked upon a military career. Starting in the middle 1630s, he fell in with noble opposition to the ministries first of Cardinal Richelieu (1624–1642) and then of Cardinal Mazarin (1642–1660). During the civil upheavals known as the Fronde (1648–1652), he sided with the rebels against the regency government, and was wounded in battle 9 February 1649. At the unsuccessful conclusion of the Fronde, he made a wary peace with the government, receiving a pension in exchange for renouncing further political intrigue.
From the end of the Fronde until his death, La Rochefoucauld spent his time principally in the social world of Paris, where he was a frequent guest in the salons and where he developed his very considerable talents as a writing stylist. Among his friends and collaborators were the salon hostess the Marquise de Sablé, the novelist Mme de La Fayette, and the worldly Jansenist Jacques Esprit. La Rochefoucauld is known today as the author of three significant works. The *Réflexions diverses* (Diverse reflections), which was only discovered and published posthumously and has never been translated into
English, is a series of essays on taste, sociability, and moral psychology. His *Mémoires* (1662) offer one of the most important accounts of the political factionalism in noble circles in the period up to and including the Fronde. His subtle and nuanced attacks on the motives of some of the principal players of his time, including Cardinals Richelieu and Mazarin and Louis de Bourbon, the prince of Condé, made the work a scandal when it first appeared in the 1660s.
His most important work was the *Maximes*. Growing out of a collaborative salon pastime, this work went through considerable elaboration between its first appearance in 1665 and its most polished edition of 1678. In the *Maximes*, most of the traditional resources of self-control and moral responsibility are depicted as illusory. Fortune triumphs over fortitude, the humors and temperaments win out over character, the passions interfere with reason, and self-love rules all. Even in the least likely corners of the heart and soul, the author traces the effects of self-deception and hidden self-aggrandizement. Some of the maxims seem to debunk the possibility of noble virtues such as courage and perseverance. Others unravel the more private sentiments such as love and friendship. Still others erode the social affections such as gratitude and generosity. “Self-love is the greatest flatterer of them all” (Maxim 2) is a fair sample of the genre.
The sheer scale of the unmasking enterprise, and the prominent role of self-love in it, led contemporaries to a disagreement that has not abated since. Some observers associated La Rochefoucauld with Blaise Pascal (1623–1662), Pierre Nicole (1625–1695), and other Jansenists, that austere movement of religious and moral revival that adopted St. Augustine’s view that grace alone brought salvation, and that what appear to be human virtues are in reality merely variations on the hidden pride and self-interest that move fallen man. Other readers felt that La Rochefoucauld’s systemic, lynx-eyed suspicion covered sacred as well as secular, religious as well as worldly ideals, and that his moral psychology therefore is best seen as a form of reductionism, perhaps even nihilism.
In the eighteenth century, there was a tendency to accept the premise of La Rochefoucauld’s views on the pervasiveness of self-love while drawing more hopeful conclusions from it. Writers from Bernard Mandeville (1670–1733) to Claude-Adrien Helvétius (1715–1771) saw in the *Maximes* support for an emerging liberal view of society in which the pursuit of private self-interest is conducive to the public good, a view that perhaps culminated in Adam Smith’s *An Inquiry into the Nature and Causes of the Wealth of Nations* (1776). In the nineteenth century, La Rochefoucauld’s most noteworthy influence was exerted on German aphoristic philosophers such as Arthur Schopenhauer (1788–1860) and Friedrich Nietzsche (1844–1900). Nietzsche saw in La Rochefoucauld an admirable specimen of uncorrupted European aristocracy, as well as a method of psychological insight and moral honesty far preferable to the democratizing utilitarianism of his day.
*See also* Fronde; Jansenism; Mazarin, Jules; Paris; Richelieu, Armand-Jean Du Plessis, cardinal; Salons.
**BIBLIOGRAPHY**
*Primary Sources*
La Rochefoucauld. *Maxims*. Translated and introduced by Leonard Tancock. New York, 1959. Long the standard English translation of the 1678 edition of the *Maximes*.
———. *Maxims: La Rochefoucauld*. Translation, introduction, and notes by Stuart D. Warner and Stéphane Douard. South Bend, Ind. 2001. Bilingual edition of the *Maximes*.
*Secondary Sources*
Bénichou, Paul. “The Destruction of the Hero.” In *Man and Ethics: Studies in French Classicism*. Translated by Elizabeth Hughes. Garden City, N.Y., 1979. Translation of *Morales du grand siècle* (1948). Standard account of the social implications of the *Maxims* and other contemporary works.
Bishop, Morris. *The Life and Adventures of La Rochefoucauld*. Ithaca, N.Y., 1951. The only book-length biographical account in English.
Clark, Henry C. *La Rochefoucauld and the Language of Unmasking in Seventeenth-Century France*. Geneva, 1994. Argues for a secular, nonreligious interpretation of the moralist’s work.
Holman, Robyn, and Jacques Barchilon, eds. *Concordance to the “Maximes” of La Rochefoucauld*. Boulder, Colo., 1996.
Lafond, Jean. *La Rochefoucauld: Augustinisme et littérature*. Paris, 1977. Leading statement of a religious interpretation of the *Maximes*.
HENRY CLARK
LA ROCHELLE. The primary characteristic of La Rochelle was its isolation. Situated on the Bay of Biscay, the city was all but cut off from the interior by marshland. Yet this very isolation allowed La Rochelle to become one of France’s most prosperous towns by the end of the Middle Ages. At the beginning of the twelfth century the port barely existed. It blossomed into prominence with the subsequent expansion of the export trade in wine and salt, a salt yielded in abundance by the encircling marshes. The city also profited from seigneurial rivalries and ambitions to secure an unusual degree of municipal autonomy. It barely paid any royal taxes, and the economic life of the commune was regulated by its one hundred-member council headed by the mayor.
The most dynamic elements of La Rochelle’s population of twenty thousand consisted of merchants, shopkeepers, and artisans. Royal authority was nominally represented by the *senechal* (who had the honor of selecting the mayor from three names offered by the council) and from 1553 by a diminutive corps of legal officers. Despite the existence of a number of monastic houses, La Rochelle boasted only five parish churches, and the ecclesiastical hierarchy was weak compared with that of many other towns.
This social physiognomy helps explain the receptiveness of the Rochelais to the Reformed Church. Clerics, artisans, merchants, and municipal and royal officers all adopted the Protestant doctrines, and by 1570 the municipality was firmly attached to the Huguenot cause, providing a virtually impregnable retreat for the Huguenot grandees in times of difficulty. La Rochelle withstood a siege lasting six months in 1573 and emerged from the Wars of Religion with its privileges bolstered. The resulting sense of security almost certainly explains why, as in the southern Huguenot towns of Montauban and Nîmes, the Huguenots sustained their congregations, which embraced the overwhelming majority of the population.
By the 1620s, however, La Rochelle’s privileges had become an intolerable barrier to the government’s plans to enhance its fragile control of the Atlantic seaboard, an ambition that dovetailed with the renewal of war against the Huguenots. The two processes reached a spectacular climax with a fourteen-month blockade that culminated in the entry of Louis XIII (ruled 1601–1643) into the city at the head of his troops on All Saints’ Day 1628. Reduced by death and desertion to a mere five thousand survivors, La Rochelle emerged into a different world. La Rochelle’s municipal institutions and autonomy were destroyed along with most of the city walls. The wealth of its merchants was subject to the soaring fiscal exigencies of the crown, a fact most strikingly brought home by the progressive abandonment of the heavily taxed salt marshes.
It is testimony to the power of the Atlantic economy that the decline in La Rochelle’s fortunes was relative rather than catastrophic. By 1675 the population had returned to its former level, and expanding colonial trade together with the growth of the brandy trade compensated for the decline in the quality of the local wines. By 1720 brandy formed 37 percent of total exports, while the West Indian slave trade gave the merchant community a new lease on life.
Yet the effects of royal taxation on a modestly sized town with an inadequate harbor and no major river ultimately could not be avoided. As the populations of Nantes and Bordeaux soared in the decades after 1720, that of La Rochelle declined once more. Although the value of its trade had risen, its share of France’s colonial trade declined from 20 percent in 1730 to 7 percent in the 1770s.
*See also* Huguenots; Richelieu, Armand-Jean Du Plessis, cardinal; Wars of Religion, French.
**BIBLIOGRAPHY**
Clark, John G. *La Rochelle and the Atlantic Economy during the Eighteenth Century*. Baltimore and London, 1981.
Meyer, Judith Chandler Pugh. *Reformation in La Rochelle: Tradition and Change in Early Modern Europe, 1500–1568*. Geneva, 1986.
Parker, David. *La Rochelle and the French Monarchy: Conflict and Order in Seventeenth-Century France*. London, 1980.
Pérouas, Louis. *Le diocèse de La Rochelle de 1648 à 1724*. Paris, 1964.
Robbins, Kevin C. *City on the Ocean Sea, La Rochelle, 1530–1650: Urban Society, Religion, and Politics on the French Atlantic Frontier*. Leiden, 1997.
LA TOUR, GEORGES DE. See Caravaggio and Caravaggism.
LABORERS. Overtime, output schedules, and standardized wares suggest both rapid and regular production. Steady, fast-paced toil also conjures up the factory and mechanized work—and workers. Craft shops and even many mills, with the languid splash of their waterwheels, evoke a more leisurely rhythm of labor, a human pace governed by the hand and readily disturbed by the seductions of the tavern or carnival. A vast divide supposedly separated these two worlds of work, one modern and the other traditional, one in which time is spent and the other in which time was passed (Thompson, p. 359). There is much to commend in this conventional depiction. But the intensification of labor did not await the machine, and in many trades and settings, time became money without Watt’s engine.
WORKSHOP ORDER AND CONTROL
Fashioning a saddle, a wig, or a pewter cup in early modern Europe was often frustrating. When markets turned inviting, petty craftsmen and substantial manufacturers frequently faced idle workbenches and inadequate inventories. Locating ample raw materials, since many were perishable, could be maddening. Papermakers, for instance, engaged in an endless search for white rags, the material base of their reams, but knew that most bales of discarded linen would be streaked with dirt or human filth. At the other end of the process, successful producers of sheets of paper or panes of glass relied on cumbersome, risky portage. Teamsters turned into thieves, or simply abandoned fragile wares in the rain and dropped them on muddy roads. Above all, when demand surged, securing a group of skilled hands or a single man with indispensable know-how was an art in itself. And, once hired, said the masters, these workers rarely toiled with a proper sense of urgency.
Apprentices in the skilled crafts learned their trades slowly, with formal indentures generally lasting from three to seven years. Since employment was fleeting, they also learned quickly to labor slowly, which stretched hours and spread work and wages around. After completing their terms, these youths entered restless, spot labor markets, in which bosses discharged printers and stonecutters as soon as they completed a press run or a building. Ever boastful, Benjamin Franklin surely failed to endear himself to his brother workers in a London printing house by sometimes “carr[ying] up and down Stairs a large Form of Types in each hand, when others carried but one in both Hands.” His “constant Attendance” and abstention from Saint Monday, usually observed by pressmen and compositors at an alehouse, “recommended [him] to the Master,” but never to his fellows. When he violated yet another of his comrades’ rules, the “Chapel Ghost,” the guardian of their properties, exacted revenge by “mixing [his] Sorts, transposing [his] Pages, breaking [his] Matter” (Franklin, p. 99–101). In every mechanical art, skilled men sweated mightily to keep their ranks thin, familial, and initiated. Ensuring the appropriate duration of their toil was a crucial element of this mastery. Moreover, the men who enjoyed it did not depend on a foreman’s watch. Legislation from fourteenth-century Verona reveals that the town bell sounded the time to leave for work, the start and conclusion of the noon meal break, the afternoon respite, and the close of the workday (Goldthwaite, p. 290). At the building site of Santo Spirito, a clock chimed every thirty minutes, thereby empowering the workers as much as their masters (King, p. 51).
In 1796, the English Parliament mandated that paperworkers should take thirty minutes to fashion each post of paper, the trade’s production measure, and fabricate twenty posts per day. This clause was never enforced; papermaking went on as it always had, until the pulp ran dry. Meanwhile, French paperworkers traditionally commenced their day’s work in the middle of the night, from midnight to three A.M., and labored into the early afternoon. To economize on candles and oil, the master papermakers of Thiers decided to shut their mills until just before daybreak. Incensed, the paperworkers stayed away from the shops, leaving their bosses surrounded by vatfuls of perishing pulp. The manufacturers turned to youngsters, women, and “workers foreign to the province,” but the scabs
decamped quickly, the masters dismissed the women, and the producers’ pleas to innkeepers “to cut off credit to the rebels” failed to bring the strikers to their knees. Despite the state’s edict that the journeymen’s workdays were to be divided equally around noon, a local official, Mignot, intervened in vain, for the paperworkers bent “neither to threat nor to persuasion.” After two months of trouble and idled vats, the Thiernois masters threw in the towel: the paperworkers continued to start their day at three A.M. (Gachet, p. 130). “This is probably not the right hour to pursue a rigorous policy” toward the journeymen paperworkers, Mignot concluded (ibid.). Yet skilled paperworkers toiled within a complex division of labor and had an active, stiff-necked association.
Of course, the distance between the skilled man and the unskilled, the *gagne-deniers*, ‘penny earners’, in France, was not always great and, especially in hard times, could close rapidly. Witness the twin definitions in eighteenth-century Paris of the term *tonnelier*, at once a cooper and a longshoreman unloading casks of wine (Haim Burstin, “Unskilled Labor in Paris at the End of the Eighteenth Century” in Safley and Rosenband, p. 68). That said, the hod carrier and street sweeper inevitably lacked many of the rights and powers of the skilled guild member, and doubtless possessed less mastery over the time and hours of their work. Still, it was widely recognized that the Auvergnat immigrant to the capital often became a water carrier, the Lyonnais served as a porter, the Savoyard shined shoes and swept out chimneys, and the Norman broke stones. Equally, in 1786, Parisian penny-earners dared to rise against a new company destined to monopolize the delivery of packages in the city and hence displace “established” porters (Burstin in Safley and Rosenband, p. 71). Such men did not expect to labor regularly and likely would have been thrilled with two hundred days (even partial days) of work in a year. Quotas were certainly
distant from their orbit of toil, but they, too, evidently put a price on their labor and knew how to secure—and protect—these precious hours.
**THE PACE OF LABOR**
So the length of the average early modern European workday will continue to be hard to determine. Unstable employment, seasonal patterns of production, and complicated accounting of time at the bench mandate cautious, cross-trade comparisons. London tailors, after all, labeled their slow summers “cucumber time,” when they could afford little else on which to subsist (Rule, p. 51). In printing, papermaking, and leather breech making, a “day” represented a closely negotiated amount of work rather than a fixed set of hours. Just to assess the earnings of the shipwrights in the royal dockyards of England, John Rule observed, involves the deciphering of the meaning of “treble days, double days, day-and-a-half, two for one, task, job, common hours, nights and ‘tides.’” Worse yet, these words, and hence the toil they depict, often defied conventional definitions (Rule, p. 63). At the far edge of this terminological thicket, consider this vague, but eloquent, rendering of the hatter’s day: “a man goes early and works late” (Rule, p. 55). In fact, when work was available, journeymen on both shoulders of the Channel routinely put in twelve- and fourteen-hour days, and sometimes labored even longer. Parisian blacksmiths endured workdays of fourteen hours in the eighteenth century, while bookbinders sweated for sixteen (Sonenscher, p. 95). Still, in 1776, the willful Josiah Wedgwood admitted, “Our men have been at play 4 days this week, it being Burslem Wakes. I have rough’d & smoothed them over, & promised them a long Xmass, but I know it is all in vain, for Wakes must be observed though the World was to end with them” (Pollard, p. 182). Wedgwood was both angered and puzzled by a problem, from the masters’ perspective, that extended far beyond his pot-bank: why did the laboring poor, so often desperate for work and familiar with punishing hours of toil, respond so peculiarly to the carrots and sticks he proffered? The issue, known to economists as “leisure preference,” can be reduced to a paradox, at least to modern readers responsive to the lure of high pay and other incentives: early modern Europeans tended to cut back on hours and effort when work was plentiful, wages high, and grain prices low. Long ago, Max Weber provided an explanation for this practice: the worker “did not ask: how much can I earn in a day if I do as much work as possible? but: how much must I work in order to earn the wage which I earned before and which takes care of my traditional needs?” (Rule, p. 52). Eighteenth-century observers were less charitable, instead condemning the dissolute ways of the working classes. Restif de la Bretonne explained that the “dearness of labor” actually threatened a populace that “if it can earn what it needs in three days, only works for three days and spends the other four in debauchery” (Michael Sonenscher, “Work and Wages in Paris in the Eighteenth Century,” in Berg et al., p. 150). An English clothier put it bluntly: elevated rewards had rendered his hands “scarce, saucy and bad” (Rule, p. 54).
High wages, however, had yet to become the order of the day. Put another way, relatively few among the laboring poor enjoyed the chance to respond to the carrot while all too many still felt the compulsion of the stick. This circumstance suited those “low-wage thinkers” who celebrated long hours at flinty pay as the surest means to combat indolence and intemperance. But enlightened thinkers like Adam Smith had reached a different conclusion: “That a little more plenty than ordinary may render some workmen idle, cannot well be doubted; but that it should have this effect on the greater part . . . seems not very probable.” Indeed, Smith added, “Where wages are high, accordingly, we shall always find the workmen more active, diligent, and expeditious” (Smith, pp. 81–83).
**CONSUMER CULTURE AND THE “INDUSTRIOUS REVOLUTION”**
For high pay to work its magic, however, the laboring poor had to sacrifice their leisure in favor of consumption. Even the butcher, baker, and candlestick maker, who lacked internal promptings to maximize and accumulate, took pleasure in finery or an extra dram. As the Old Regime progressed, the wants of the past—goods that journeymen and penny earners had once dreamed about—were becoming needs. In an era when appearance still remained the measure of a man (and a woman), bourgeois and nobleman alike grumbled about the pretensions of their inferiors. An anonymous memoir from Montpellier, penned in 1768, raged that “The most vile artisan behaves as the equal of the
most eminent artiste or anyone who practices a trade superior to his. They are indistinguishable by their expenditures, their clothes, and their houses” (Darnton, p. 134). Shopgirls now wore silk stockings, and, to the horror of their betters, might be mistaken for persons of quality.
Perhaps the blurring of certain social lines during the twilight of the Old Regime accounted for an exaggerated concern over the ostentation and “luxury” of the laboring poor. If the plight of the casual laborer Louis Bequet, who crowded into one Parisian bed with his wife and five children in 1779, was unusual, cradles and children’s beds remained rare among the common sorts. Nevertheless, cheap knockoffs of muff’s, snuffboxes, umbrellas, and countless other items increasingly figured among the inheritances of eighteenth-century workers. As Daniel Roche commented, they were “learning to be consumers” (Roche, p. 127). Nothing symbolized this education more than the prevalence of mirrors in working-class quarters. Here was evidence of a newfound attention to appearance among the popular classes, and possibly a willingness to exchange leisure for adornments. This was fertile soil for the manufacture of time-discipline at the workbench, both inside the factory and outside its gates.
The penetration of this “consumer revolution” into the lower ranks of European society, however incomplete, poses a critical question: if real wages in the eighteenth century were stagnant at best, how shall we account for the widening array of wares present in the inventories of the laboring poor? Jan De Vries has worked out an ingenious solution to this conundrum, which he termed the “industrious revolution” (De Vries, p. 255). This approach rests on careful consideration of the early modern European household as a site of production and as a source of labor power, as well as a web of consumption and distribution. De Vries contends that laboring households in England, northwestern Europe, and colonial America made decisions that enhanced both the supply of commodities and muscle outside the home and the demand for goods purchased in the marketplace. Thus peasants intensified their production for the market, unemployed hands in agrarian regions were increasingly put to work at the loom and the spinning wheel, and women and children performed more waged labor.
BUREAUCRACY, EXPLOITATION, AND EFFICIENCY
While an internal impulse to consume blossomed, it is also likely that a measure of exploitation, especially of women and children, accompanied the secondhand tapestries hanging in ever more households. Wages, however, also may have granted some independence to these women. Perhaps this relatively free hand, plus a taste for what a few extra sous could buy, helped prepare them for their role in the mills and factories of the industrial revolution—a role that submitted them to wearying, regular workdays (when the machines did not break down) of twelve hours or more, six days a week.
To reduce theft and coordinate the sweat and skills of a large number of hands, substantial workshops had systems of labor discipline, including time management, well before the turn to mechanized production and steam power. Unlike lesser hand papermakers, the Montgolfiers, one of the largest producers in late-eighteenth-century France, installed a precisely bounded workday, with quotas for each of the sections of a proper day’s work (Rosenband, p. 108). Consider, too, the Venetian state shipyards, better known as the Arsenal. By 1600, a battalion of administrators supervised this enterprise. They included at least a score of clerks and bookkeepers, as well as nearly one hundred technical and disciplinary figures who oversaw every facet of production. (Of course, all this should not be construed to mean that skilled and unskilled hands alike gave up their dodges, pranks, and capacity to steal rope and timber.) As a result of its organization of production and the Republic’s resources, the Arsenal was renowned for its capacity to turn out considerable numbers of battle-ready warships in a matter of months or even weeks (Robert C. Davis, “Arsenal and Arsenalotti: Workplace and Community in Seventeenth-Century Venice” in Safley and Rosenband, p. 180). Yet much of the work in these yards revolved around traditional skills, with their conventional nomenclature and custom.
A very different project took shape in the English dockyards under Samuel Bentham. Appointed inspector-general of the naval works in 1795, he embraced the quantifying spirit of the Enlightenment, particularly as a tool for the creation of orderly shops. He approached the resources at his disposal with an accountant’s eye and sense of efficiency. He also intended to overthrow the journeymen’s rule of thumb and settle scores with these overmighty hands. So, his proud widow explained, “He therefore began by classing the several operations requisite in the shaping and working up of materials of whatever kind, wholly disregarding the customary artificial arrangement according to trade.” From there, Bentham developed machines “independently of the need for skill or manual dexterity in the workman” (Linebaugh, p. 397). He reorganized and sped up the refitting of ships, introduced a new method for joining wood, and adopted the steam-powered sawmill for the handling of rough timber. This last innovation helped put an end to “chips,” the right of journeymen to the shavings and flakes from recently worked wood, which frequently justified the disappearance of much larger pieces from the yards. And he installed the principle of “INCESSANT WORK,” as he scripted it—twenty-four-hour shiftwork (Linebaugh, p. 399). Lastly, like the Montgolfiers, who had locked out their veteran hands (and, they hoped, their custom) and trained a bevy of newcomers in the art, Bentham attempted to drown the old ways of the dockyards in a deepened pool of workers. “It is well known,” he claimed, “that an increase of the number of workpeople in any business is the most effectual bar to combinations [trade unions]” (Linebaugh, p. 400).
In the Netherlands, guild regulations around 1500 required the observance of forty-seven feast days. With the Protestant reform of religion, this number fell to six (Jan De Vries, “Between Purchasing Power and the World of Goods,” in Brewer and Porter, p. 110). Later, the Montgolfiers secured lengthy workyears that doubtless earned the envy of their competitors. Many entrepreneurs, however, remained slow to press for greater time discipline, attributing Bentham’s or the Montgolfiers’ success to state support, advanced technology, and unusually stable markets (Pollard, p. 192). Still, the pace of manufacture quickened and became more regular at once, despite incomplete shifts and wholesale retreats. As E. P. Thompson acknowledged, “the division of labour; the supervision of labour; fines; bells and clocks; money incentives; preachings and schoolings; the suppression of fairs and sports,” gradually accomplished their work (Thompson, p. 394). So did the new patterns of consumption and market behavior within the households of the laboring poor. After all, the heirs of those men and women saddled with twelve-hour workdays fought for half-Saturdays and the ten-hour day.
See also Commerce and Markets; Consumption; Guilds; Industrial Revolution; Industry; Wages.
BIBLIOGRAPHY
Primary Sources
Franklin, Benjamin. *The Autobiography of Benjamin Franklin*. Edited by Leonard Labaree et al. New Haven, 1964. Poor Richard in his own voice.
Smith, Adam. *An Inquiry into the Nature and Causes of the Wealth of Nations*. Edited by Edwin Cannan. New York, 1937. Endless insight, and several surprises, about production and its rewards.
Secondary Sources
Berg, Maxine, Pat Hudson, and Michael Sonenscher, eds. *Manufacture in Town and Country before the Factory*. Cambridge, U.K., 1983. A set of challenging essays about work and wages before the onset of large-scale mechanization.
Brewer, John, and Roy Porter, eds. *Consumption and the World of Goods*. London, 1993. A vast collection full of stunning detail about everyday material life, both high and low.
Darnton, Robert. *The Great Cat Massacre and Other Episodes in French Cultural History*. New York, 1984. A series of evocative depictions of eighteenth-century lives.
De Vries, Jan. “The Industrial Revolution and the Industrious Revolution.” *The Journal of Economic History* 54, no. 2 (June, 1994): 249–270. A brilliant synthesis of the current debates about consumption and the coming of the industrial revolution.
Gachet, Henri. “Les grèves d’ouvriers papetiers en France au XVIIIème siècle jusqu’à la Révolution.” *Eleventh International Congress of the International Association of Paper Historians*. Haarlem, 1972. Wonderful accounts of centuries of conflict in a venerable French trade.
Goldthwaite, Richard A. *The Building of Renaissance Florence: An Economic and Social History*. Baltimore, 1980. An elegant, comprehensive history, written with verve and masterly detail.
King, Ross. *Brunelleschi’s Dome: How a Renaissance Genius Reinvented Architecture*. New York, 2000. A model popular account.
Linebaugh, Peter. *The London Hanged: Crime and Civil Society in the Eighteenth Century*. Cambridge, U.K., 1992. Controversial and rich in vivid detail.
Pollard, Sidney. *The Genesis of Modern Management: A Study of the Industrial Revolution in Great Britain*.
LACLOS, PIERRE AMBROISE CHODERLOS DE (1741–1803), French novelist. Little in the life of the military officer offers a clue that Choderlos de Laclos was destined to write one of the most controversial and influential French novels of the eighteenth century. Born in Amiens into the lower nobility, he chose an army career in the 1760s. France was at peace and barracks life was routinely dull. He wrote poetry, erotic tales, and a comic opera, *Ernestine*, which failed when it was produced (1777). In 1779, upon being upgraded to captain and sent to fortify the île d’Aix, he began to form the plan for his novel, *Les liaisons dangereuses*, composed while he was on leave in Paris, and published in 1782. It met with immediate success, and scandal. He quickly took a military assignment in La Rochelle to avoid the controversy, and there met Marie Sou lange-Duperré, with whom he had a child before they were married in 1784.
His criticism of French fortifications (1786) made him equally controversial in the military, and he soon left for service as a secretary to Louis-Philippe, duke of Orléans (1725–1785). At this time he wrote several tracts on military and political topics. During the French Revolution he was protected by Georges-Jacques Danton (1759–1794)—a member of the Paris Commune and minister of justice in the new republic—imprisoned, nevertheless, during the Reign of Terror, liberated, and eventually made a brigadier general (1800) by Napoleon Bonaparte (1769–1821). Named to a post in Naples, he died in Italy of dysentery in 1803.
Laclos’s reputation rests on his single novel, *Les liaisons dangereuses*. The plot involves interconnecting attempts at seduction and betrayal within a closed, elite segment of society. The vicomte de Valmont is encouraged by his former mistress, the marquise de Merteuil, to seduce the naive and innocent Cécile Volanges, engaged to a young man, Danceny, upon whom Mme de Merteuil seeks revenge. At first Valmont refuses, preferring, instead, to court the virtuous wife of the President de Tourvel. She appears to be slowly yielding, as the two libertines (Valmont, Merteuil) bitterly ridicule each other. Mme de Merteuil sends Valmont a lengthy lesson in seduction (letter 81) and pretends to be seduced by Prevan. Meanwhile, Valmont, learning that Cécile’s mother warned the president’s wife of his designs on her, decides to accept Mme de Merteuil’s challenge and becomes Cécile’s lover. The president’s wife, still in love with Valmont, finally yields to him. Mme de Merteuil demands that Valmont sacrifice his love for the president’s wife if he hopes to win her back, and the vicomte complies. Rather than finding love, however, the two libertines are at war with each other, and divulge each other’s letters. Ayoung man in love with Cécile is furious and kills Valmont in a duel, Cécile enters a convent, and Mme de Merteuil, disgraced and disfigured by smallpox, flees society, which she had called “that great theater.”
The epistolary novel is structured as a series of personal letters exchanged between the main characters. The lack of a narrator, and the conflicting, competing perspectives presented by the different letter writers creates an open, ambiguous moral tone that shocked many contemporary readers. The work can be seen as promoting seduction through
Valmont’s and Merteuil’s presentation of detailed tactics and a rhetoric of temptation, or as condemning this debauchery by the libertines’ eventual failure and defeat. The amorality of the seducers, and their victims, is portrayed directly, with a neutrality that made the novel itself appear amoral, if not, indeed, immoral.
The exclusive use of the characters’ letters also indicates effectively the hypocrisy of polite society, because they often reveal great differences between public and private conduct. On the one hand is illusion, on the other the reality of Valmont and Merteuil, whom Charles Baudelaire (1821–1867) labeled “a Satanic Eve.” All the characters maintain a virtuous façade, although the tempters reveal their real intentions and devious machinations to each other. The more innocent women reveal by their letters their slow descent as they yield to Valmont. We learn that he seeks not only to corrupt them but to ruin their reputation, as he plans to use their love letters as proof. When Valmont and Merteuil reveal each other’s letters near the novel’s end, however, these missives serve as proof of their duplicity and corruption, ruining them and leading to their demise.
Laclos considered himself a follower of Jean-Jacques Rousseau (1712–1778), and we see this not only in the epistolary form of the novel, as in the philosopher’s *Julie, ou la nouvelle Héloïse* (1761; Julie, or the new Eloise), but also in its content. Rousseau saw society and writing as corrupting influences, opposed to a natural state of purity and oral language. In Laclos’s novel, moral degradation and letter writing are inextricably linked. Modern film versions of the novel have considerably extended the work’s popularity and influence.
*See also French Literature and Language; Romanticism; Rousseau, Jean-Jacques.*
**BIBLIOGRAPHY**
Brooks, Peter. *The Novel of Worldliness: Crébillon, Marivaux, Laclos, Stendhal*. Princeton, 1969.
Conroy, Peter V. *Intimate, Intrusive, and Triumphant: Readers in the Liaisons dangereuses*. Amsterdam, 1987.
Diaconoff, Suellen. *Eros and Power in Les liaisons dangereuses: A Study in Evil*. Geneva, 1979.
Rosbottom, Ronald C. *Choderlos de Laclos*. Boston, 1978.
Roulston, Christine. *Virtue, Gender, and the Authentic Self in Eighteenth-Century Fiction: Richardson, Rousseau, and Laclos*. Gainesville, Fla., 1998.
Thelander, Dorothy. *Laclos and the Epistolary Novel*. Geneva, 1963.
Winnett, Susan. *Terrible Sociability: The Text of Manners in Laclos, Goethe, and James*. Stanford, 1993.
Allen G. Wood
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**LAGRANGE, JOSEPH-LOUIS** (1736–1813), French mathematician. Lagrange, a leading mathematician of the Enlightenment, contributed to a wide range of fields and played a leading role in the establishment of the metric system. Born in Turin to a French family of high officials in the service of the dukes of Savoy, Lagrange was destined for a career in the law. While in his teens he was introduced to the study of advanced mathematics when he read a treatise on calculus by the English astronomer royal Edmond Halley (1656–1742). Lagrange’s remarkable mathematical abilities were
quickly recognized, and in 1755, at the age of nineteen, he was appointed professor of mathematics at the artillery school of Turin. He spent the next eleven years in his native city and established his reputation as one of the leading mathematicians in Europe. In 1766 Lagrange left Turin to become the director of the mathematics section at the Berlin Academy, taking over from Leonhard Euler (1707–1783), who had recently returned to St. Petersburg. In 1787, following the death of his patron Frederick II of Prussia (ruled 1740–1786), Lagrange moved to Paris as “veteran” member of the Paris Academy of Sciences. He remained there until his death, and during the tumultuous years that followed, he managed to stay apart from the political fray that absorbed many of his colleagues.
By the age of twenty Lagrange had already made one of his most important contributions to mathematics, the calculus of variations, which he developed along with Euler. Unlike the ordinary calculus, which analyzes the point characteristics of specific functions, the calculus of variations deals with the extremum characteristics of functions as a whole. The work quickly attracted the attention of Pierre-Louis Moreau de Maupertuis (1698–1759), president of the Berlin Academy, who used it to support his “principle of least action” against numerous critics.
Lagrange successfully applied his calculus of variations to many scientific fields. In 1759 he sided with Euler against Jean Le Rond d’Alembert (1717–1783) in the controversy on the proper mathematical representation of vibrating strings. In the late 1760s and the early 1770s Lagrange took part in several prize competitions sponsored by the Paris Academy on questions in celestial mechanics. He won the grand prize several times with essays on the orbit and rotation of the Moon, the trajectories of comets, the orbital perturbations of the moons of Jupiter, and the three body problem in general. After publishing on these and other topics in solid and fluid mechanics throughout his career, he summarized his work in *Mécanique analytique* in 1788. There he proposed to establish mechanics as a series of general formulas whose development would yield the necessary equations for the solution of each specific problem. Lagrange also contributed substantially to debates on the foundations of calculus, promoting a purely algebraic understanding of the subject as against the geometric views of colleagues such as d’Alembert.
In 1790 the French Constituent Assembly established the Committee on Weights and Measures and made Lagrange its chairman. In this position Lagrange was largely responsible for the adoption and diffusion of the decimal metric system. During the 1790s he taught at the newly established École Polytechnique, and in his later years he worked on revising and republishing his works. During the empire he came under the patronage of Napoléon I, who made Lagrange a count of the empire, a senator, and a grand officer of the Legion of Honor. On his death in 1813 Lagrange was entombed in the Pantheon.
*See also Alembert, Jean Le Rond d’; Astronomy; Enlightenment; Euler, Leonhard; Mathematics; Weights and Measures.*
**BIBLIOGRAPHY**
*Primary Source*
Lagrange, Joseph-Louis. *Analytical Mechanics*. Translated and edited by Auguste Bois sommade and Victor N. Vagliente. Dordrecht, Boston, and London, 1997. Translation of *Mécanique analytique*, nouvelle édition (1811).
*Secondary Source*
Itard, Jean. “Lagrange, Joseph-Louis.” In *Dictionary of Scientific Biography*, edited by Charles Coulston Gillispie. 16 vols. New York, 1970–1980.
AMIR ALEXANDER
**LANDHOLDING.** Land was not only the source of most wealth in early modern Europe, but also a fount of political power, social status, and broad legal rights. The concentration of land in the hands of the aristocracy, the gentry, and the church (who constituted roughly 5 percent of the population but collectively owned between 50 and 70 percent of the land in many regions), was the dominant social feature of the age. Landownership of seigneuries or manors (privileged properties) conferred an array of financial and judicial powers over tenants at the local level and was indispensable to maintaining a gentle or noble lifestyle. The enduring symbolic and political functions of landholding were in turn rooted in the central economic role played by land. Agricultural commodities not only
formed the mainstay of the European economy until the end of the eighteenth century, but also directly produced most of the raw materials used in manufactured goods. Within these broad outlines, however, there were significant changes in landholding patterns between 1450 and 1789. The decline of serfdom in western Europe by 1450, the rise of a new village elite of well-off peasant leaseholders by 1550, and new opportunities for investment outside of land during the eighteenth century gradually altered social relationships based on landholding.
**PATTERNS OF LANDHOLDING**
While the nobility seldom constituted more than 2 percent of the population in western Europe, it owned approximately 40 to 50 percent of the land in many regions. Most noble land was in fact concentrated in the hands of a small minority of that class. In Brittany, approximately 200 of the 2,000 noble families controlled 40 percent of the land. In England, the aristocracy was a tiny but immensely wealthy elite. By the late eighteenth century it comprised about 150 families, who owned 20 percent of the land. But the gentry were collectively the largest landowners in England. Gentry landownership expanded from 25 percent to roughly 50 percent of arable land between 1500 and 1700, at the expense of both church and crown. Landownership was essential for supporting the four main expenses of the gentry and the nobility: buying crown offices, marrying off children, prosecuting lawsuits, and enjoying (as well as displaying) a gentle lifestyle.
From the early sixteenth through the eighteenth centuries, the percentage of land in church hands declined in Europe as a whole. The Protestant Reformation led to the seizure and sale of many formerly Catholic properties in the Holy Roman Empire, Scandinavia, the Baltics, and the Low Countries. In England, the church had owned significantly more land than the crown in 1450, controlling between a fourth and a third of the arable. By the end of the English Reformation, only about 4 percent of the land was left in church hands; almost all properties had gone to private buyers in the gentry or merchant classes.
Despite the predominance of landless or leaseholding peasants in western Europe, there were important pockets of peasant freeholders. In Holland, cultivators enjoyed full ownership rights over extensive lands they had reclaimed from peat bogs, as did some peasants in the central Rhineland. In France, approximately one-third to two-fifths of rural land was in the hands of the peasantry before the French Revolution. But that figure includes land occupied by peasant houses and their garden closes; recent scholarship indicates that their ownership of the arable or open fields was often no more than 10 percent.
**RIGHTS ATTACHED TO LANDOWNERSHIP**
Landownership conferred a constellation of legal, political, and financial rights on landlords. Kaleidoscopic in their variety, these rights tended to fall into several broad categories. On seigneuries, or manors, they included the right to collect rents, crop shares, and reliefs, or entry fees (on a tenant inheriting or taking possession of a new piece of land); *corvées*, or labor obligations (requiring tenants to farm the lord’s domain and repair bridges and roads); and *banalités*, or monopoly fees (for using the lord’s grain mill, ovens, or winepress). Noble land held of the crown usually required homage, wardship, and relief to the crown. Across western Europe, however, these obligations generally became less onerous in both monetary and symbolic terms from the sixteenth through the eighteenth centuries. Ground rent, and in some regions, crop shares, became the central relationship between landlords and tenants.
The most politically symbolic group of rights were those of justice. Most seigneuries carried rights of low or middling justice, which allowed the landlord to adjudicate rent disputes and minor delicts. The most powerful seigneuries carried the right of high justice, which allowed them to hear cases meriting the death penalty. In some regions manorial or seigneurial justice faded in importance during the seventeenth and eighteenth centuries, especially in northwestern Germany and in England, where jurisdiction was absorbed by local justices of the peace or by the state. In other regions, like Normandy, landowners’ high justices remained an important complement to the state’s judicial system.
**PROPERTY LAW AND PROPERTY RIGHTS**
Landownership was almost always subject to the rights and usages of multiple parties in early modern Europe. Most villages included common lands that provided timber, reeds, or grazing grounds for the rural community and that were essential to the survival of the poorest inhabitants. Disputes over ownership of the village common lands and wastelands, as well as over usage rights like hunting, fishing, pasturing, and gleaning, were a source of endless litigation and frequent popular protest. In England, twin enclosure movements in the sixteenth and eighteenth centuries dramatically changed multiple property rights. Two-thirds of English arable land had been enclosed by the beginning of the eighteenth century, and most of the remainder was enclosed between 1750 and 1790. The loss of the common lands sent thousands of destitute rural laborers into London and other cities for work.
The transition from multiple-use rights to private property rights in land was gradual at best. The British Parliament passed hundreds of private bills granting clear-cut property rights to landholders in the eighteenth century. In France and Spain, however, the crown was powerless to alter provincial property laws or to enforce enclosures of common lands. Early modern legal codes prevented landowners from freely disposing of their properties in other ways, too. Customary, royal, and Roman laws on land inheritance were all carefully designed to prevent the fragmentation of estates (and of political authority) among the landed classes throughout Europe. The law of entail in England (fee entail), like the customs of France (preciput), ensured that noble and gentry properties could not be willed away from the legal heir. Ultimately, laws guarding the integrity of land ensured the landowning classes’ continuing political and social dominance through the eighteenth century.
See also Agriculture; Aristocracy and Gentry; Class, Status, and Order; Enclosure; Feudalism; Law; Peasantry; Property; Serfdom; Villages.
BIBLIOGRAPHY
Collins, James B. *Classes, Estates, and Order in Early Modern Brittany*. New York and Cambridge, U.K., 1994.
Price, J. L. *Dutch Society, 1588–1713*. New York, 2000.
Rosenthal, Jean-Laurent. *The Fruits of Revolution: Property Rights, Litigation, and French Agriculture, 1700–1860*. New York and Cambridge, U.K., 1992.
Sharpe, J. A. *Early Modern England: A Social History, 1550–1760*. London and New York, 1997.
Zoë A. Schneider
LAS CASAS, BARTOLOMÉ DE (1474–1566), Spanish historian and missionary. Bartolomé de Las Casas was a missionary, Dominican theologian, historian, and bishop of Chiapas. In 1493 he saw Christopher Columbus pass through Seville on his return from the first voyage across the Atlantic. That year Las Casas’s father, Pedro de Las Casas, and his uncles sailed with Columbus on his second voyage. Las Casas first traveled to the Western Hemisphere in 1502 to manage the land Columbus gave his father. Like other colonists, Las Casas at first gave no thought to the *encomienda* system of royal land grants that included Indians to work the fields in exchange for educating them in Christianity.
Returning to Europe in 1507, Las Casas was ordained a priest in Rome. He returned to the West Indies and in 1513–1514 served as chaplain to the invaders during the conquest of Cuba. After that campaign he was awarded additional land. Upon listening to a sermon by a Dominican father denouncing the treatment of Indians, Las Casas relinquished his holdings to the governor.
Las Casas returned to Spain to plead the Indians’ cause before King Ferdinand II (ruled 1479–1516). With the support of the archbishop of Toledo, Las Casas was named priest-procurator of the Indies in 1516. He returned to the Western Hemisphere as a member of a commission of investigation. During 1520 he developed an alternative to the *encomienda* system in Venezuela with a colony of farm communities. After the failure of this idealistic scheme to get Spanish farmers to work alongside free natives, Las Casas joined the Dominican order in Santo Domingo during 1522.
Over the following decades Las Casas ceaselessly promulgated an ideological position that Indians had the right to their land and that papal grants to Spain were for the conversion of souls, not the appropriation of resources. Developing into a politically astute lobbyist, he was often able to effect positive change, such as insuring a peaceful entry into Guatemala by Dominican friars. During 1544 he was named bishop of Chiapas in Guatemala to enforce the “New Laws” of Emperor Charles V (ruled 1519–1556), which prohibited slavery and limited ownership of Indians to a single generation. The settlers objected to any limits, and many clergy
would not follow the new bishop’s lead. After the king rescinded the prohibition on inheritance, Las Casas resigned his office in 1547 and returned to Spain.
This tireless “Defender of the Indians” crossed the Atlantic ten times in all. After he published his *Brief Relation of the Destruction of the Indies* in Seville during 1552, a flood of hectoring books followed. In 1550 he came into conflict with Juan Ginés de Sepúlveda (1490?–1572 or 1573), a scholar who was attempting to gain the right to publish a book approving war against the Indians. Las Casas appeared at a debate before the Council of Valladolid, where he spoke for five days straight. He influenced the committee not to approve his opponent’s book for publication.
Las Casas’s massive *History of the Indies*, finished in manuscript during 1562 but unpublished until 1875, incorporates an invaluable abstract of Columbus’s now lost first logbook. The book demonstrates a prophetic intent to reveal to Spain that the injustices of its colonial rule would lead to a terrible punishment at God’s hand. His example influenced both Simon Bolívar (1783–1830) during the nineteenth-century revolt against colonial rule and Mexicans during their struggles for independence.
Spanish patriots condemned Las Casas for helping create with his tireless propaganda a “Black Legend” that Spaniards were exceptionally cruel. The English published a translation of the *Brief Relation* when they were about to seize Jamaica. Another edition was issued by the U.S. government during the Spanish-American War to justify taking Spain’s island possessions.
Las Casas has been applauded by proponents of human rights. In all his actions and writings he operated, however, from an unexamined theoretical foundation that maintains that Catholic Christianity is God’s chosen creed for all people, and thus the argument with his opponents was primarily over the means to that conversion. In this sense the Indians were treated by him as wards who were allowed no doctrinal choice. Enemies in his time and some later scholars have argued that Las Casas shaped the truth as he wished it to be, exaggerating statistics about the loss of life and sometimes writing about places he had never been. Some recent estimates of the population of the mainland and islands argue that the loss of life was originally higher than even Las Casas believed, and so the decline was much steeper than he estimated. It has also been shown that some of his remarks about areas outside the scope of his observation were drawn from official reports. He and his writings continue to be controversial, but he remains a key figure in historical scholarship about human rights.
*See also* Colonialism; Rights, Natural; Sepúlveda, Juan Ginés de; Spanish Colonies: The Caribbean; Toleration.
**BIBLIOGRAPHY**
*Primary Sources*
Las Casas, Bartolomé de. *History of the Indies*. Edited and translated by George Sanderlin. Maryknoll, N.Y., 1971.
———. *In Defense of the Indians: The Defense of the Most Reverend Lord, Don Fray Bartolomé de Las Casas, of the Order of Preachers, Late Bishop of Chiapa against the Persecutors and Slanderers of the Peoples of the New World Discovered across the Seas*. Translated and edited by Stafford Poole. Dekalb, Ill., 1992.
———. *A Short Account of the Destruction of the West Indies*. Edited by Nigel Griffin. New York and London, 1992.
LASSO, ORLANDO DI (c. 1532–1594), Franco-Flemish composer. Born in Mons, in what is now southern Belgium, Lasso spent much of his youth in Italy. From about 1544 until 1549, he was in the service of Ferrante Gonzaga (1507–1557), generalissimo of Holy Roman Emperor Charles V in Italy, France, and Flanders, and traveled with him to Mantua, Palermo, and Milan, after which he worked in Naples and then Rome, where he was choirmaster at San Giovanni in Laterano in 1553–1554. According to his first biographer, Samuel Quickelberg, Lasso returned to the Low Countries in 1554 to see his ailing parents, but they had died before he reached Mons. He may have traveled to England and France with Giulio Cesare Brancaccio, a Neapolitan nobleman. By late 1554 he was in Antwerp, where he oversaw the publication in 1555 of his first music book, his so-called Opus 1, an anthology of madrigals, villanescas, chansons, and motets; and that same year, Lasso’s first book of five-voice madrigals was printed in Venice. Lasso had found support in Antwerp from the wealthy Genoese merchant community for publishing his Opus 1, and from the powerful ecclesiastic Antoine Perrenot de Granvelle for his next publication, a book of his five- and six-voice motets, issued in 1556. Thus began a long series of active collaborations between the composer and his various publishers, in which Lasso exercised strong entrepreneurial control over the dissemination of his music.
In 1556, he was invited, on the recommendation of Granvelle and of Augsburg banker Johann Jakob Fugger, to serve in Munich at the court of Albert V, duke of Bavaria, first as a singer and by 1563 as choirmaster. Lasso remained at the Munich court until his death in 1594. In 1558 he married the daughter of a Bavarian court official; their offspring included two sons, Ferdinand and Rudolph, who became musicians. Lasso’s duties at court included recruiting singers, training the choirboys, overseeing the duke’s daily entertainment, and composing music for religious services and special occasions. Under Lasso’s leadership, the chapel grew in size, the duke spending extravagantly on his musicians. The most celebrated event during Lasso’s tenure was the 1568 marriage, after difficult negotiations, of Albert’s son William V to Renée of Lorraine. Lasso wrote music and supervised performances for the festivities, and he himself played a role in a commedia dell’arte production, according to a description by chronicler Massimo Troiano. Correspondence between Lasso and his patron reveals the composer to be learned and witty, and on friendly terms with the duke. Lasso chose to stay on at the court after the death of Albert, despite a much reduced musical chapel; Albert had made provisions that Lasso would continue to receive his salary for the rest of his life. Two miniatures by court painter Hans Mielich (c. 1516–1573), included in a Munich Staatsbibliothek manuscript, provide valuable performance scenes of Lasso with his musicians.
Lasso was perhaps the most prolific and versatile composer of his era. His output of sacred music includes about sixty Masses—most modeled on motets, chansons, or madrigals—hymns, canticles (including more than one hundred Magnificats), Passions, Lamentations, and other polyphony for the Divine Offices, and more than five hundred motets that span religious works, humorous and ceremonial compositions, didactic pieces, and settings of classical or humanistic texts. Notable is his collection Prophetiae Sibyllarum, featuring highly chromatic settings of Latin humanistic texts preserved in a manuscript from about 1560 but published posthumously (1600), and Dulces Exuviae (1570), a setting of Dido’s lament from Virgil. The large amount of polyphonic music written for the Divine Offices suggests that these were celebrated with great solemnity at the Munich court.
His secular works include approximately 175 Italian madrigals and lighter villanescas, some 150 French chansons, and about 90 German lieder. He set Italian texts by Petrarch (1304–1374), Ludovico Ariosto (1474–1533), and Jacopo Sannazaro (1456/58–1530), among others, and French poems by Clement Marot, Pierre de Ronsard (1524–1585), Joachim du Bellay (c. 1522–1560),
and Jean-Antoine de Baïf (1532–1589). These pieces are highly varied in style, spanning most of his productive career.
Lasso’s music was the most widely disseminated of any composer, his works having been reprinted frequently during and after his lifetime. He was honored just after his death with the monumental motet collection *Magnum Opus Musicum* (1604), assembled by his two sons. Lasso is noted for his close attention to expressing the meaning of words through chordal declamation, sometimes alternating with contrapuntal writing, clear harmonic progressions, and finely crafted thematic material. His influence was far-reaching: his works provided the basis for innumerable parodies, especially of his well-known spiritual chanson *Susanne un jour*. Lasso’s rich use of text painting in sacred music served as a precedent for German Protestant composers during the early seventeenth century, and helped establish Germany as a mainstream compositional center. Venetian composers Andrea Gabrieli (c. 1532/33–1585) and Giovanni Gabrieli (c. 1554/57–1612) both studied in Munich under Lasso, where they assimilated his style of polychoral writing.
*See also* Bavaria; Charles V (Holy Roman Empire); Gabrieli, Andrea and Giovanni; Music.
**BIBLIOGRAPHY**
Bossuyt, Ignace, Eugeen Schreurs, and Annelies Wouters, eds. *Orlando Lassus and His Time: Colloquium Proceedings, Antwerpen, 1994*. Yearbook of the Alamire Foundation. Peer, Belgium, 1995.
Forney, Kristine. “Orlando di Lasso’s ‘Opus 1’: The Making and Marketing of a Renaissance Music Book.” *Revue belge de musicologie* 39–40 (1985–1986):33–60.
Haar, James. “Munich at the Time of Orlande di Lassus.” In *The Renaissance, from the 1470s to the End of the 16th Century*, edited by Iain Fenlon, pp. 143–162. Man & Music Series. London, 1989.
———. “Orlande de Lassus.” In *The New Grove Dictionary of Music and Musicians*. 2nd. ed., edited by Stanley Sadie. Vol. 14, pp. 295–322. London, 2001.
———. “Orlando di Lasso, Composer and Entrepreneur.” In *Music and the Cultures of Print*, edited by Kate van Orden, pp. 125–162. Critical and Cultural Musicology Series, vol. 1. New York, 2000.
Kristine K. Forney
**LATE MIDDLE AGES.** The fourteenth and fifteenth centuries were difficult ones in European history. The demographic growth and prosperity that had characterized the High Middle Ages gave way to plague, famine, social upheaval, and rampant warfare. The crises altered the structure of European society.
**PLAQUE AND FAMINE**
The signal event of the era was the Black Death, which struck Europe in 1347/1348, and returned periodically for much of the next hundred years. The contagion is believed to have originated in central Asia. It moved westward along the silk route and was pushed to the Black Sea by Mongol horsemen. Genoese traders encountered the disease at their colony of Caffa in the Crimea and transported it to western Europe, to the city of Messina in Sicily, in November 1347. It subsequently appeared in Pisa and Genoa, and then spread throughout the peninsula and the rest of Europe, traveling as far north as Iceland and moving back east through Islamic lands. It did not subside until the end of the fifteenth century.
There are few precise figures for the number of deaths. Contemporary chroniclers gave graphic descriptions of heaps of dead bodies piled in public areas but often exaggerated the losses. The standard agreement is that from one-third to one-half of Europe died of the plague and its recurrences. But the disease did not strike all towns and regions the same way. The city of Florence may have lost as much as three-quarters of its population. Milan, by contrast, probably lost no more than 10 to 15 percent. Bohemia also likely lost only 10 percent of its population.
The plague struck Europe at a time when it was already suffering the effects of a series of bad harvests. During the last decades of the thirteenth century, agricultural production in numerous areas had declined significantly. The boundaries of productive land reached their limits, and peasants worked marginal plots with diminished returns. Records from the estates of Winchester, an important grain-producing area in southern England, show that there were declines in yields of wheat, barley, and rye after 1250. Wheat yields were also down in German lands and in northern France. Evidence exists that the European climate changed on the eve of the fourteenth century. Winters and summers became colder and wetter. A series of crop failures occurred at the beginning of the century, followed by a widespread famine from 1315 through 1317. The effects of this famine were felt particularly in urban areas, which relied on outside imports of food. The commercial town of Bruges lost 5 percent of its population in six months; the cloth-producing town of Ypres lost 17 to 20 percent of its population. The mortality elsewhere in Europe may have reached as high as 10 to 25 percent, though such figures are disputed. Some scholars, chief among them the English economic historian M. M. Postan and his French counterpart Emmanuel Le Roy Ladurie, have cited the decreased yields and famines as evidence that Europe experienced a “subsistence” or “Malthusian” crisis, which preceded the plague and indeed paved the way for it. The interpretation remains at the core of a lively debate.
The dramatic loss of population affected the European economy. In general, the price of labor rose, while land values declined. The former helped the peasant class, which could now demand salaries for its labor; the latter hurt the nobility, whose wealth was derived from the profits of its estates. Authorities moved to forestall the changes—which threatened the traditional structure of society—by instituting wage and price controls. King Edward III in England’s famous Statute of Laborers of 1351 ordered prices and wages frozen at pre-plague levels, forbade the movement of peasants from farms, and, to augment the labor force, required beggars to find work. Governments in France, Aragon, Castile, and elsewhere issued similar legislation. Economic historians tell of a “scissors effect,” particularly after 1375, in which the price of wheat fell with respect to manufactured goods. In addition, the overall volume of trade declined. Exports of wine from Bordeaux declined from 100,000 tons in the first decade of the fourteenth century to 13,000 to 14,000 tons at the end of the century. The port of Genoa, one of the most active throughout the Middle Ages, experienced dramatic declines across the board.
The European economy was also affected by two important, though less-studied, factors: a shortage of bullion and the disruption of trade routes to Asia resulting from the advance of the Ottoman Turks. By the last decades of the fourteenth century the rich silver mines of central Europe and Tyrol, the source of much of the coin that sustained the earlier economic expansion, had become exhausted. They revived only toward the end of the century, with the help of new technology, and soon became augmented by the flow of specie from the New World. The Ottomans supplanted the Mongols, the traditional middleman between Europe and the East. Despite a reputation for ferocity in war, the Mongols had long been friendly to Christian traders. The Ottomans were less so. The Turkish presence expanded steadily, and in 1453 they took the great port city of Constantinople.
Scholars have long debated the broader meaning of the demographic crises and shifts in trade. Did they bring economic “depression” or did they result in a “new equilibrium,” in which the standard of living, particularly among the wage-earning classes, improved? The disagreement has been particularly heated for Italy, the most commercially sophisticated part of Europe. Evidence exists on both sides. The city of Florence, for example, compensated for a decline in the overall production of wool cloth, its principal manufacture, by moving more
forcefully into higher-priced silks and luxury cloth. Florence’s banking industry, the international leader, all but collapsed just prior to the plague, but restructured itself, and emerged more resilient. Florentine bankers introduced the idea of limited liability, thus protecting themselves from losing more than what they invested in their businesses, and sought new markets. They remained closely attached to the papacy, a continuous source of money even in the worst of times. On the other hand, the evidence for the city of Genoa suggests that the decline in the volume of goods passing through its ports exceeded the decline in population and was not compensated for by other business ventures.
**WARFARE**
Demographic crisis and economic change occurred against a backdrop of warfare. In Italy, where fighting among numerous autonomous states in close geographic proximity was already commonplace, the recourse to violence increased markedly. The city of Milan embarked on a series of aggressive campaigns that involved virtually all of the peninsula. This and other wars continued through the middle of the fifteenth century. In 1454, Italian states signed the Treaty of Lodi, bringing a temporary cessation of hostilities. But the truce was tenuous and at times ignored. The French under Charles VIII initiated a new round of warfare when they invaded Italy in 1494.
The most famous war of the era was the Hundred Years’ War, which was fought between England and France in episodic fashion from 1337 until 1453. Much of the fighting took the form of destructive marches known as *chavauchées*, in which English armies rode through the French countryside burning houses and fields, inflicting heavy economic damage. The English scored impressive battlefield victories at Crécy (1346), Poitiers (1356), and Agincourt (1415). The victories resulted in large part from superior English tactics, which included taking the defensive posture, descending from horses to fight on foot, and use of the longbow. The longbow could be fired more quickly than the traditional crossbow, yet still had impressive striking power. English archers sent thick volleys of arrows, which blunted French cavalry charges. The French clung to old methods, which corresponded to established chivalric codes of behavior, and were thus slow to respond to the English challenge. Their fortunes turned with the advent of Joan of Arc (c. 1412–1431), a young peasant girl who rallied local armies. By 1453, the French had expelled the English from all but Calais.
The Hundred Years’ War was followed in short order by the Wars of the Roses in England (1455–1485) and the Burgundian wars in France (1470–1493). Both were essentially dynastic struggles arising from disputes within the ruling elite. In the Holy Roman Empire a series of bitter wars broke out between the emperor and religious dissenters, the Hussites. In Spain, attempts to retake land from the Muslims, the Reconquista, were ongoing; the kingdom of Aragon was involved in the Italian Wars through connections in southern Italy. Popes spearheaded crusades against the Muslim Ottomans. The crusade to Nicopolis in 1396 ended in a humiliating defeat for the Christians.
Some scholars have directly linked the increase in warfare and violence to the crises of plague and famine. In a study of eastern Normandy, Guy Bois argues that declines in feudal rents led lords to search for additional sources of revenue. They hired themselves out as soldiers and exerted pressure on their overlords to wage wars. The wars themselves helped accentuate the effects of the other crises. Armies burned crops, which exacerbated famine, and they moved from region to region, thus spreading plague. The need to keep armies in the field for prolonged periods of time hastened the end of the old feudal system of mutual obligation and accelerated the recourse to wages. English scholars speak of a “bastard feudalism” arising from the Hundred Years’ War.
**SOCIAL AND POLITICAL UPHEAVAL**
Europe experienced at this time numerous revolts by the lower classes. The uprisings were stimulated not by abject misery, but by a general improvement in the lot of the poor, which inclined them to seek still more from the upper classes. One of the earliest rebellions occurred in the commercially advanced region of Flanders. Artisans and peasants refused to pay taxes. The revolt, aimed at the gentry class, was soon joined by weavers in Bruges and in Ypres. The weavers briefly took control in Bruges, but the insurrection was ultimately put down by a French royal army in 1328.
A revolt known as the Jacquerie broke out in Paris in 1358. Peasants, known derisively as “Jacques,” a generic name for commoners, rose up against their lords, who had been unable to protect them from the ravages of roaming bands of soldiers during the Hundred Years’ War. The bands had burnt local villages and exacerbated the already profound fiscal burdens brought on the peasantry by the war. In 1356 King John II (d. 1364) had been captured by the English in battle and the nobility, obliged to ransom him, attempted to shift some of the responsibility onto the peasantry. The peasants went on a rampage and, as in Flanders, were joined by artisans. But as in Flanders, the nobles ultimately crushed the rebellion.
Perhaps the most spectacular revolt occurred in England in 1381. It too grew out of tensions over taxation. The English government imposed a series of unpopular flat or “poll” taxes to help pay for the war. These fell disproportionately on the lower classes, and with the enactment of the poll tax of 1381, artisans and peasants rose up, stormed London and outlying villages, killed the archbishop of Canterbury, and nearly toppled the young King Richard II (ruled 1377–1399). The rebels expressed egalitarian ideas, some of the most radical of the period. Their famous slogan ran thus: “When Adam delved and Eve span, who then was the gentleman?” They demanded the abolition of serfdom, the commutation of services for rents, and the elimination of the poll tax. Like their predecessors, however, they were eventually crushed by the nobility.
The most successful uprising of the period happened in Florence in 1378. Members of the lower rung of the wool cloth business, the so-called ciompi, rose up against the town government. They called on authorities to set minimum production levels in the cloth industry, thus ensuring their employment. They also sought representation in government, the right to form their own guild, and the elimination of monetary speculation by the wealthy classes. The uprising succeeded, and the ciompi dominated Florentine government for three years until it was swept aside by what some scholars have called a “patrician regime.”
**CHURCH CRISES**
The church experienced some of the most profound crises of the era. The great institutional battle between kings and popes, with deep roots into the Middle Ages, took a dramatic turn at the beginning of the fourteenth century. The French King Philip IV (ruled 1285–1314) vied with Pope Boniface VIII (reigned 1294–1303) over the issue of taxation of the clergy. Philip sought money from the clergy to wage his wars; Boniface objected and issued the famous bull *Unam Sanctam*, stating in bald terms the primacy of papal authority over that of kings. Philip responded by repudiating the pope and sending men to intimidate the elderly pontiff. The exchange represented a low point in papal prestige. Boniface died shortly thereafter and Pope Clement V moved the papacy in 1309 to Avignon in France, initiating the so-called Babylonian Captivity. The papacy remained in Avignon for nearly seventy years. Pope Gregory XI returned to Rome in 1377, but died the next year. Under pressure from a Roman mob, the conclave chose an Italian, Urban VI. Alarmed French clerics, claiming they had been coerced, repudiated the choice and elected a Frenchman, who took the name Clement VII. There were now two popes. The English, at war with France, supported the Italian pope; the Scots, at odds with the English, supported the French claimant. A conciliar movement, rooted in the work of the Italian doctor and theorist Marsilius of Padua (c. 1280–c. 1343), sought to end the dispute by means of a church council. One such assembly met at Pisa in 1409. But the two popes refused to cede authority and for a brief time there were three popes. The schism was ended at the Council of Constance (1414–1418).
If the split in the papacy increased the cynicism of European Christians, so too did the plague, famines, and other disasters of the era. Some contemporary writers spoke of the coming of the four horsemen of the apocalypse. Giovanni Boccaccio (1313–1375) in the introduction to his *Decameron* described how some citizens in Florence let go all restraint, ate too much, drank too much, and lived for the day. Others responded in precisely the opposite way, seeking refuge in their faith. The great Dutch historian Johan Huizinga speaks of a “somber melancholy” that descended upon European society. Clerics were often the first line of
defense against the plague, comforting those who fell sick and burying those who died. Consequently they themselves died in large numbers, leaving a crisis in leadership and a dearth of qualified men.
Popular religious movements flourished. Flagellants appeared in German and Spanish lands. Men and women formed long processions, publicly whipping themselves in an effort to gain absolution from God. The groups often preached anti-Semitic doctrine, blaming Jews for the contagion. They acted without the consent of the established church and were ultimately condemned by the pope. In England and Bohemia respectively, John Wycliffe (c. 1320–1385) and Jan Hus (1372/1373–1415) preached clerical poverty, the subordination of church to state, and the primacy of scriptures in faith. Both were condemned; Hus was burned at the stake at the Council of Constance, despite royal assurances that he would not be harmed. But the doctrines of Wycliffe and Hus continued to attract followers after their deaths.
**THE BALANCE**
Amid all the crises and difficulties, there were positive developments. War necessitated taxes, and taxes brought complaints. But taxes also facilitated the emergence of more centralized nation states, enabling kings to consolidate their sources of revenue, expand royal bureaucracies, and strengthen court systems. France initiated a permanent army in 1422 and King Louis XI (ruled 1461–1483) set in place the first reliable system of royal taxation. Henry Tudor, the winner of the War of the Roses, became Henry VII and increased both his legal and fiscal authority. Meanwhile, the shortage of manpower resulting from the plague hastened technical labor-saving innovations, chief among them the invention of the printing press. The movements of the Ottomans and the difficulties trading with the East encouraged overseas explorations, which led to the discovery of the New World. The wars and dislocations in Italy coincided with an intellectual and cultural flowering, which produced writers such as Petrarch (1304–1374), Boccaccio, and Lorenzo Valla (1404–1457), and artists such as Masaccio (1401–1428), Donatello (1386?–1466), and Brunelleschi (1377–1446).
*See also* Introduction; Economic Crises; Feudalism; Peasantry; Plague; Renaissance.
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**BIBLIOGRAPHY**
Allmand, C. T. *The Hundred Years War: England and France at War, c. 1300–c. 1450*. Cambridge, U.K., 1988.
Bois, Guy. *The Crisis of Feudalism: Economy and Society in Eastern Normandy, c. 1300–1550*. Cambridge, U.K., and New York, 1984. Translation of *Crise du féodalisme*.
Hay, Denys. *Europe in the Fourteenth and Fifteenth Centuries*. London and New York, 1989.
Herlihy, David. *The Black Death and the Transformation of the West*. Edited by Samuel K. Cohn, Jr. Cambridge, Mass., 1997.
Huizinga, Johan. *The Autumn of the Middle Ages*. Translated by Rodney J. Payton and Ulrich Mammitzsch. Chicago, 1996. Translation of *Herfsttij der Middeleeuwen*.
Le Roy Ladurie, Emmanuel. *The Peasants of Languedoc*. Translated by John Day. Urbana, Ill., 1974. Translation of *Les paysans de Languedoc*.
Lopez, Robert. “Hard Times and the Investment in Culture.” In *The Renaissance: A Symposium*, pp. 50–61. New York, 1953.
Oakley, Francis. *The Western Church in the Later Middle Ages*. Ithaca, N.Y., 1979.
Postan, M. M. *The Medieval Economy and Society: An Economic History of Britain*. Berkeley, 1973.
Tierney, Brian. *The Foundations of Conciliar Theory: The Contribution of the Medieval Canonists from Gratian to the Great Schism*. Enl. new ed. Leiden and New York, 1998.
WILLIAM CAFERRO
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**LATIN.** Latin continued to be taught, studied, and even spoken in the early modern period. Knowledge of Latin was a sign of social prestige. It was the international language used to conduct the day-to-day business of church and state. It was, above all, the language of the educated and governing classes. University courses were taught in Latin, scholars wrote in Latin, and most official correspondence was conducted in Latin.
Latin remained a living language throughout the Middle Ages and into the early modern period. Medieval Latin, however, differed considerably from the language spoken within the Roman Empire. New words had filtered their way into the language to meet the needs of political, ecclesiastical, and academic institutions, which were almost entirely medieval products. Words had changed
meaning over the centuries, some of the grammatical rules had been altered, vernacular words had crept in, and spelling and pronunciation were inconsistent. Efforts were made by humanist scholars to stress the importance of classical Roman authors, particularly Cicero, Virgil, and Horace, as models for their own writings. Medieval Latin was considered by many humanists to be barbarous in comparison with the elegance of classical Latin. Not all scholars agreed, however. Many expressed their concern that an emphasis on the beauty of pagan classical Latin would corrupt the church and its theology.
Lorenzo Valla’s (1407–1457) ambitious *Elegantiae linguae latinae libri sex* (printed 1471; Six books of the elegances of the Latin language) was a widely circulated work that proposed such reforms. Valla, like Desiderius Erasmus (1466?–1536), never advocated a slavish imitation of the classical authors. Other humanists, however, were proponents of Ciceronianism, the view that Cicero, considered by many to be the best Latin author of the classical world, should be the model for contemporary Latin usage. This meant that Ciceronians would only use words and constructions found in Cicero’s writings. This movement was especially popular in Rome since Ciceronian language lent the majesty and authority of imperial Rome to the ideology and theology of the Renaissance papacy.
New Latin grammars were written with the hope of replacing the popular medieval grammars, such as the *Doctrinale* (c. 1199) of Alexander de Villa Dei, but this did not achieve wide success until the second half of the sixteenth century. Likewise, medieval spellings of certain words continued to be used into the sixteenth century despite efforts to restore the classical spelling. Latin pronunciation, too, varied significantly from region to region, as speakers tended to follow the norms of their mother tongue. Therefore, when Englishmen, Germans, and Italians were in the same room, they spoke Latin to each other, but with such different pronunciations that they sometimes could not be understood. The Italian pronunciation was most widely accepted because many people studied Latin in Italy, where they acquired this pronunciation.
By the seventeenth century, however, the attempts by humanists to restore classical Latin became overshadowed by the rise of the vernacular languages and the discoveries of the scientific revolution. Many European vernacular languages, such as French, English, and Italian, were highly developed and had become classical languages in their own right by this time. Each could boast of their own great writers, such as Dante (1265–1321) and Shakespeare (1564–1616). Furthermore, people still had to come up with new words to describe the new discoveries in science and technology that surpassed those of the Romans. Although scholars of the scientific revolution were trained in classical Latin, the number of academic works written in the vernacular began to increase rapidly. For example, Galileo Galilei (1564–1642) published some of his scientific results in Italian, Isaac Newton (1642–1727) in English, and Gottfried Wilhelm von Leibniz (1646–1716) in French. It took a long time before Latin was altogether replaced by the vernacular languages. In the early modern period, the choice of Latin still offered a writer several advantages. First, a work in Latin reached a broader audience since Latin was an international language. Second, Latin offered a more stable and standardized medium, while the vernacular languages were in a state of flux and changing rapidly. As society changed, the need for knowing Latin declined, and by the nineteenth century the vernacular languages had all but taken over.
*See also Classicism; Erasmus, Desiderius; Humanists and Humanism.*
**Bibliography**
Benner, Margareta, and Emin Tengström. *On the Interpretation of Learned Neo-Latin*. Göteborg, 1977.
Grafton, Anthony. “The New Science and the Traditions of Humanism.” In *The Cambridge Companion to Renaissance Humanism*, edited by Jill Kraye, pp. 203–223. Cambridge, U.K., and New York, 1996.
Jensen, Kristian. “The Humanist Reform of Latin Teaching.” In *The Cambridge Companion to Renaissance Humanism*, edited by Jill Kraye, pp. 63–81. Cambridge, U.K., and New York, 1996.
*The Right Way of Speaking Latin and Greek: A Dialogue*. In *Collected Works of Erasmus*, vol. 26. Edited by Maurice Pope. Toronto, 1985.
Tunberg, Terence. “Neo-Latin Literature and Language.” In *Encyclopedia of the Renaissance*, edited by Paul F. Grendler et al. Vol. 4, pp. 289–294. New York, 1999.
Milton Kooistra
LAUD, WILLIAM (1573–1645), English clergyman and archbishop of Canterbury. The only son of a master tailor in Reading, Laud was educated at St. John’s College, Oxford, of which he became a fellow in 1593. He was ordained an Anglican priest in 1601 and rapidly became controversial, being criticized by the vice chancellor of Oxford, Henry Airay (d. 1616), in 1606 for preaching sermons that were regarded as containing popish opinions. He was strongly opposed to the prevailing Calvinist trend in the Church of England and hoped to restore some of the pre-Reformation liturgy. Laud was closely associated with the Arminian tendency within the Church of England. Arminianism, an anti-Calvinist doctrine that attacked the rigid Calvinist views on predestination, was prevalent both in the Church of England and among its Puritan critics in the 1610s, and gained even more influence in the 1620s when Richard Neile, bishop of Durham, became principal church adviser to James I (ruled 1603–1625). A protégé of Neile, whose chaplain he became in 1608, Laud advanced rapidly. He was elected president of St. John’s College, Oxford, in 1611, and became dean of Gloucester in 1616 and bishop of St. David’s in 1621. His influence grew under Charles I (ruled 1625–1649), and he was promoted to the bishopric of Bath and Wells in 1626 and to that of London in 1628. He also became dean of the Chapel Royal and, in 1629, chancellor of the University of Oxford. In 1633 he became archbishop of Canterbury.
Once he became archbishop, the preaching of Calvinist doctrine in England was limited, as Laud sought to enforce uniformity on a church that had been, in many respects, diverse for decades. In 1633, at Laud’s prompting, Charles I wrote to the bishops instructing them to restrict ordination to those who intended to undertake the cure of souls, an action that resulted in the suppression of Puritan lecturers. He was unwilling to offer to Puritan clerics the possibility of only occasional compliance with the regulations, and he insisted that parish churches should match the more regulated practice of cathedrals.
This authoritarianism compounded what was regarded by the Puritans as the offensive nature of Laudian ceremonial and doctrine—not least its stress on the sacraments and church services that emphasized the cleric, not the congregation, and made the altar rather than the pulpit the center of the service. As dean of Gloucester, Laud had moved the communion table to the east end of the choir, a measure seen as crypto-Catholic. He also bowed whenever the name of Jesus was pronounced and bowed toward the east on entering a church. Arminianism was seen as crypto-Catholic (and thus conducive to tyranny) by its Puritan critics. Although Laud rejected claims that he was a crypto-Catholic, he was widely referred to by Puritans as the “pope of Canterbury.”
Laud was an active opponent of Puritan views, opposing, for example, Puritan strictures on the staging of plays and on activities on Sundays. He responded harshly to Puritan criticisms and writings. Laud was also active in government and was added to the Commission of the Treasury and to the Committee of the Privy Council for Foreign Affairs in 1635. He supported the promotion of clerics in the government and was delighted in 1636 when his friend Bishop William Juxon of London was made Lord Treasurer. Laud’s attitude toward the Scottish church played a major role in the breakdown of Charles I’s position in Scotland, and thus in the eventual collapse of royal authority. Laud actively backed a new prayer book and new canons for the Scottish church, and, when opposition was voiced in 1637, he persisted in enforcing his reforms. In 1639–1640, he was also a supporter of war with Scotland, a war that was to prove disastrous.
Laud, who had introduced new canons proclaiming divine right kingship in 1640, was to be a victim of the reaction against Charles I. He was impeached by the Long Parliament in December 1640 and committed to the Tower of London the following March. His trial for treason did not begin until March 1644; members of the House of Lords were hesitant about the charge, which they felt had been forced on them by the Commons. As a result, proceedings were brought against Laud alleging that he had tried to subvert the fundamental laws, to alter religion as by law established, and to subvert the rights of Parliament. After his request that the harsh character of the execution for treason be commuted was finally accepted, Laud was beheaded on Tower Hill on 10 January 1645.
An obstinate and difficult man, Laud bore part of the responsibility for his own downfall; he failed to comprehend the growing trend toward Puritanism and the intense hostility aroused by his treatment of those who disagreed with him, both of which contributed to the crisis of trust that led to the outbreak of the Civil War. He became a martyr figure for the “high” tradition of the Church of England.
See also Bible; Charles I (England); Church of England; English Civil War and Interregnum; Puritanism.
BIBLIOGRAPHY
Carlton, Charles. Archbishop William Laud. London and New York, 1987.
Duncan-Jones, A. S. Archbishop Laud. London, 1927.
Trevor-Roper, Hugh. Archbishop Laud, 1573–1645. 3rd ed. Basingstoke, U.K., 1988.
Tyacke, Nicholas. Aspects of English Protestantism c. 1530–1700. Manchester, U.K., and New York, 2001.
Jeremy Black
LAVOISIER, ANTOINE (Antoine-Laurent Lavoisier; 1743–1794), considered the father of modern French chemistry and the discoverer of oxygen. Born to a family of notaries and lawyers, Lavoisier was raised in the comfort of bourgeois Paris and attended the Collège Mazarin, where he studied literature, rhetoric, and the natural sciences. Intended for a legal career (he received his law degree in 1763 and several prizes for rhetoric), he early on moved first into mineralogy, traveling with Jean Étienne Guettard of the Academy of Sciences, and then into chemistry, following especially the public courses of the controversial Guillaume-François Rouelle at the Jardin du Roi. He was accepted at a very early on into the Academy of Sciences, of which he would be a lifelong and tireless member.
At a young age, Lavoisier felt that chemistry was a science filled with unclear names and confused theories, and he was committed to resolving it into a science as systematic as Newton’s physics. From 1763 to about 1770, he slowly elaborated his famous principle that “nothing is gained and nothing is lost” in chemical reactions, that is, that conservation of mass defines the conceptual closure of chemical experiments. He also demonstrated that water is not an element by separating it into hydrogen and oxygen and then reversing the process. During the “crucial year,” 1772–1773, he identified oxygen (and hydrogen) as elements and set the stage for the chemical revolution that disproved the phlogiston, or fixed-fire, theory of chemistry. In 1787 he and his disciples sealed their success with the Method of Chemical Nomenclature, a controversial reform of the field of chemistry based on Condillac’s definition of a science as a perfect analytic language. Lavoisier’s Elements of Chemistry of 1789 united the reformed nomenclature with the principles of closure-determined experimental observation and his definition of the chemical element. From the early 1780s he also worked with Laplace (1749–1827), studying the chemistry of respiration and theorizing that metabolism is a form of combustion. In this way he prepared the way for much of nineteenth-century biochemistry.
Lavoisier’s life was not limited to chemistry, however. Although he had inherited a fortune sufficient for financial independence, he was a shy, serious young man, not given to public displays of brilliance or adept at social climbing. His marriage to the fourteen-year-old Marie Paulze, daughter of one of the members of the infamous General Farm, a quasi-governmental organization that collected the taxes from the French subjects for the crown, provided him with the social connections and the additional financial resources needed to join the oligarchy of Enlightenment meritocrats attempting to reform the French state under Louis XV (ruled 1715–1774) and Louis XVI (ruled 1774–1792). Lavoisier’s training as a lawyer served him well at the tax farm and as a collaborator with Turgot (1727–1781) on proposals to reform the French economy. Dupont de Nemours (1739–1817) introduced him to the Physiocrats, and Lavoisier applied his scientific and economic theories to real-world experiments in agriculture (using experimental farms in his tax region to test the utility of crop rotation), prison reforms, analyses of the quality of the water of Paris, proposals for lighting Paris, and comparisons of hot-air versus hydrogen balloons for military observations and scientific investigations.
During the French Revolution and until the 1793 abolition of the Academy of Sciences, Lavoisier turned the sciences to the service of the republic. He was tireless in establishing a Bureau of
Weights and Measures and the adoption of the metric system. He ran the in-town saltpeter factory that provided France (but only after his chemical improvements) with sufficient gunpowder to fight the counterrevolutionaries. With Condorcet (1743–1794) he proposed a structure for a secular public education, in part based on his experience of the reform of chemistry through its nomenclature: He believed that a French language freed from the confusion, superstition, and historical connotations of *ancien régime* ideology would create a new type of republican citizen and guarantee the economic security of the modern technological state.
He was, nonetheless, sent to the guillotine with the other *fermiers généraux* on 8 May 1794. His wife and chemical disciples had circulated letters and petitions to show how much the “father of French chemistry,” as he was called, had been useful to the Revolution. The answer given them is famous: “the Revolution has no need of scientists.” The Reign of Terror fell only three months later, and the posthumous rehabilitation of Lavoisier as the ideal citizen-scientist went hand-in-hand with the dismantling of Robespierre’s (1758–1794) terrorist state.
**See also** Chemistry; Condorcet, Marie-Jean Caritat, marquis de; Revolutions, Age of.
**BIBLIOGRAPHY**
**Primary Sources**
Lavoisier, Antoine Laurent. *Elements of Chemistry*. Translated by Robert Kerr. Introduction by Douglas McKie. New York, 1965. This is the standard English translation of the *Traité élémentaire de chimie*, 1789.
———. *Oeuvres de Lavoisier*. Paris, 1862. The editing of his correspondence is still not finished. This same edition is also available online at the Sorbonne’s http://histsciences.univ-paris1.fr/i-corpus/lavoisier/index.php, and many of the manuscripts as well as a good overview of the location of unpublished manuscripts held around the world can be found at the Panopticon Lavoisier, established by Marco Beretta and Andrea Scotti at http://moro.imss.fi.it/lavoisier/.
**Secondary Sources**
Guerlac, Henry. *Lavoisier: The Crucial Year*. Ithaca, N.Y., 1961. The classic reading of Lavoisier’s invention of modern chemistry.
Holmes, Frederic Lawrence. *Lavoisier and the Chemistry of Life*. Madison, Wisc., 1985. The best analysis of Lavoisier’s work on animal respiration and metabolism.
Poirier, Pierre-Jean. *Lavoisier, Chemist, Biologist, Economist*. Translated by Rebecca Balinski. Philadelphia, 1996. Translation of *Antoine Laurent de Lavoisier, 1743–1794*, Paris, 1993. The best modern biography of Lavoisier in that it deals with the full scope of his scientific, technical, and public activities.
WILDA CHRISTINE ANDERSON
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**LAW**
*This entry contains seven subentries:*
- CANON LAW
- COMMON LAW
- COURTS
- INTERNATIONAL LAW
- LAWYERS
- ROMAN LAW
- RUSSIAN LAW
**CANON LAW**
The basic elements of canon law were the *Decretum* (c. 1140) and the *Decretales* (1234). The *Decretum* (The concordance of discordant canons), compiled by a monk named Gratian, brought together materials related to the law and the administration of the church from a wide variety of sources in a dialectic fashion, in order to create a uniform body of law for
the universal church. The *Decretales* (The Gregorian decretals) consisted of approximately two thousand decretal letters, judicial decisions, that various popes issued between the mid-twelfth and the early thirteenth century. Eventually several smaller collections were added as well: the *Liber sextus* (The sixth book of decretals; 1298); the *Constitutiones Clementinae* (The Clementine constitutions; 1317), and the *Extravagantes a Johanne Papa XXII* (Decretal letters of Pope John XXII; 1325). The last brief collection was the *Extravagantes communes* compiled at the end of the fifteenth century.
In addition to texts in the *Corpus iuris canonici*, canon law also contained commentaries based on glossing the texts. Initially brief marginal comments explaining unusual words and phrases and referring the reader to related materials elsewhere, the glosses grew longer and more detailed. By the mid-thirteenth century there existed a standard commentary, a *Glossa ordinaria*, on the *Decretum* and one on the *Decretales*. These provided a kind of basic textbook based on the writings of a number of early canonists. Subsequently, many canonists wrote longer commentaries, not simply defining obscure terms and citing related materials but writing at length on substantive issues raised in the texts. Some of these commentaries contained in effect brief legal treatises on points of law and even political theory. The most extensive of these commentaries was that of Johannes Andreae (c. 1270–1348).
The period 1140–1378 was the golden age of canon law, the period when the law was fully formed and produced its greatest thinkers. Scholars judge the post-1378 period in the history of canon law as sterile, an era when commentators repeated thoughts of their predecessors without adding significantly to the law. Part of the reason for this division was that after 1325, papal judgment letters, decretals, were replaced as the basis of the law by decisions of the other papal courts, especially that known as the Rota. Nevertheless, canonists continued to produce extensive commentaries on the *Decretales*, often running to several volumes, that have received little scholarly attention although there is evidence that they deserve more extensive analysis. John F. McGovern has argued that many early modern economic concepts that Max Weber and others associated with the Protestant Reformation had in fact existed in the works of fifteenth-century Italian canonists.
During the sixteenth and seventeenth centuries, the Protestant Reformation and the Catholic response to it had a significant effect on the development of canon law. The major effect of the Reformation was that canon law was no longer the recognized law of Christian Europe. Now only Catholic countries recognized canon law, and even in those countries agreements between Catholic rulers and the papacy granted wide powers to the rulers in return for supporting the papacy, agreements that restricted the jurisdiction of the law. Such agreements, concordats, effectively limited the role of the papacy and therefore of the canon law within Catholic kingdoms. The agreements often required the papacy to seek royal permission before circulating statements on ecclesiastical law and doctrine. The climax of this development came with the Peace of Westphalia (1648), which ended the religious wars in Germany. The pope was not invited to send a representative to the negotiations that led to the peace, and Pope Innocent X (1644–1655) condemned the treaty but to no avail. This marked the end of the role of the pope and of canon law in the international relations of Europe.
Within the Catholic community, there were important developments regarding canon law. In response to calls for codifying the canon law to bring all of the disparate materials of the law into a coherent body of law, Pope Pius V (1566–1572), taking advantage of Renaissance humanist scholarship, created a commission composed of cardinals and scholars with a mandate to examine the various manuscript copies of the materials of canon law, to correct errors, and to excise materials that had been added to the original texts. The result was the *Corpus iuris canonici* (Body of canon law), the official law of the Roman Catholic Church until 1918.
Another source of development in canon law in the sixteenth century was the Council of Trent (1545–1563), which generated a series of canons designed to respond to issues that the Protestant reformers had raised. Overall, the canons and decrees of Trent reinforced the institutional structure of the church, the sacramental system, and the power of the papacy, seeing the reform of the existing church structure as central and rejecting the
Protestant argument that the entire ecclesiastical structure, including the canon law, had to be eliminated.
From the perspective of Christian daily life, the most important of the canons of Trent was Tametsi (1563) dealing with marriage law. This decree restated the Catholic position that marriage was a sacrament and subject to ecclesiastical regulation, in opposition to the Protestant view that marriage was fundamentally a civil matter. Tametsi required parental consent, witnesses, formal recording of the marriage, and a blessing by a priest. This ended the older practice of secret marriage entered into by two persons without witnesses, a situation that caused a great deal of confusion for the ecclesiastical courts. Finally, Tametsi forbade secular rulers from interfering in any way with the freedom of their subjects to marry as they wished, thus stressing the right of the individual to enter a marriage without compulsion, a right protected by the requirement that the marriage ceremony be celebrated publicly and in the presence of witnesses.
Martin Luther (1483–1546) famously illustrated the Protestant opinion about canon law when he publicly burned volumes of the law along with other materials that he saw as corrupting the Christian faith by stressing the letter rather than the spirit of Christianity. Protestants rejected the Catholic sacramental system and the entire clerical structure headed by the pope so that it was possible to reject canon law as well. Even those Protestant countries that did retain some elements of canon law rejected any papal role in its functioning.
It was not only the Protestant Reformation that affected the role of canon law in European society in the early modern era. As modern states began to emerge, secular governments also began to take responsibility for marriage and family law, for cases involving wills and probate, and other matters that had previously been within the jurisdiction of the church and canon law. The canon law connected with these activities became the basis of secular law in these areas even in Protestant countries. As a result, one of the most important areas of scholarly research in modern times has concerned the appropriation of canon law by secular lawyers and political theorists in the early modern world. This scholarship has focused attention on three aspects of the development of canon law in the early modern era: the conciliar movement, canon law in the expansion of Europe overseas, and marriage law. In each of these areas, the work of the canonists contributed to the shaping of modern political and legal concepts.
The conciliar movement, a fifteenth-century movement to reform the institutional structure of the Catholic Church, played an important role in subsequent discussion of representative government, because the canonists had wrestled with problems associated with the governance of large communities, the relation of the ruler, that is, the pope, to a representative institution, the council, and the nature of representation within a political community, issues that in the seventeenth century lay at the heart of political debate throughout Europe. Careful analysis of early modern political and legal texts has uncovered not only concepts developed by the canon lawyers but the language of the canonists as well.
A related concept that developed from the debates of the canon lawyers was the notion of the ruler as sovereign and then the application of that concept to the emerging nation-state, making the state answerable to no outside authority. This had emerged in the canonistic tradition as the canonists discussed the powers of the pope and the emperor. The canonists had rejected imperial claims to jurisdiction over all other Christian rulers, arguing instead that Christian kings possessed within their own kingdoms the power identified with the imperial office. Subsequent writers, such as Jean Bodin (1529–1596), whose *Six Books of the Republic* is usually identified as the initial modern work on the concept of sovereignty, drew heavily on the canonistic tradition in his work.
Finally, in spite of Luther’s burning of volumes of the canon law, Protestant churches also employed at least some elements of the canon law tradition. The Church of England was perhaps the most notable example of continued use of the canon law and church courts in a variety of matters, but as recent scholarship has indicated, Lutherans also used elements of canon law. Elements of the medieval canon law can also be found in the major works of John Calvin, whose *Institutes* and *Ecclesiastical Ordinances* reflect a highly legal conception of
The common law was generally defined as the unwritten law, or *lex non scripta*, of England. It derived its authority from immemorial usage and “universal reception throughout the kingdom,” as phrased by Sir William Blackstone (1723–1780) in his *Commentaries on the Laws of England* (1765–1769). The common law was contrasted with written statutory laws enacted by Parliament. For some, like Sir John Davies (1569–1626), it was “nothing else but the Common Custome of the Realm” (preface to *Reports*, 1612). Indeed, the *De Laudibus Legum Angliae* (c. 1470; In Praise of the laws of England) of Sir John Fortescue (c. 1395–c. 1477) declared that “the realm has been continuously ruled by the same customs as it is now.” Most, however, found it more accurate to describe the system as customary in origin. As Sir Edward Coke (1552–1634) put it in the preface to the eighth volume of his *Reports* (1600–1615), it was “the grounds of our common laws” that were “beyond the memorie or register of any beginning.” By the mid-seventeenth century, Sir Matthew Hale (1609–1676) made it clear that the “immemorability” of the common law did not imply that it was unchanging, it only indicated that the precise origin of institutions (such as Parliament and the jury) and rules (notably of landed property) predating 1189 could not be traced. Their continued existence carried the presumption of both original and continued popular consent. As Hale wrote in his *History of the Common Law* (1713), the common law was “singularly accommodated” to the “Disposition of the English Nation” and “incorporated into their very Temperament,” while also reflecting their experience.
As Coke pointed out in the first volume of his *Institutes of the Laws of England* (1628–1644), there were “divers laws within the realme of England,” including the prerogative law of the crown, the canon law practiced in the ecclesiastical courts, and the maritime law administered in the Admiralty. However, as John Selden (1584–1654) put it, “There are no laws in England but are made laws either by custom or act of parliament” (*Commons Debates*, 1628). These “particular laws” were included in the definition of *lex non scripta*, because their authority in England derived, according to Hale, from “their being admitted and received by us” either through statute or “by immemorial Usage and Custom in some particular Cases and Courts.” They were subject to the control of the common law, which sought to keep their jurisdiction within its accepted boundaries or even, as in the early seventeenth century, to restrict them. Besides these particular laws, the *lex non scripta* also encompassed local and particular customs. Local customs, which originated in local practice in derogation from the general rules of common law, were recognized and enforced in the common law courts, but only if they were immemorial, continuous in usage, certain, and reasonable. Particular customs such as
the custom of merchants (*lex mercatoria*) were also said to be part of the common law. In court, if any doubt arose about what the custom was, the evidence of merchants was received to inform the court.
In the first half of the seventeenth century common lawyers fearful of the ambitions of the Stuart monarchy challenged the idea that law derived from the commands of a king, whose authority came either from divine right or conquest. For them, the common law was a “fundamental law” derived from an ancient constitution, limiting the power of the crown and guaranteeing the freedoms and rights of the English, most particularly to their property. In the case of *Prohibitions del Roy* (1607) Coke declared that the law as administered by the judges was “the golden met-wand and measure to try the causes of [the] subjects,” while in the *Case of Proclamations* (1610) it was ruled that the king’s proclamations did not have the force of law. The legal debate over the existence of an “absolute” power in the king to act according to his idea of what the public good required in emergencies continued to be debated in a legally inconclusive way in a number of causes célèbres in the early seventeenth century. But the vision of the constitution espoused by common lawyers prevailed in the later seventeenth century and was secured by the Bill of Rights in 1689.
Such was Coke’s veneration of the common law that he stated in 1610 that it could even declare void a statute “against common right and reason” (*Dr. Bonham’s Case*). Before the outbreak of the English Civil War in 1642, lawyers sometimes described Parliament as a court, implying that statutes might be seen as judgments or declarations of the common law. More usually, however, lawyers from Coke to Blackstone described Parliament’s power as “transcendent and absolute” (Coke, *Institutes*) and not liable to judicial review. In doing so they did not expect (and did not see) an active, interventionist legislature. Legislation that was passed amended and modified the common law, rather than displacing it. Parliament was therefore seen as part of the common law’s world rather than as a threat to it. Just as the common law grew from the consent of the people as manifested in custom, so statute was seen to come from current consent. It was a fundamental rule of the constitution, constantly reiterated, that the crown could neither change the law nor impose taxation without consent. It was this that made England (in Fortescue’s terms) “a government not only regal but also political.” As Hale put it, all legislation was a “tripartite indenture” between king, lords, and commons, rather than the mere will of the king or the people. The notion of the mixed constitution, founded on a presumed ancient original contract reconfirmed in 1689 and conferring unlimited power on the crown-in-Parliament, was generally accepted in mid-eighteenth-century England. However, when Parliament began in the 1760s to tax colonists who were not represented at Westminster, American lawyers invoked Coke’s rhetoric from Bonham’s case, arguing for the existence of a higher law to control the legislature. Where parliamentary sovereignty became the cornerstone of the British constitution, the American constitution of 1787 recast the old ideas of a fundamental law.
**THE COMMON LAW IN THE COURTS**
In a narrower sense, the common law was the body of law administered in Westminster Hall by the twelve judges of the three superior courts of law. These were the Common Pleas, whose position as the prime court for civil suits had been secured by the Magna Carta (1215) and which continued to attract most civil litigation until the early eighteenth century; the King’s Bench, which originally dealt with crown business (including criminal matters) and had jurisdiction to correct errors from other courts of record; and the Exchequer of Pleas, which originally dealt primarily with revenue matters. By the later Middle Ages, thanks to procedural changes designed to attract litigants, these courts had a largely concurrent jurisdiction, and the King’s Bench gradually became the most popular court. The common law administered in these three courts contrasted with “equity” as administered primarily in the Court of Chancery. The Chancery was originally a court of conscience, concerned with securing justice in individual cases rather than following strict rules. There were some complaints in the sixteenth and seventeenth centuries about the certainty of the common law being undermined by the interference of the lord chancellor. It was argued that one chancellor’s conscience might differ from his successor’s, just as the length of their feet did. In 1614–1616 an unsuccessful attempt was made by Coke to assert the supremacy of the common law courts over the
Court of Chancery. However, after the Restoration, when Heneage Finch, earl of Nottingham, was lord chancellor (1675–1682), the court began to develop a more fixed set of principles and rules, which were further developed by Philip Yorke, earl of Hardwicke (lord chancellor, 1737–1756). By the eighteenth century, the old antagonism between the systems had gone. With a distinct procedure and set of remedies, the Chancery was able to develop a jurisdiction over matters to which the common law remained blind, most notably trusts. It thereby made up for the shortcomings of the common law, but its rules and doctrines presumed the existence of the common law, which it modified in particular contexts.
While common lawyers saw their law as based on immemorial custom, they also described it in terms of reason. As Coke put it in the *Institutes*, “reason is the life of the Law, nay the common law itself is nothing else but reason.” By this he meant not the “natural reason” of every man but the “artificial reason” of lawyers, obtained by long study and experience. Knowledge of the law was a specialized enterprise, which had to be left to lawyers, and “if all the reason that is dispersed into so many several heads were united into one, yet he could not make such a law as the Law of England is.” This law was seen to be both developing and unchanging. On the one hand, its core principles were seen as timeless. On the other, its details had been, as Coke stated elsewhere, “refined and perfected by all the wisest men in former succession of ages and proved and approved by continuall experience to be good & profitable for the common wealth.”
Rather than directly reflecting the customary practices of the people, most of the law applied in the courts to the end of the eighteenth century had been created and developed in the judicial forum. The common law had originated in the reign of Henry II (ruled 1154–1189) not as a set of substantive rules, but as a set of institutions and procedures to enforce rights whose substance was defined by community custom. However, with the development both of a legal profession and of the jury in the thirteenth century, new legal norms emerged by which custom was rapidly turned into law, which then developed within the courtroom. Since the jury’s function was to decide questions of fact, matters of the law had to be settled by lawyers and judges. In the later Middle Ages, when the process of pleading was flexible, judges avoided making clear determinations of substantive law, preferring to get the parties in uncertain cases to reformulate their claims to reflect the common understanding of what the law was. In this era, the law was often seen in terms of the “common erudition” of the lawyers, as debated at the Inns of Court as well as in the courtroom. By the sixteenth century, however, when pleading had become more formal, judges began to be more confident about making clear statements of law. Law was now often settled, after the determination of facts by the jury, by motions debated on the bench at Westminster Hall after a trial had taken place at the assizes.
In elaborating the law, judges assumed that the common law already contained within itself the answers to any questions they might be asked. They saw their function as being to declare what the law already was, rather than to make new law. In order to maintain certainty, they were expected as far as possible to follow the reasoning of earlier cases. Since cases were seen to be evidence of the law rather than law itself, no doctrine of binding precedent emerged in this period. Nevertheless, from the sixteenth century onward, law reports were produced that clearly set out the substantive decisions, in a way not done in the medieval Year Books, and lawyers such as Edmund Plowden (1518–1585) and Coke now published reports that sought to illustrate the principles of the law. Until the mid-eighteenth century most published law reports were the unreliable results of speculating publishers, but manuscript reports circulated widely and were often quoted in court. Principles, or maxims, could thus be obtained by a process of induction from the *ratio decidendi*, or reason for the decision, of earlier cases. Besides applying the principles and maxims thus obtained, judges were also expected to extend the reason of one case to another by a process of analogy. However, judges did not only derive their law from precedent or analogy, for in novel cases they were free to resort to arguments drawn from natural law, public policy, or convenience.
*See also* Absolutism; Constitutionalism; English Civil War and Interregnum; Natural Law.
Early modern law courts were multifunctional institutions whose reach extended far beyond the judicial branch of government. Throughout Europe, they held a wide range of administrative, governing, and policing powers, frequently making them a main channel of state administration. In eastern Europe, the courts were closely fused to the state bureaucracy and operated as the secure tools of crown authority. In western Europe, courts enjoyed varying levels of independence from the sovereign, but they nevertheless were active in maintaining daily order in both villages and state. Given the complex nature of early modern society, the judiciary was a key mechanism for conflict resolution not only among individuals, but among classes, estates, and orders. Law courts also served as a central elevator for social mobility. Buying or acquiring offices in the royal courts was an important stepping-stone into the gentry or the nobility, conferring honor, influence, and sometimes titles on the officeholder. Finally, judges served as the protectors of common law, customary laws, and privileges on behalf of society, and often actively defended those traditions against the encroachments of increasingly powerful sovereigns. Judges and lawyers in the courts were thus at the epicenter of several early modern rebellions and revolutions, including the French Fronde (1648–1653), the English Civil War (1642–1649), and the French Revolution (1789).
The law courts proved to be one of the most flexible and useful tools of governance available in western Europe, and the use of both elaborate law codes and a widespread court system to govern is one of the key factors in the development of the early modern state. Local seigneurial and royal courts helped to make village communities and towns largely self-governing, while provincial and regional courts often helped oversee the administration of large territories. At the pinnacle of the state, sovereign courts negotiated the privileges and competing claims of nobles, officials, and corporations. Despite the intense interest in recent decades in early modern crime and punishment, the vast majority of European courts’ business was the regulation of civil society through contracts, laws, and customs. Courts thus provided limited opportunities for ordinary people to resolve their most pressing problems, especially those of family, property, and community, in a civil forum.
**ORGANIZATION OF COURTS**
The organization of the law courts in continental Europe was byzantine, full of overlapping jurisdictions that reflected both the organic growth of courts over time and the reality of competing claims to judicial sovereignty. Almost all European states had three major independent court systems: ecclesiastical courts to judge the religious crimes of clerics and parishioners, seigneurial or manorial courts that delivered justice to tenants (including the right to impose the death penalty for landlords exercising high justice), and state courts, which gradually began to encroach on the jurisdictions of the other two. Church jurisdiction eroded significantly from the sixteenth through the eighteenth centuries in many countries, but sovereigns faced a steeper challenge in dismantling the private jurisdictions of landlords, for whom courts were considered part of their property and family honor.
Outside of these three major systems, however, most corporations like towns, guilds, and officers’ corps had the right to regulate their own members through internal courts and statutes. An enormous volume of early modern litigation was also resolved through formal and informal adjudication outside of the court system, though often brokered by notaries, lawyers, or even judges from the law courts.
**SOVEREIGN OR SUPERIOR COURTS**
Well before 1450, superior or sovereign courts had emerged out of the medieval king’s household (the *curia regis*) in many states. They developed into professionalized resident law courts that enjoyed relatively high degrees of independence on a day-to-day basis. In France, the sovereign Parlement of Paris was installed on the Île-de-la-Cité by 1300 and remained there even when the royal court was itinerant. Peers of France had the right to have their cases heard there in the first instance, and the court’s judgments were unappealable (save to the king himself). The parlement’s real strength, however, lay in the extent of its geographic and legal jurisdiction. The court could judge any civil or criminal case in its extensive domain (the lands originally held by the Capetian kings, about one-third of France) and heard appeals from the lower courts, making it one of the most inclusive jurisdictions in Europe. The parlement also had the right to register royal edicts before enforcing them, which gave magistrates opportunities to delay legislation or to remonstrate with the king. Although the *parlementaires* could neither legislate nor veto royal laws, they did issue a wide variety of administrative *arrêtés* (‘decrees’) that gave them broad authority over public order.
The system of parlements was gradually extended to new provinces as they were added to the realm. In many recently acquired provinces, like Burgundy (1477) and Normandy (1499), existing ducal courts were simply transformed into sovereign parlements. By the late eighteenth century, France had thirteen parlements, each sovereign within its own jurisdiction. The Parlement of Paris, however, remained the superior member of the court system, and was often looked to for legal precedents. France thus had an extraordinarily dense corps of sovereign magistrates; there were roughly 240 *parlementaires* in Paris in the eighteenth century, and another thousand in the other sovereign courts.
By 1400 the French crown had appointed five varieties of sovereign courts to deal with different types of cases. Apart from the parlements, there were three sovereign financial courts: the Court of Aids (*Cour des Aides*) for tax cases, the Chamber of Accounts (*Chambre de Comptes*) for royal accounting disputes, and the Court of Monies (*Cour de Monnaies*) for monetary cases like counterfeiting. (Provinces with parlements typically had one or more of these sovereign financial courts as well.) Finally, the Grand Council decided jurisdictional disputes among the other courts and heard special political cases. Outside of these formal courts, the king, in his role as God’s judge, always retained the right to hear cases, render judgment, and grant pardons in exceptional circumstances. For the most part, however, early modern French sovereigns increasingly left judging to a trained corps of jurists and lawyers.
One of the most prominent features of the French sovereign courts was that judgeships were both venal (bought by the official, sometimes for princely sums) and hereditary. Repeated fiscal crises of the French crown had early on led kings to the expedient of selling offices in their own administration, a habit that proved impossible to break. In
1604 Henry IV (ruled 1589–1610) allowed royal officers to pass offices on to their heirs or sell them in exchange for an annual fee (the *paulette*), equal to one-sixtieth of the office value. Because of the high status of judging, it became axiomatic that the highest judgeships should only be held by nobles. Judgeships in the sovereign courts (all *parlementaires* and Masters in the Chamber of Accounts, for example) endowed personal nobility on their holders and eventually hereditary nobility on their families. The result was the emergence of a powerful “nobility of the robe” (for the long robes they wore in office), which became an increasingly wealthy, educated, and sometimes politically fractious elite. Robe nobles from the sovereign courts played important roles in the revolt of the Fronde as well as in the French Revolution in 1789, but they were an essential part of the backbone of national and provincial order in less contentious times.
Other continental regions experimented with different forms of sovereign courts. In the Holy Roman Empire, the Diet of Worms (the imperial parliament) created an imperial supreme court in 1495, an appellate bench for both territorial and urban jurisdictions. The magistrates also claimed original jurisdiction over a variety of civil and criminal cases, including cases involving corporations, cities, estates, and crimes against the state. In practice, however, the more powerful states of the empire continued to claim sovereign jurisdiction and did not recognize the imperial court’s authority. Below the supreme court were a series of weaker imperial courts that were often regional in jurisdiction, and whose cases were increasingly appealed to the supreme court. As in France, these multiple appellate layers provided litigants with numerous political and legal avenues for pursuing their cases, and with abundant opportunities to exploit rivalries between jurisdictions.
England’s law courts were far more successfully centralized than most continental courts. Three types of superior courts were based in and around London, each specializing in a different type of law: common law courts, equity courts, and royal prerogative courts. The three main royal courts sitting at London’s Westminster Hall, the King’s Bench, the Court of Common Pleas, and the Exchequer, primarily practiced common law. By 1500, Common Pleas was the busiest jurisdiction in England, hearing nearly fifty thousand cases a year at its peak. The court possessed jurisdiction over most civil cases, including property, rents, and debts. King’s Bench originally enjoyed criminal jurisdiction, but its civil jurisdiction was expanded after the 1530s, allowing it also to hear the common pleas from most of England. By 1600 the two courts’ civil jurisdiction was similar, although King’s Bench still heard only one-third as many cases as Common Pleas. The Exchequer had its own small court for revenue cases or debt, but few litigants had the right to plead there until the late 1600s. Despite the centrality of the Westminster courts, there was a remarkably small group of judges on the bench: there were only about fifteen sovereign judges in England. Once points of law had been settled by the courts at Westminster, most cases returned to the counties to be tried by jury in the assize courts. All three superior common-law courts were united in the nineteenth century.
Apart from the central common-law courts, and developed partly in opposition to them, were the crown’s prerogative courts. The infamous Court of Star Chamber, along with the Court of High Commission, allowed crown and church to investigate and prosecute powerful nobles or ecclesiastics outside of common law. (Most sixteenth-century cases tried in the prerogative courts actually involved powerful subjects prosecuting one another, but the courts were notoriously used by Archbishop Laud to prosecute nonconformists in the early seventeenth century.) Lastly, the Court of Chancery in London administered equity law to litigants and appellants. Equity (considered a branch of reason) gradually evolved into a formal set of legal principles by 1700 and was integrated into the common law by 1800.
During the legal revolution of the seventeenth century, England’s superior court structure was radically streamlined. In 1641 Parliament abolished the prerogative courts, including Star Chamber, High Commission, and Requests, along with the royal court of wards and legal enclaves that had long been under the jurisdiction of the Councils of the North and of Wales. This streamlining of the law courts reflected an increasingly unified sovereignty under the leadership of Parliament in England, and it furthered an increasingly dominant common law.
In eastern Europe, law courts were more firmly integrated into the bureaucracy and had considerably less freedom of action than in most western states, but in the eighteenth century both Frederick II of Prussia (1748; ruled 1740–1786) and the Habsburgs in their own provinces (1749) gave the judiciary a more independent identity. Frederick II no longer allowed the bureaucracy to involve itself in judicial cases, and the Habsburgs set up a new ministry and supreme court, the Oberste Justizstelle, to distinguish justice from administration more clearly. In both states, however, there was a far less developed structure of rights, privileges, and laws outside the control of the crown or bureaucracy than in most western states. In Russia, the senate had evolved into a judicial body under Peter I (ruled 1682–1725), but in practice it heard only cases of the nobility. Moreover, Russian ukazy (‘imperial decrees’) and government ministry orders were neither codified nor published, making it difficult for any organized study of the law to develop. Repeated attempts to codify Russian law by Peter I, Elizabeth (ruled 1741–1762), and Catherine II (ruled 1762–1796) between 1700 and 1767 all came to naught. Local justice was dispensed to Russian serfs on their estates through land courts, and landowners were essentially a law unto themselves. Under such conditions, a relatively independent judiciary never developed into a key institution of civil society.
**LOCAL COURTS**
Law courts frequently became the main channel of local administration in western Europe during the sixteenth and seventeenth centuries. As the nobility deserted the countryside for the allure of royal courts or cities, the mantle of daily authority settled naturally on the shoulders of royal judges in many regions. In France, a pyramidal structure of local courts spread out beneath the sovereign courts (the parlement, Cour des Aides, and Chambre des Comptes) within each province. The main line of the judiciary ran from the provincial parlement to the lower appellate courts (the présidiaux, established under Henry II [ruled 1547–1559]) and from there to the bailiwick courts (bailliages in the north of France, sénéchaussées in the south and in Brittany). Bailiwicks were medieval jurisdictions that varied greatly in size, but they averaged roughly a hundred parishes by the later seventeenth century.
In many regions there was a final layer of petty royal courts (vicomtés, or ‘viscounts’, or prévôtes, ‘provosts’) under the bailiwick courts.
Each of these local royal courts heard both civil and criminal cases and could judge customary, royal, and Roman laws. (There were some jurisdictional distinctions between them; civil cases involving large sums of money were heard first in the présidial or in the parlement, for example.) Each royal court was required to have a judge (lieutenant général) and a royal attorney (procureur du roi), but most attracted a full complement of assistant judges, councillors (conseilleurs), and royal lawyers (avocats du roi), all venal offices. This meant that France’s judiciary was perhaps the densest bureaucracy in early modern Europe, with provinces like Normandy or Brittany supporting several thousand officials and functionaries each.
Most royal judicial officials enjoyed considerable independence from the crown. While the state provided letters accepting candidates into office, in practice almost all local offices were passed between individual buyers, without the intervention of the crown. The king did set minimum educational requirements for judges and attorneys, but the corps accepting them was supposed to inquire into their qualifications, morals, and religious practices, allowing them to vet (and sometimes reject) candidates for a variety of reasons. Lower court offices tended to be significantly less expensive than judgeships in the sovereign courts, but they did not confer personal or hereditary nobility on their buyers. (Nevertheless, a significant number of bailiwick judges were already noble before buying a judgeship.) In theory, all lower court cases could be appealed up from the bailiwicks to the présidial or parlement, but in practice only infamous criminal cases and civil cases involving officers, nobles, or wealthy elites tended to be appealed there. The vast majority of litigation was settled within the bailiwick (jurisdiction of a lower-court judge).
The authority of local judges was considerable by the seventeenth century. In France, bailiwick judges and king’s prosecutors were often the only resident royal officers in the countryside. They became administrators par excellence, supervising matters as diverse as the upkeep of bridges, roads, and chimneys, tavern hours, bread riots, and public order in general. They also policed markets, prices, and the guilds, performing essential economic regulation. In many regions they held minor military responsibilities, too, for raising the militia. Above the bailiwick judges, the magistrates in the provincial parlements (in tandem with the provincial Estates where they existed), also exercised a broad governing role in the countryside. But these magistrates only rarely intervened in local administration outside of the city where the parlement resided, and the bailiwick remained the central unit of local governance. Unlike in England, there was relatively little interaction between the sovereign courts of parlement and the lower courts that served the majority of the population. The professional and social gap between the two main levels of the judiciary widened after the middle of the seventeenth century, leaving local judges little role to play in national affairs.
Alongside the main royal courts in France, there were hundreds of specialized jurisdictions handling everything from tax cases (the élections), crimes on the high roads, and army deserters (the maréchaussée, or mounted constabulary courts) to woods and waters cases (eaux et forêts, or water and forest courts). In one district that covered a third of Normandy, there were more than seventy special royal jurisdictions outside the main (parliamentary) branch of the judiciary. These were further complicated by more than 228 seigneurial high justices and dozens of ecclesiastical courts, but the confusion was more apparent than real by the middle of the seventeenth century. Although the tax courts remained vigorous, cases from many specialized jurisdictions were gradually swallowed up by the bailiwick courts over the course of the seventeenth century, making the bailiwick courts an increasingly important center of gravity for local governance.
Although French and other continental courts have often been criticized as despotic institutions, run by venal officeholders and lacking juries or criminal defense lawyers, the reality was considerably more nuanced. Local courts were thoroughly embedded in local society through their officials, attorneys, and functionaries. Even a relatively modest bailiwick court might have between twenty and fifty minor functionaries and lawyers drawn from the ranks of farmers, cottagers, and even weavers. Notaries, solicitors, sergeants, ushers, jailers, keepers of
weights and measures—all anchored the courts in local society. Judges were typically drawn from owners of *sieuries* or *seigneuries*, the equivalent of the English gentry, and king’s attorneys came from similar or slightly lower backgrounds. Criminal procedures and some civil procedures were deeply dependent on the willingness of witnesses in the community to come forward and give testimony. Finally, judges frequently used the flexible legal tools of equity (judicial reason, as opposed to statutory law), discretionary sentencing, and community reputation when deciding cases. French local courts rarely pronounced death sentences and even more rarely actually executed them, even for crimes in which capital punishment was allowed. In Spain, local judges who were also venal officials exercised considerable discretion in applying royal edicts (*the Recopilación de los Leyes de España*, or ‘Compilation of Spanish Laws’) and in executing a harsh penal code. Given that the primary function of these courts was to regulate property, family, and other civil cases according to customary laws, they often functioned reasonably well in stabilizing communities and families and in keeping public order.
In England, justices of the peace (JPs), like French bailiwick judges, had become the preeminent judicial and administrative officers in the counties by the late fourteenth century. Meeting four times a year in quarter sessions, usually in the county town, JPs initially heard felony indictments and judged misdemeanors. There were approximately five thousand of them in the counties. The English crown, seizing on the usefulness of these unpaid officials, passed over three hundred statutes by 1600 that expanded the justices’ governing powers in every direction. They were responsible above all for keeping order in the countryside, including quelling riots, controlling vagabonds, punishing extortion, prosecuting poachers, and helping with the military muster when necessary. JPs regulated the local economy as well, setting wages and prices, licensing taverns, and regulating weights and measures. Social and religious regulation was an increasingly large part of their brief. Justices gradually became responsible for enforcing the poor laws, sumptuary legislation, and religious laws. Finally, they were essential to the financial machinery of the state, because tax collection in the counties was partly under their supervision.
During the sixteenth century, the growth of litigation and the increasing burden of their responsibilities led JPs to use petty sessions, often every six weeks, to transact business. The number of JPs also rose dramatically in the sixteenth century, to as many as eighty in some shires. Given their broad governing powers, JPs were almost universally drawn from the gentry and had to meet property qualifications in most cases. They were given their commissions annually by the crown (the Commission of the Peace), although they were usually chosen by the lord chancellor, and they could be dismissed for political reasons. By the seventeenth century, an important segment of the House of Commons was made up of local JPs, and those not serving in Parliament were still expected to play an important role during elections. Their ties to the national government, through the common law, the assize sessions, elections, and Parliament made them not only the backbone of local government, but the core of English national government.
Twice a year, judges and senior lawyers (sergeants-at-law) from the common-law courts in London held assize sessions in the counties, riding the six circuits of England. Spending one or two days in each county town, they heard both cases sent up by the local JPs and cases sent down by the common-law courts at Westminster for trial. By the sixteenth century they typically heard criminal felony cases (such as murder and treason) as well as civil lawsuits sent back for jury trial from the courts of Common Pleas and King’s Bench. They asked grand juries to give presentments of any malefactors or suspects in the jurisdiction and sat with petty juries to pass judgment on civil and criminal cases. Trials were usually brief (sometimes lasting minutes), and criminal defendants were not allowed legal counsel. On the other hand, relatively few convicted criminals were actually hanged by the assizes for offenses that technically merited the death penalty. Executions in England declined dramatically after 1630.
One of the notable features of English justice was the use of petty and grand juries to establish the facts and decide on guilt or innocence in trials. Grand juries (or presentment juries) were called at each assize to present suspected criminals or crimes in the jurisdiction. Grand juries typically had twenty-three members, mostly drawn from the
lesser gentry. If the members determined that there was a “true bill,” or reasonable case to be heard, it was sent to the petty jury for judgment. Petty juries, comprised of twelve men (a number with religious overtones), were typically made up of yeoman farmers and occasionally husbandmen. They were impaneled by JPs at petty sessions and quarter sessions, as well as by circuit judges at the assizes. Common law required unanimity in verdicts by juries. Although possibly Norman in origin, juries were increasingly used after the church abolished trial by ordeal in 1215. The level of popular participation in the English law courts was further increased by the appointment of constables who were usually yeoman farmers and of lawyers who typically came from the small landowners or lesser gentry.
**URBAN COURTS**
Urban courts were often an offshoot of city councils. In cities as distinct as Amsterdam in the Dutch Republic, Venice in the Venetian Republic, and the free imperial city of Lübeck in the Holy Roman Empire, courts were run by the regents or town councillors. These were the same men who also made city laws and enforced them. Judicial, legislative, and executive functions were thus gathered into the hands of the same elites. In France, the main urban courts (the *bailliages* and *sénéchaussées*, or bailiwick courts, in most cities) were instead integrated into the royal judicial system and filled with venal crown officers. Some French cities also had royal provosts who shared jurisdiction with the bailiwick courts. Many large commercial towns in Europe had merchants’ courts as well. The Dutch East India Company’s High Court of Justice, like French mercantile courts, allowed merchants to judge their peers. Urban guilds typically had their own internal courts to police their apprentices, journeymen, and even masters. Although these were informal courts, they were highly effective in policing the members of their crafts through a variety of fines and even banishment from the trade or from a region.
**SEIGNEURIAL AND MANORIAL COURTS**
During the chaos of the Middle Ages, tens of thousands of nobles across Europe won the hereditary privilege of holding law courts on their estates. These *seigneuries*, or ‘privileged properties’, typically were given rights of low, middle, or high justice. Low justice was considered to be inherent in the seigneurie, and it allowed landlords to judge disputes over rents or other obligations with their tenants. Middle justice was hazily defined but typically included a broader civil and criminal jurisdiction over tenants. High justice endowed the seigneurial court with the right to judge almost all civil and criminal cases, including those warranting the penalty of death. They ranged dramatically in size as well as in power. Some courts held jurisdiction over only a part of one parish, while the jurisdiction of great nobles could extend over several hundred parishes and effectively function as lower-level state courts. In Brittany, an unusually dense region for seigneurial courts, there was roughly one seigneurial court per parish. Over France as a whole, there were somewhere between fifty and seventy thousand seigneurial courts. In England, these were known as manorial courts or courts leet, and their jurisdiction was largely eroded by state courts during the seventeenth century. In Spain, by contrast, landlords continued to exercise justice over their tenants well past the early modern period.
The crown always retained some residual powers over high justices. In France, a high justice could only be created by the king, and kings in fact continued to do so for the revenues (Louis XIV [ruled 1643–1715] created more than ninety high justices in Normandy alone). The crown also forbade seigneurs to judge in their own courts or to hold court in the manor house. Judges of French high justices were required to have a law degree and to be confirmed by the provincial parlement after 1680; in the 1770s Prussia also set minimum qualifications for seigneurial judges. Nevertheless, French seigneurial justice retained a high degree of independence in most regions. Despite a royal edict that required certain royal cases (*cas royaux*) like counterfeiting and treason to be heard in royal courts in the first instance, these were exceptionally rare crimes in rural areas and had very little effect on the seigneurial courts’ real jurisdiction.
Despite the apparent conflict between royal courts and landlords’ courts in early modern Europe, the theory that the state set out to deprive seigneurial courts of jurisdiction does not hold up on closer inspection. In France the crown was interested in regulating seigneurial justice and bringing it into line with professional standards used in the royal courts, precisely because it was so integral to
the functioning of justice. Seigneurial courts, whatever their defects, were relatively cheap, accessible, and run at the expense of the seigneur rather than the crown. They were also increasingly run by the same personnel as royal courts. Many seigneurial court judgeships were actually held by officials and attorneys in the royal courts who were moonlighting in multiple jurisdictions. Last but not least, private seigneurial courts were increasingly owned by noble royal officials, including almost all the judges of the parlements by the middle of the seventeenth century. In Austria, Joseph II (ruled 1760–1790) felt compelled to order landowners to continue providing justice on their estates in 1786, because landlords were increasingly uninterested in the trouble and expense.
While French low justices gradually lost many of their clients during the seventeenth century, high justices tended to remain vigorous jurisdictions, and the largest of them sometimes operated as the bailiwick court for their districts. English manor courts (courts leet), by contrast, gradually lost both criminal and civil jurisdiction to the quarter sessions and assizes in the seventeenth century. Misdemeanors and capital crimes both went to the royal courts by about 1600.
**CHURCH COURTS**
Catholic and Protestant churches alike maintained their own internal courts and laws that governed the clergy and the faithful. The Catholic Church had developed an elaborate canon law based on Roman law procedures. Popes were also energetic lawmakers, adding to church law through papal bulls or decretals (papal decrees on points of canon law). Canon laws were enforced through a system of ecclesiastical courts that ran throughout the entire church hierarchy but whose center of gravity was usually the diocese or archdiocese. For serious infractions, the church could punish misbehavior with excommunication (for individuals) and interdicts (for regions or groups of people), which barred the accused from receiving most sacraments. Well before 1450, however, the jurisdiction of church courts over morals cases and crimes was being pushed back in centralizing monarchies like France and England. Judgments in church courts could increasingly be appealed to royal courts, under procedures like the *appel comme d'abus* ('abuse summons') in France, which further undermined their powers.
The church’s concern with heresy had led to the establishment of exceptional tribunals using inquisitorial procedures in the high Middle Ages (1231). The Roman inquisition (and later the Spanish Inquisition) were central tribunals staffed by inquisitors, usually drawn from the Dominican and, later, the Franciscan orders. Inquisitorial procedure allowed judges to seek cases out rather than to wait for cases to be brought to them. The procedure also allowed suspects to be tried secretly, without known witnesses or defense attorneys. The Inquisition was particularly notorious, however, for approving the use of torture to extract confessions if other forms of proof were not sufficient. (Indeed, the accused could not have found lawyers in any case because it was a crime to aid heretics). Fewer than two or three thousand individuals were probably executed in Europe throughout the Inquisition’s existence, but enormous amounts of property were seized, especially in Spain, where the Inquisition was used to root out both Moorish and Jewish communities.
Protestant churches also policed morals through internal courts. The Dutch Reformed church’s consistories, for example, regularly issued summonses for adultery, drunkenness, suspicious bankruptcies, and disruptive behavior (even summoning Rembrandt’s mistress for adultery). The penalties included exclusion from the sacraments and loss of public reputation. Ecclesiastical courts in England (sometimes called “bawdy courts”) policed sexual and moral behaviors through a combination of canon law, Roman law, and ecclesiastical common law, but these cases were increasingly being handled by justices of the peace. By the late eighteenth century, ecclesiastical courts no longer had jurisdiction over the laity.
**LAW CODES**
Legal systems in Europe had grown up organically out of the mixture of Roman, tribal, and church law systems imposed on the landscape. Like court jurisdictions, law codes accurately reflected the divided sovereignty of most regions, in which landlords, the church, and the state all exercised some public powers. Four main legal systems stood out, however, in the mosaic of codes in use across Europe. These were Roman law (drawn particularly from Justinian’s *Digests* and *Institutes*, c. 533 C.E.), customary law (derived from medieval tribal codes), positive law (created by sovereigns, parliaments, or cities), and canon law (ecclesiastical law). While Roman law tended to remain most vital in the regions of southern Europe occupied by the Roman Empire, especially Italy and the south of France, elements of Roman law seeped into numerous law codes across Europe. Most Habsburg hereditary territories as well as the Low Countries were under mixed Roman and Germanic customary laws. By corollary, Roman law in the south of France was recognized by many eighteenth-century jurists as having developed into the customary law of the south, because it had gradually been transformed through long usage.
These dominant varieties of law were typically combined with minor codes, creating distinctive legal patterns that sometimes varied from parish to parish. In England, the early-seventeenth-century jurist Sir Edward Coke identified fifteen distinct types of law practiced across the realm. Most prominent among these were the common law (the general customs of the realm), manorial and borough laws (local customs), parliamentary statutes, the law merchant, and canon law. Each of these types of law in fact corresponded closely to a separate set of English courts. The common law was thus the law administered by the main royal courts sitting at Westminster, as well by the county assizes and quarter sessions, making it the dominant legal code.
This relative legal uniformity in England was furthered by the centralization of legal training in London at the eight Inns of Chancery and four Inns of Court. The Inns of Court (Grey’s, Lincoln’s, Inner Temple, and Middle Temple) were residences for lawyers during the four annual sessions of the Westminster courts, but they also provided lectures and training for students. No lawyer could plead before the superior courts without being first called to the bar at one of the Inns of Court; and, by extension, no judges in the superior courts or assize circuits could practice without having trained there as well.
England’s was a remarkably organized legal system by continental standards, however. The positive laws of the French crown numbered over 800,000 by 1715. Despite their impressive number, though, they primarily gave the crown legal control over state administration and taxes. The vast majority of cases heard in the kingdom were, in fact, regulated by more than three hundred provincial and local customary codes and by thousands of seigneurial privileges or microcustoms that varied from one seigneury to the next. Customary laws dominated provincial legal proceedings; in some local bailiwicks, no more than about 2 percent of all cases involved positive royal laws. Because they governed property, family, and inheritances in France, they were naturally the laws used by ordinary people engaged in litigation. Customary laws and usages were codified with the crown’s permission in the late sixteenth century, but they were largely impervious to state intervention until the French Revolution.
One of the most innovative regions in Europe with respect to law was the Dutch Republic. After the seven provinces broke with Spain to form the Union of Utrecht in 1579, a new legal framework had to be established for the fledgling state. Universities with law faculties were founded in several provinces, beginning with Leiden in 1575. Roman law became the lodestone of Dutch legal practice, but it was pragmatically combined with Germanic customary law, natural law, and the new statutes of the state by jurists and scholars. The provinces each retained their traditional system of lower courts and High Courts, like the Hooge Raad (High Court) of Holland, and flexibly adapted the new legal system to existing provincial customs.
From 1450 to 1789 two main patterns emerged in European law. The first was the rising tide of positive laws issued by sovereigns and local governments, which attempted to more minutely control the political, economic, and even social behavior of their subjects. By the late seventeenth and eighteenth centuries, attempts to codify laws were under way in states as different as Prussia, Russia, Austria, and France. Prussia’s was the most successful attempt, producing the *Preussisches Allgemeines Landrecht* (Prussian General Common Law) in 1794, but almost everywhere the attempt foundered on the strength of customary laws, the vested interests of prominent social groups, or the lack of police and judicial officers to enforce them. The codifiers and law commissions paved the way for Napoleon’s Code Civil in 1804, however, and for
numerous European legal codes that were forged in its wake.
The second pattern was the dramatic increase in litigation across much of Europe, particularly in the sixteenth and seventeenth centuries. Suits in the English courts of Common Pleas and King’s Bench increased tenfold between 1500 and 1600. Litigation peaked in England and France from the mid- to late seventeenth century, then saw falling caseloads in the eighteenth century. The increase in litigation probably had multiple causes: increasingly complex laws, the growing pace of commercial and property transactions, rising literacy, and the growth of trained lawyers and jurists to handle cases. The decline of litigation in the eighteenth century is still a mysterious and ill-understood phenomenon, but the overall trends toward sophisticated law codes and increasingly large and wealthy legal classes reflected societies that had become increasingly driven by the rule of law during the early modern period.
See also Absolutism; Crime and Punishment; Divorce; Inheritance and Wills; Inquisition; Marriage; Parlements; Provincial Government; Star Chamber; Sumptuary Laws; Torture.
BIBLIOGRAPHY
Anderson, M. S. *Europe in the Eighteenth Century, 1713–1789*. Harlow, U.K., and New York, 2000.
Beik, William. *Absolutism and Society in Seventeenth-Century France: State Power and Provincial Aristocracy in Languedoc*. Cambridge, U.K., and New York, 1985.
Cockburn, J. S. *A History of English Assizes, 1558–1714*. Cambridge, U.K., 1972.
Collins, James B. *The State in Early Modern France*. Cambridge, U.K., and New York, 1995.
Crubaugh, Anthony. *Balancing the Scales of Justice: Local Courts and Rural Society in Southwest France, 1750–1800*. University Park, Pa., 2001.
Dawson, J. P. *A History of Lay Judges*. Cambridge, Mass., 1960.
Dewald, Jonathan. *The Formation of a Provincial Nobility: The Magistrates of the Parlement of Rouen, 1499–1610*. Princeton, 1980.
Doyle, William. *Venality: The Sale of Offices in Eighteenth-Century France*. Oxford and New York, 1996.
Hamscher, Albert N. *The Conseil Privé and the Parlements in the Age of Louis XIV: A Study in French Absolutism*. Philadelphia, 1987.
Hay, Douglas, et al., eds. *Albion’s Fatal Tree: Crime and Society in Eighteenth-Century England*. London, 1975.
Kagan, Richard L. *Law suits and Litigants in Castile, 1500–1700*. Chapel Hill, N.C., 1981.
Kettering, Sharon. *Judicial Politics and Urban Revolt in Seventeenth-Century France: The Parlement of Aix, 1629–1659*. Princeton, 1978.
Landau, Norma. *The Justices of the Peace, 1679–1760*. Berkeley, 1984.
Moote, Lloyd A. *The Revolt of the Judges: The Parlement of Paris and the Fronde, 1643–1652*. Princeton, 1971.
Raeff, Marc. *The Well-Ordered Police State: Social and Institutional Change through Law in the Germanies and Russia, 1600–1800*. New Haven, 1983.
Ruff, Julius R. *Crime, Justice, and Public Order in Old Régime France: The Sénéchaussées of Libourne and Bazas, 1690–1789*. London, and Dover, N.H., 1984.
Sharpe, J. A. *Crime in Early Modern England, 1550–1750*. New York, 1999.
Stein, Peter. *Roman Law in European History*. New York, 1999.
Strakosch, H. E. *State Absolutism and the Rule of Law: The Struggle for the Codification of Civil Law in Austria, 1753–1811*. Sydney, 1967.
Weisser, Michael. *Crime and Punishment in Early Modern Europe*. Hassocks, U.K., 1979.
Zoë A. Schneider
INTERNATIONAL LAW
Tradition has assigned the title “father of international law” to the Dutch scholar, lawyer, and diplomat Hugo Grotius (also known as Huig de Groot; 1583–1645), because his *De Iure Belli ac Pacis* (On the law of war and peace), which appeared in 1625, was the most extensive treatise on international law and relations yet written. Grotius himself recognized that there already existed a number of treatises dealing with aspects of international law and an extensive body of customary practices regulating relations between states, materials such as the law of the sea, treaties, rules of war, and treatises on the just war written by medieval scholars. These concerned relations among the states of Christian Europe, although there was some interest in the nature of relations between Christian and non-Christian, especially Muslim, societies.
A second source of writing on international law consisted of treatises, papal letters, and royal charters accompanying the European overseas expansion that began in the fifteenth century. Initially, these dealt with the legal basis for European possession of the Atlantic islands, Canaries, Azores, Cape Verde, and Madeira, as well as parts of the African mainland. Subsequently, Columbus’s voyages generated even more literature about the legitimacy of European possession of the New World, beginning with three bulls that Pope Alexander VI (1492–1503) issued in 1493. These bulls drew a line of demarcation from pole to pole, dividing the New World between the Portuguese and the Spanish, assigning each monarch responsibility for sending missionaries to preach the Christian Gospel and awarding each ruler a monopoly of trade and contact with the region assigned to him.
The basis for Alexander VI’s actions was the concept that all mankind formed a single community and that the pope was the judge of all mankind, judging Christians by canon (church) law, Jews by the Law of Moses, and all other people according to the natural law. The natural law consisted of that part of God’s eternal law accessible to all mankind by the use of reason. While the specific terms of that law were rarely spelled out, one important element of it was the right to travel freely in peace. The refusal of an infidel society to allow Christian missionaries to enter and preach was therefore a violation of the natural law. The pope could authorize Christian rulers to protect missionaries where necessary, justifying the conquest of infidel societies. The papal conception of an international legal order was a hierarchical one with the pope serving as the ultimate judge in matters of international relations. The most extensive discussion of the Catholic conception of international order was that of the Spanish Dominican theologian Francisco de Vitoria (c. 1485–1546), whose *Relectio de Indiis* (published 1557; Concerning the American Indians) analyzed all of the arguments for and against the legitimacy of the conquest of the Americas. Vitoria was, however, only one of a number of Spanish authors who responded to the discovery of the New World with a treatise on the legal issues involved.
The Protestant Reformation changed the character of the discussion about international law because the Reformers rejected the papacy and canon law. Furthermore, Protestant scholars distinguished more clearly than did their Catholic counterparts between theological bases for international law and relations and legal ones based on human reason and experience alone. Early Protestant writers included Alberico Gentili (1552–1608), an Italian scholar who eventually became a professor at Oxford, whose *De Iure Belli* (Concerning the law of war) was a major influence on Grotius’s work.
One fundamental difference between Catholic and Protestant writers concerned access to the sea and therefore access to trade between Europe and the New World. The Catholic position was that the pope had the right to judge all mankind, to punish violators of the natural law, to assign jurisdiction over the seas to specific Christian rulers in order to ensure peace among Christian nations, and to support the church’s spiritual mission to the newly encountered peoples. Grotius’s first work, the anonymously published *Mare Liberum* (1609; The freedom of the sea), denied that the pope or anyone else had the right to limit access to the sea. In his opinion the sea was open to all who would sail there in peace. Grotius defended the interests of Dutch merchants whose wealth depended upon access to the markets of Asia and America, restricted by papal decision to the Spanish and Portuguese and those whom these nations chose to license, as well as the interests of Dutch fishermen who desired access to the fishing grounds in the waters adjacent to Britain.
Grotius’s views drew responses from Portuguese and English lawyers, who defended closing the sea, although they differed about who could do this. The Portuguese scholar Seraphinus de Freitas (d. 1622) wrote the *De Justo Imperio Lusitanorum Asiatico* (1625; Concerning the legitimate Portuguese Empire in Asia) defending Portugal’s claim to a monopoly of trade with Asia based on papal authorization. William Welwood (1578–1622) and John Selden (1584–1654) wrote to defend the right of James I of England (ruled 1603–1625) to ban Dutch fishermen from the waters around the British Isles without royal license. They argued that any ruler could limit access to the adjacent waters but denied that the pope could do so universally. Eventually, European governments agreed that states possessed jurisdiction only over a zone extending three miles from the shore, a line that Cornelius Bynkershoek (1673–1743) defined as the distance that a cannon could fire.
Grotius’s major work, *On the Law of War and Peace*, followed the medieval tradition of seeing mankind as a single community governed by natural
law. Grotius did not base his discussion of natural law on theology or philosophy but on the actual practice of human societies as described in the historical record. Thus, while the overall principles of international law sprang from the *jus naturale* (natural law), there was also a body of specific practices and customs agreed upon by participating nations forming the *jus gentium*, the law of nations. These two laws formed the basis for a legal structure that would regulate relations among states.
Unlike his predecessors, who saw the papal court as the ultimate venue for settling international disputes, Grotius did not describe any institutions to enforce these laws. He saw each state as sovereign, that is, not subject to any external authority. He also argued, however, that it might be necessary for one state to punish the rulers of another sovereign state because they had violated the natural law. While this would seem to make Grotius a defender of expansion into the New World, in fact he showed little interest in that issue. His interest was in relations among European Christian states, not relations between the Christian and the non-Christian worlds.
The writers on international law who followed Grotius fall into two broad categories. The first continued to employ the term *natural law* but understood the term differently than Grotius. They argued that the natural law described the law that governed men when they lived in the state of nature, that is, before the formation of organized societies. They identified these societies with individuals living in a state of nature so that each human society was therefore a sovereign entity equal to all other societies, just as each man, regardless of age, strength, and intellect, was equal to every other man. There was then no basis for one society punishing another’s violation of the law of nature. This school of thought included Samuel Pufendorf (1632–1694) and Emerich de Vattel (1714–1769).
The second school of international law thinkers was the positivists, who argued that international law was the product of custom and of treaties that states made with one another for the purpose of regulating their relations. This school of thought included Cornelius van Bynkershoek.
These discussions had a limited effect on the practice of European states. The flaw in such discussions was the lack of any external mechanism to enforce the law. What these works did was provide a conceptual framework and a language for creating a legal order among states. Unlike Grotius and his medieval predecessors, however, later proponents of international order restricted it to the European Christian states and did not include non-European states.
These early discussions of international law had one other effect on European thought. The Catholic writers were concerned about the relations between Christian and non-Christian societies. Was the conquest of the New World legitimate? Did the inhabitants of the Americas possess a right to govern themselves and to own property? If so, Europeans had no obvious right to conquer them. Although European thinkers did produce arguments that justified the conquest, arguing that the Indians violated the natural law, for example, they also produced arguments that defended the rights of the Indians to autonomy as well. According to these arguments, Christians could not assert a claim to all infidel lands simply on the grounds that infidels had no right to them. This became one of the bases for subsequent discussions of human rights, that is, the rights possessed by all people by virtue of their humanity.
In the final analysis, the discussion of international law in the early modern world consisted of attempts to create a legal order that would regulate relations among the various states and societies of the world. The goal was to limit, not to abolish, war and to create a framework for peaceful relations among peoples.
*See also* Grotius, Hugo; Natural Law; Rights, Natural.
**Bibliography**
*Primary Sources*
Grotius, Hugo. *De Jure Belli ac Pacis Libri Tres*. Translated by Francis W. Kelsey. Washington, D.C., 1925. Reprint: Indianapolis, 1962.
Vitoria, Francisco de. *Political Writings*. Edited by Anthony Pagden and Jeremy Lawrance. Cambridge, U.K., 1991.
*Secondary Sources*
Brierly, J. L. *The Law of Nations: An Introduction to the International Law of Peace*. 6th ed. Oxford, 1963.
Bull, Headley, Benedict Kingsbury, and Adam Roberts, eds. *Hugo Grotius and International Relations*. Oxford, 1990.
LAWYERS
The activities of early modern lawyers had much in common with those of their modern counterparts. They practiced courtroom defense, acted as political and legal counsels to princely houses, municipalities, and religious houses, and held positions in the courts and royal administration. The general economic expansion since the late Middle Ages and the accompanying growth of social and institutional complexity created a growing demand for services that could be performed only by those who possessed technical and specialized legal skills. Just as modern states employ teams of lawyers, a variety of governmental and judicial institutions of early modern states needed legally educated personnel. The functions and organization of lawyers varied over time and space, but the early modern period saw the ever-increasing presence and influence of lawyers throughout Europe.
RISE OF LAWYERS
The legal profession was already vigorous in the Italian towns of the twelfth and thirteenth centuries, fostered in part by the revival of jurisprudence in the study of Roman law. The Florentine guild of lawyers and notaries (Arte dei Giudici e Notai) dates from the early thirteenth century. The rise of lawyers in northern Europe coincided with the establishment of the supremacy of the royal courts over seigneurial and ecclesiastical jurisdictions. In France, lawyers for secular courts appeared in the mid-thirteenth century around the same time as the emergence of the sovereign court, the parlement. Feudal procedure, with its reliance on a judicial duel and ordeal, had been gradually transformed in the king’s courts into accusatory procedure, where the parties were required to substantiate their claims by calling upon witnesses and producing written proof. The complexity of adversarial procedure required the intervention of legally educated personnel capable of representing the parties involved. The crowns of England and France allowed litigants in royal courts to appoint lawyers to represent them and oversee the convoluted process of trial. A legal world that became increasingly complicated thus gave rise to professional lawyers when a growing number of people depended on royal justice for vindication.
Unlike in Italy, where the legal profession was governed and regulated by the guild, lawyers in northern Europe were closely attached to the state. The French royal ordinance of 1345 set the conditions of admission to the legal profession and its duties. To become a lawyer, the candidate had to prove that he (women were excluded) had studied law at a university for years. After the judges examined candidates’ learning and moral rectitude, successful candidates were sworn in and were inscribed on the official roll. Lawyers were expected to abide by certain principles of professional conduct. According to the 1345 French rule, lawyers were prohibited from assuming the defense of causes they knew to be unjust, obliged to expedite the causes they had undertaken as promptly as was possible, and prohibited from withholding evidence from the opposing parties. These injunctions, which have a familiar ring today, were apparently frequently breached. The seventeenth-century writer Bernard de La Roche Flavin deplored the fact that lawyers all too often used surprises and dirty tricks, holding the best evidence back so as to catch the opponents by surprise in front of the judge. Another rule, also repeated time and again, was to plead and write briefly. Irrepressible verbosity of lawyers—and the public’s exasperation with it—goes back to the profession’s formation.
DIVISION OF FUNCTIONS
The lawyers of early modern Europe were a diverse group, ranging from a small elite of learned jurists to obscure practitioners akin to legal artisans. From early on, notaries were considered to form a profession separate from lawyers. In the Italian guild of judge-lawyers and notaries, the two groups were clearly distinguished. Drawing up contracts, deeds, marriage agreements, and wills was for the most part the province of notaries. Within the practice of law a division of function developed, leading to different careers with varying qualifications and reputation. The most fundamental distinction involved the separation between those who handled the procedural
aspects of a suit and those who dealt with substantive legal issues. A royal proclamation of 1547 in England restricted the right to plead before the royal courts to students of the Inns of Court. By 1600 a rigid divide had emerged between *advocati* and *procureatores* (barristers and attorneys in England, *avocats* and *procureurs* in France, *abogados* and *procuradores* in Spain). Although the distinctions between the two groups were not as clear as in the modern English or French legal profession (barrister/solicitor in England and *avocat/avoué* in France until 1971), each group held an exclusive right on a specific activity. Only the *advocatus* (hereafter ‘barrister’), not *procurator* (hereafter ‘attorney’), had the right to plead before the court. In England solicitors (*solicitadores* in Spain) appeared as an identifiable branch of the legal profession during the sixteenth century.
A barrister was a man formally trained in jurisprudence. He offered legal advice to clients and presented oral or written arguments to the court. Barristers’ arguments touched only on questions of law supposedly requiring legal knowledge and reasoning while questions of fact were left to the attorneys. Few French *avocats*, in fact, spent much time pleading in open court, for the parlements judged most cases on the basis of written evidence. Also, French *avocats* handled only civil cases; criminal defendants were deprived of their right to counsel by the ordinance of Villers-Cotterets in 1539. The ordinance of Villers-Cotterets required the use of French in both pleadings and court rulings, but lengthy Latin quotations were not easily abandoned by the Renaissance lawyers who were all too proud of their knowledge of the classics. Less prestigious than a barrister was an attorney. His place in society was solid but lowlier. It was an attorney who was most often consulted by a client needing legal representation at the beginning of a suit. His function was to steer cases through the court and take care of the procedural details, filing motions, drawing up writs, assembling facts, and collecting evidence. The attorney handled the formalities of the lawsuits, gave clients advice, and represented their claims in court. Only when a lawsuit involved a question of law that required greater expertise would the services of a barrister be obtained. An attorney was denied the right of audience, which properly belonged to a barrister, a full-fledged jurist. In the sixteenth century there was as yet no sign of the later rule prescribing that clients contact barristers only through attorneys, but usually attorneys procured clients in the marketplace and then chose barristers. Attorneys did not necessarily train at a university, instead learning their law through clerkship or apprenticeship to other practitioners.
In the early modern period French kings openly sold royal offices to the highest bidder. In the sixteenth and seventeenth centuries the kings had forced venality upon nearly all legal occupations, magistracies included. French *procureurs* needed to purchase a venal office, but *avocats* did not become venal officers. The reason for this is not clear, but it is possible that the *avocats’* powerful clients, prominent nobles and prelates, opposed venality, lest it threaten their interests. At any rate, this exemption of *avocats* from venality conferred a certain degree of status on the bar, as admission to its ranks was perceived to emphasize learning, not money. The price of the *procureur’s* offices rose sharply during the sixteenth century when the volume of litigation increased rapidly. Established attorneys opposed creation of additional places, fearing that such expansion would decrease the value of their own offices.
**BUSINESS OF LAW**
The relative profitability of the legal profession and its respectable status attracted talented young men to legal careers. There are many examples of those who pursued legal studies, often pressured by their ambitious fathers, but eventually failed or abandoned them: Petrarch (1304–1374), Martin Luther (1483–1546), John Calvin (1509–1564), and Voltaire (1694–1778) were only a few. The best source of lucrative practices for barristers lay in becoming consultants to leading princely houses, ecclesiastical institutions, towns, and corporate bodies. Those who made fortunes depended heavily on the business of aristocrats, managing their vast real estate holdings and providing legal and political advice. Of those lawsuits handled by Florentine lawyers, disputes over dowries were among the most common, followed by cases dealing with the confiscation of private property due to some act of rebellion. Other cases involved litigations between religious houses or between individual clerics over benefices, disputes between local administrations, or litigations between government offices and individuals.
Little is known about legal fees. There were significant differences of income within and between members of the branches of the legal profession. From early on, lawyers claimed that the fees they charged were the result of free agreement with the clients and thus outside any state interference. The kings often attempted to prohibit excessive fees, without much success. The French Ordinance of Blois of 1579 (Art. 161) stipulated that *avocats* reveal the amount of their fees at the bottom of deliberations and court documents. In 1602 the Parlement of Paris, backed by Henry IV, revived this rule, which had fallen out of observance. Livid over what they regarded as a blow to their honor, the *avocats* waged a successful two-week boycott of the courts in protest. Faced with the collective resignation of the *avocats*, the parlement had no choice but to withdraw the measure. In general, lawyers' vested interests in the existing system and its traditions dictated their outlook and attitudes. Lawyers of early modern Europe were a tight-knit corporate group. On the eve of the French Revolution, the king simply could not break the fundamental solidarity of the jurists blocking legal reforms.
Like their modern counterparts, early modern lawyers were targets of sustained hostility. They were criticized for overcharging, fraudulently keeping clients' monies, illegally negotiating contingent fees, maliciously pursuing delays, or lodging endless appeals. Tales of shyster lawyers seem timeless. Luther, never kind to lawyers, observed that a successful jurist was a woeful Christian.
**LAWYERS AND CULTURE**
Men with legal training were one of the most prominent groups in early modern culture. Renaissance humanism in Italy was largely a creation of lawyers and notaries, such as Coluccio Salutati (1331–1406), Poggio Bracciolini (1380–1459), and Lorenzo Valla (c. 1406–1457). The French Renaissance displayed the close relations between humanism and the law, as represented by Guillaume Budé (1467–1540), Jean Bodin (1530–1596), Antoine Loisel (1536–1617), and Étienne Pasquier (1529–1615). Thomas More (1478–1535), Francesco Guicciardini (1483–1540), Michel de Montaigne (1533–1592), Francis Bacon (1561–1626), Giambattista Vico (1668–1744), and Montesquieu (1689–1755) were among the many lawyers who were the leading minds of their time. Equipped with humanistic education and style, and endowed with judicial dignity and political influence, lawyers were often at the forefront of intellectual inquiry and challenge in early modern Europe.
**SOCIAL BACKGROUND AND CAREERS**
There existed a vast social gulf within the legal profession. Historians have confirmed the overall social heterogeneity of early modern European lawyers. The commonplace observation that the law was a quick and assured means of achieving upward social mobility appears exaggerated. Social mobility was indeed possible in the legal profession, but it occurred only at a slow pace over several generations. The great majority of lawyers in Europe came from families that had acquired wealth a few generations before there was a lawyer in the household. One obvious reason that the notion of rags to riches was no more than a myth in a legal career was that education at one of the great law schools was a very expensive affair. Historians have shown that a university education in the fifteenth and sixteenth centuries was much costlier than in modern times. A doctorate in canon law normally required six years of university and in civil law seven or eight years. A large number of lawyers had doctorates in both civil and canon law, spending a minimum of ten years in study. In most cases an aspiring lawyer either had some direct contact with the profession or had grown up with material means sufficient to set off to a university in order to pursue a dignified legal career.
Recruitment from within the legal professions was common and often involved a step upward. A son of a court clerk or a notary, for example, would become an attorney, and occasionally a shopkeeper's child would enter the career of attorney. The attorney, having made his moderate fortune, was likely to send his own child to law school and to the bar. Many lawyers in the *Reichskammergericht* (imperial court of justice) in Speyer in the early sixteenth century had been *Prokuratoren* (attorneys). It was rare for a barrister's or a magistrate's son to become an attorney, moving downward in social hierarchy. Many barristers came from families already established in the law. The bar also attracted
the sons of well-off merchants or urban rentiers. Sons of barristers used their law degrees to move even further up the hierarchy of law. In France, positions as magistrates in the inferior courts were readily open to them, and there was a chance, providing they had the money, to purchase an ennobling office in a sovereign court.
From the mid-sixteenth century the legal profession in most European countries tended to become more exclusive. Within the legal field each group was increasingly conscious of its status and took steps to protect it. Separation of attorneys from barristers was not merely a matter of the evolution of distinct procedural functions but of the differentiation of lawyers organized on the lines of education, prestige, self-perception, and family links. A doctorate required of avocats as well as of magistrates in the sovereign courts was one of the means to regulate entry into the higher ranks of the legal profession. Both magistrates and barristers had the strong desire to perpetuate their profession in their families, and there existed a high degree of continuity of career among families involved in the practice of law. The law faculties in early modern Europe increasingly became the preserve of students whose fathers were, in one capacity or another, men of law. Any French magistrate who wished to guard his investment in office and pass it on intact in inheritance saw to it that at least one of his sons attended a faculty of law.
In England, the gentry entered the world of justice in great numbers. In the years 1590–1640 more than half the barristers were gentry. France witnessed in the sixteenth century the emergence of noble judicial families, a noblesse de robe. The proportion of aristocrats among those attending law faculties in the Holy Roman Empire quadrupled at the beginning of the seventeenth century. Throughout Europe, access to higher-ranking legal offices and occupations was firmly in the possession of tightly interwoven families of lawyers, many of which formed great legal dynasties. It became rarer to rise from the ranks of attorney to barrister. Barristers from outside the close-knit network had difficulty procuring legal business and complained that certain families jealously maintained a virtual monopoly on legal practice.
AN INDEPENDENT PROFESSION
Before 1600 the French avocats did not have a formal bar association. The discipline of the practicing avocats and the protection of their collective interests were largely left to the magistrates of the parlements. Many magistrates, presidents of the parlements, and chancellors were selected from avocats. However, this relationship of the traditional cordiality and mutual respect between the avocats and magistrates began to deteriorate seriously because of venality of offices. By the early seventeenth century, high judicial offices had been made inheritable, practically becoming personal property. Avocats no longer had special access to magistracies; they had to purchase judgeships like others. As prices of offices increased, the prospect of becoming a judge became slim. In terms of training and social profile, barristers did not differ much from magistrates. However, the sale of offices now drew a clear line between the magistrates and avocats, between those who came from families of prominence and inherited wealth and who now enjoyed the title of nobility by virtue of their offices and those who saw themselves relegated into second-class citizens in the world of the law. Charles Dumoulin (1500–1566), the great French jurist of customary law, blamed his struggling career as an avocat at the Parlement of Paris on venality. He bitterly claimed that he, a brilliant scholar, was being ignored in his own country simply because he did not choose (rather, could not afford) to purchase a judicial office. The kings recruited the members of royal councils and administration in large part from the parlements, and the proportion of lawyers acceding to the highest public offices declined after the mid-sixteenth century. Furthermore, the avocats faced added competition from officeholders who, often in debt after acquiring their position, actively sought business from princely houses as counselors.
The social and moral crisis suffered by the avocats eventually brought about a significant redefinition and redirection of the profession. The emergence of the independent Order of Barristers in France in the 1660s represented a step toward professionalization of the lawyers. The order set down standards of conduct and disciplined its members. Aspiring avocats now needed to complete a two-year internship to obtain practical skills before gaining formal acceptance by the order. Lawyers, responding to a crisis in their profession, embraced a modern sense of professionalism, a concern for high ethical standards and occupational competence.
**LITIGATION AND LAWYERS**
The changing culture of litigation in early modern Europe overall contributed to the emergence of professional consciousness among lawyers. The favorable economic and demographic climate of the sixteenth century resulted in a marked increase in litigation and an almost explosive rise in the number of lawyers. England saw an enormous increase in central court litigation between 1560 and 1640. Business in King’s Bench increased fourfold between 1560 and 1580, and more than doubled between 1580 and 1640. Historians have noted a sharp rise in litigation in Castile beginning in the late fifteenth century and continuing almost uninterrupted until the second quarter of the seventeenth century. In England the years between 1558 and 1640 witnessed a steady increase in the number of admissions to the four Inns of Court, from around fifty per year in the early sixteenth century to about three hundred in the later years of the reign of James I. Matriculations in the law faculties soared during the sixteenth century throughout Europe, more than doubling the number of graduates in less than fifty years. Between five thousand and six thousand students were enrolled each year in the law faculties of Salamanca and Valladolid; in 1617 there were five thousand law students in Naples. In France during the reigns of Louis XII and Louis XIV, the influx of students into the faculties of law was so copious that many reformers, including Jean-Baptiste Colbert, were concerned that it would hamper the development of a commercial class.
This century-long expansion of lawyers began to recede from the mid-seventeenth century. Recent studies have linked loss of population, a stagnant economy, and rising court costs to contraction in litigation and a corresponding decrease in the number of lawyers in the late seventeenth century. The shrinking number of suits was reflected in the decline of the universities’ once prosperous law faculties. From Spain and England to the provinces of the Netherlands and the Holy Roman Empire, the stream of students in law faculties fell steadily during the eighteenth century.
The downturn in legal business brought about a significant change in the legal profession. A negative economic climate and business retrenchment meant that lawyers, in order to carve out a living from the law, needed to reconfigure their activities and recast their relations with society as a whole. Faced with professional uncertainty, shrinking sources of income, and growing competition, lawyers developed a new professional model, one based on occupational competence, competitiveness, self-regulation, a heightened sense of identity, and claims to special knowledge and expertise. The study of law had attracted not only students interested in a professional legal career but also sons of the gentry and the nobility for whom legal training represented a broad preparation for life. In England, fewer than 10 percent of those attending the Inns of Court at the beginning of the seventeenth century truly aimed at practice as a barrister. In the seventeenth and eighteenth centuries fewer than half of the lawyers in the Netherlands were active in their profession. In France thousands of men held the title of *avocat* in the seventeenth century, but only a small percentage of them practiced law, many holding the title for purely decorative reasons. In the eighteenth century, however, legal study became a relentlessly practical training of vocational nature. Being a law graduate and becoming a lawyer now meant a profession, not a mere status or ornament.
The legal profession in early modern Europe underwent long-term evolution. By the end of the eighteenth century, lawyers possessed most of the criteria associated with a modern career. The increasing professionalization of this old occupation played an essential role in the development of the law itself and the differentiation of the legal systems of modern Europe.
*See also Crime and Punishment.*
**BIBLIOGRAPHY**
*Primary Sources*
La Roche Flavin, Bernard de. *Treize livres des parlemens de France*. Geneva, 1621.
Loisel, Antoine. *Pasquier; ou, Dialogue des avocats du Parlement de Paris*. Paris, 1602. Edited by André Dupin. Paris, 1844.
Secondary Sources
Acerra, Martine. “Les avocats du Parlement de Paris (1661–1715).” *Histoire, économie et société* 2 (1982): 213–225.
Amelang, James S. “Barristers and Judges in Early Modern Barcelona: The Rise of a Legal Elite.” *The American Historical Review* 89 (1984): 1264–1284.
Bell, David A. *Lawyers and Citizens: The Making of a Political Elite in Old Regime France.* New York, 1994.
Berlanstein, Lenard R. *The Barristers of Toulouse in the Eighteenth Century (1740–1793).* Baltimore, 1975.
Bouwsma, William J. “Lawyers and Early Modern Culture.” *The American Historical Review* 78 (1973): 303–327.
Brooks, Christopher W. *Lawyers, Litigation and English Society since 1450.* London, 1998.
Cipolla, Carlo. “The Professions: The Long View.” *The Journal of European Economic History* 2 (1973): 37–52.
Delachenal, Roland. *Histoire des avocats au Parlement de Paris, 1300–1600.* Paris, 1885.
Dolan, Claire. “Entre les familles et l’état: Les procureurs et la procédure au XVIe siècle.” *Journal of the Canadian Historical Association* 10 (1999): 19–36.
Kagan, Richard L. “Law Students and Legal Careers in Eighteenth-Century France.” *Past & Present* 68 (1975): 38–72.
———. *Lawuits and Litigants in Castile, 1500–1700.* Chapel Hill, N.C., 1981.
Karpik, Lucien. *French Lawyers: A Study in Collective Action, 1274 to 1994.* Translated by Nora Scott. Oxford, 1999.
Martines, Lauro. *Lawyers and Statecraft in Renaissance Florence.* Princeton, 1968.
Prest, Wilfrid, ed. *Lawyers in Early Modern Europe and America.* New York, 1981.
Ranieri, Filippo. “From Status to Profession: The Professionalisation of Lawyers as a Research Field in Modern European Legal History.” *The Journal of Legal History* 10 (1989): 180–190. Translation of “Vom Stand zum Beruf: Die Professionalisierung des Juristenstandes als Forschungsaufgabe der europäischen Rechtsgeschichte der Neuzeit” in *Ius Commune* 13 (1985): 83–105.
Marie Seong-Hak Kim
Roman Law
Roman law consists of the law of the Roman Republic and Empire, from the *Twelve Tables* (c. 451–450 B.C.E.) to the *Corpus Juris Civilis* (Body of the Civil Law) of the sixth century C.E. Within the context of Roman law, the term *civil law* is usually used specifically to refer to the *Corpus Juris Civilis*, the compilation that was ordered by Emperor Justinian I (ruled 527–565 C.E.) and directed by the jurist Tribonian.
Sources and Organization
Roman law grew amorphously from several sources over a thousand years. These sources were divided into unwritten law (*ius non scriptum*) and written law (*ius scriptum*). Unwritten law referred to custom in Roman times, although by the early modern period in Europe, customs were accepted as written law in many places. Written law for the Romans was divided into six categories: acts (*leges*), resolutions or plebeian statutes (*plebiscita*), senate resolutions (*senatus consulta*), imperial laws or constitutions (*constitutiones principium*), magistrates’ edicts (*edicta*), and jurists’ responses or interpretations (*responsa prudentium*). Contradictions in the laws occurred because these numerous sources were neither coordinated nor routinely collected.
The early attempts to organize Roman law included the *Institutes of Gaius* in the second century C.E. and the *Theodosian Code* under Emperor Theodosius II in 438 C.E., but these were incomplete. The final compilation of the *Corpus Juris Civilis* under Justinian in the sixth century was issued in four parts: the *Digest* (533), the collection of judicial interpretations of the laws; the *Code* (534), the imperial laws and rescripts Tribonian’s committee chose to keep; the *Institutes* (533), a condensed version to be used by first-year law students; and the *Novels* (until 565), new imperial laws.
Medieval Roman Law
Roman law continued to influence European law after the fall of the Western Roman Empire to Germanic tribal rule, but it did so not as territorial law but as merely the personal law of the section of the population claiming to be Roman rather than Germanic. Among the Germanic kingdoms of western Europe, rulers such as the Visigothic kings of Spain used vulgarized forms of Roman law for their Roman subjects. The basis for these laws was usually the *Theodosian Code* rather than Justinian’s, since the former was disseminated before the collapse of the Western Roman Empire. Justinian’s corpus was not compiled until after Roman power was largely lost in the West. Roman law also influenced western Europe, because it was used as the basis of canon (church) law in the *Corpus Juris Canonici* (Body of Canon Law), and Roman civil and canon law also
became the basis of the *ius commune*, a set of legal principles generally accepted throughout Europe. Within each developing state of the late Middle Ages and the early modern period, Roman law had varying impact on local and royal laws, depending on the geographical proximity to the old Roman imperial areas and individual developments within the separate states.
Although it was taught continuously in the East, it was not until the late eleventh century that the West rediscovered the *Corpus Juris Civilis* of Justinian, and the text was then studied and taught at the medieval universities throughout western Europe beginning in the twelfth century. This new study of the *Corpus Juris Civilis* began in Bologna, Italy, at the university’s law school, and it became popular for a number of reasons. The Roman Empire of Justinian and the medieval Holy Roman Empire were conflated in the minds of many. Justinian was seen as a Holy Roman Emperor and his laws as imperial legislation. In addition, twelfth-century jurists recognized that Roman law represented a high development of legal thought, and they saw Roman law as “written reason” and hence superior to other law.
University scholars not only studied the *Corpus Juris Civilis*, they also added their own explanations and interpretations, which often became as important as the original text. The earliest of these scholars were known as the glossators, who wrote marginal or interlinear comments called glosses on the entire text of Justinian. In this process they discovered some inconsistencies and contradictions that Tribonian’s hurried committee had not managed to eliminate. Glossators tried to resolve such discrepancies by interpretation. Between 1220 and 1250 the glossator Franciscus Accursius compiled a collection of selected glosses, which became known as the *Glossa ordinaria* (or *Magna glossa*).
Following the glossators were the commentators (or postglossators). They did not merely continue the glossators’ work but also contributed their own legal knowledge by writing original commentaries on the *Corpus Juris Civilis* and the *Glossa ordinaria*. They also applied the law to their own time by writing legal opinions in response to questions concerning real cases. Two of the most significant of the early commentators were Bartolus of Saxoferrato and Baldus of Ubaldis. The commentators were most active in the fourteenth and fifteenth centuries, and, like the glossators, most were Italian.
**RENAISSANCE HUMANISM AND ROMAN LAW**
New approaches to Roman law developed with Renaissance humanism in the fifteenth and sixteenth centuries. Humanists applied philological techniques to the study of the Roman law to determine what it had been meant to say, and they also studied the laws and their meaning in the original context of Rome. Although begun in Italy with the work of Andrea Alciato, this movement reached its height in the French historical school of law in the sixteenth century. Because of their humanist approach, these scholars were able to see the *Corpus Juris Civilis* in historical context, as a product of its own time and place. They saw it as useful but not infallible, and their work identified many problems in the law itself and in the medieval studies of it. Guillaume Budé, Jacques Cujas, Hugues Doneau, and François Hotman, among others, contributed to this movement in France, as did Ulrich Zasius in Germany. Hotman’s *Anti-Tribonian* (1567) was particularly critical of Justinian’s compilation and elevated French law in its place. These scholars established the historicity of Roman law and removed its claim to authority over contemporary societies, even though it could still be seen to a certain extent as “written reason.”
**ROMAN LAW IN FRANCE, GERMANY, AND GREAT BRITAIN**
*France.* Italy and southern France were the areas most continuously influenced by Roman law because they had been governed by the Romans themselves and by Germanic versions of Roman law codes. These were also areas where universities developed early, as did Renaissance humanism. Southern France had adopted Roman law and was known as the land of the written law (*pays de droit écrit*), while the northern two-thirds of France was subject to diverse local customary laws (*pays de droit coutumier*). This caused some tension, and French legal humanists tried to resolve some of the problems by carefully applying Roman law. French kings continually tried to increase the uniformity of the country’s laws in the sixteenth through eighteenth centuries. Roman law sometimes provided the
source of these common laws, but so did the Custom of Paris, which was often seen as a more appropriate source for France. Partly under influence of the “written reason” of the *Corpus Juris Civilis*, the French tried to codify their customs, frequently using the organization of Roman law as a model for the structure, if not for the laws themselves. This is particularly notable in Antoine Loisel’s *Institutes Coutumieres* (1607) and Étienne Pasquier’s *L’interprétation des institutes de Justinian* (1609).
**Germany.** In Germany, the reception of Roman law began around 1500, when the *ius commune* was given precedence over local customs in the imperial supreme court. Use of Roman law in this form was particularly attractive in the Holy Roman Empire, because there were over three hundred independent local jurisdictions, some quite backward administratively. Roman law provided a model for them and also created some form of unity in the fragmented empire.
**Great Britain.** Scotland had introduced Roman law indirectly in the form of *ius commune*, because it was distinct from English common law, and the Scots wished to establish their independence from English control. English common law developed independently from Roman law, but some courts in England, the Equity and Admiralty Courts, for example, were influenced by Roman law, at least in the form of the *ius commune* or through canon law, which church courts continued to use in England even after the Reformation.
**THE WIDER INFLUENCE OF ROMAN LAW**
The growth of the influence of Roman law was a gradual and continuous historical process; the law was adapted to territories well beyond those its Roman originators could have imagined and to uses of which they had not conceived. The Spanish acceptance of Roman law meant that it spread beyond western Europe and came to the Spanish territories of the New World.
Roman law was used to support various, even opposing, ideas. For instance, its maxims could support both absolutism and popular government: while the maxim “What pleases the prince has the force of law” (*Quod principi placuit legis habet vigorem*) was used as an argument for royal absolutism in various countries, on the other hand, “What touches all must be decided by all” (*Quod omnes tangit, ab omnibus approbetur*) was used to justify representative government and even rebellion against oppressive regimes. Roman law’s influence persisted beyond the end of the early modern period, as it served as the main model for Napoleon Bonaparte’s Civil Code (1804).
*See also Budé, Guillaume; Humanists and Humanism.*
**BIBLIOGRAPHY**
*Primary Sources*
Krueger, Paul, ed. *Justinian’s Institutes*. Translated by Peter Birks and Grant McLeod. Ithaca, N.Y., 1987. The *Institutes* is the Roman law work that is most accessible to the beginner in legal studies. This is one of several editions.
Mommsen, Theodor, and Paul Krueger, eds. *The Digest of Justinian*. 4 vols. Philadelphia, 1985. English translation edited by Alan Watson. The Latin and English texts are on opposing pages.
Scott, S.P., trans. and ed. *The Civil Law: Including the Twelve Tables, the Institutes of Gaius, the Rules of Ulpian, the Opinions of Paulus, the Enactments of Justinian, and the Constitutions of Leo*. 17 vols. in 7. Cincinnati, Ohio, 1932. Reprint, New York, 1973.
Watson, Alan, ed. *The Digest of Justinian*. 2 vols. Philadelphia, 1998. Revision of Watson’s 1985 English translation.
*Secondary Sources*
Bellomo, Manlio. *The Common Legal Past of Europe, 1000–1800*. Translated by Lydia G. Cochrane. Washington, D.C., 1995.
Caenegem, R. C. van. *An Historical Introduction to Private Law*. Translated by D.E.L. Johnson. Cambridge, U.K., and New York, 1988.
Merryman, John Henry. *The Civil Law Tradition: An Introduction to the Legal Systems of Western Europe and Latin America*. 2nd ed. Stanford, 1985.
Watson, Alan. *Roman Law and Comparative Law*. Athens, Ga., 1991.
Kathleen A. Parrow
**RUSSIAN LAW**
During the early modern period, Russian law was modernized, that is, it became more predictable, rational, and ascertainable. There was considerable codification and ever increasing proliferation and sophistication of judicial officials. As of 1450 Russia had largely completed its transition from an archaic or dyadic legal system, characterized by no judicial
officials, composition (blood-wite, or penalty for bloodshed), and irrational modes of proof, to a triadic legal system, characterized by judges, criminal law, and rational modes of proof. The judicial officials, however, were not specialists and there were no real standing courts. Judges for particular cases were appointed on an ad hoc basis from the ranks of the service class and probably decided civil cases based on their own sense of rough justice or fairness. Perhaps the most advanced aspect of Russian law at the time was that detailed records of trials, judgments, and land transactions were maintained. Most of the early trial records involve trials over the ownership of land. Written deeds were also used and maintained to record transfers of land.
Existing alongside the grand prince’s courts were ecclesiastical courts. Each of approximately thirteen bishops had his own court. The church courts had jurisdiction over the clergy in all matters and over laymen in such matters as marriage, family, inheritance, sexual crimes, heresy, and witchcraft. Monasteries also exercised judicial power over those who resided on their vast landholdings.
In 1497 Ivan III of Moscow promulgated Russia’s first national law code, consisting of sixty-eight articles. It was primarily a procedural guide, with numerous provisions regulating the fees that judicial officials could charge. It provided penalties for only a few crimes, such as murder. The code also provided for central courts with judges from the two highest ranks of the service class and with judicial records, to be maintained by clerks. Starting in the sixteenth century, certain permanent chancelleries, staffed primarily by clerks, became the standing central law courts. They also performed administrative functions. The chancelleries proliferated, so that by the end of the seventeenth century there were as many as 150. The jurisdiction of the chancellery courts was therefore highly fragmented. The clerks began to develop judicial expertise and kept detailed records. They also developed internal procedure manuals for judicial business. One of the chancelleries also became the repository for deeds to land.
A somewhat more comprehensive codification of civil law was issued in 1550, but this codification, like the 1497 code, was largely procedural. The 1550 code also contained further specifications of crimes and criminal penalties. But while civil trials were adversarial in nature (the two competing parties presented their evidence to a judge), criminal trials were inquisitorial; in other words, the same official was the judge and prosecutor. Criminal procedure would remain inquisitorial through the remainder of the early modern period. The clerical courts became more sophisticated as well, and in 1551 a vast codification of canon law was compiled, the so-called Hundred Chapters. As the tsar’s power and bureaucracy increased, however, the independent power of the church courts was gradually circumscribed.
Legal modernization stagnated in the late sixteenth and early seventeenth centuries as the result of political turmoil, dynastic instability, and civil war. After the installation of the Romanov dynasty in 1613, the legal system and bureaucracy of the late sixteenth century was restored. The legal system, however, became the target of popular suspicion. It was perceived as subject to favoritism and corruption, particularly with respect to lawsuits over escaped serfs. In 1648 demands that the chancellery rulebooks be published became the focus of widespread civil disturbances, which culminated in the calling of an assembly to codify the laws. A vast codification was soon produced, based mainly on the chancellery rule books. The law code of 1649 was one of the most advanced codifications of its time. Its 967 articles fill over two hundred pages in a modern printed edition. For the first time the substantive law relating to landed property, serfs, slaves, and numerous other subjects was codified, along with lengthy codes of civil procedure and criminal procedure. Everyone, even slaves, had access to the courts, and legal rules were published to regulate most important relationships. The code proclaimed that it was to be applied in all cases, and it was indeed extensively cited in subsequent judgments and trial records. Among the most important, but dubious, achievements of the law code was the completion of the enserfment of the peasantry. The 1649 code was to remain Russia’s basic law throughout the remainder of the early modern period.
It is important to note that this legal modernization was accomplished without lawyers or law schools and without any Western models or influences. The clerks in the chancelleries developed
considerable practical expertise, but the Russian legal system and Russian law as a whole lacked the theoretical consistency of Western legal systems developed by professional lawyers.
Peter I the Great (ruled 1682–1725) substantially reformed the machinery of justice, replacing the chancelleries with nine colleges, which, like the chancelleries, performed both judicial and administrative functions. He also created the Senate, which among its other functions, served as a supreme court. These institutions remained in place throughout the remainder of the century. Peter also used law as an instrument of reform: his reforms of the civil service, armed forces, and central bureaucracy were accomplished by means of lengthy decrees and regulations. Under Peter the church courts largely lost their independence. Peter also unsuccessfully attempted to transform the law of inheritance by requiring primogeniture.
Under the influence of the Enlightenment, the idea of legal rights, particularly for the nobility, began to gain ground in the eighteenth century, culminating in the Charter to the Nobility in 1785. Throughout the early modern period, law played an important role in controlling crime and protecting the property and status of the service class. Although there were few legal rights, Russia became a state governed by elaborate published laws.
See also Alexis I (Russia); Autocracy; Peter I (Russia); Russia.
BIBLIOGRAPHY
Primary Sources
Dewey, H.W., trans. and ed. Muscovite Judicial Texts, 1488–1556. Michigan Slavic Materials, no. 7. Ann Arbor, Mich., 1966. Contains translations of the 1495 and 1550 codes.
Hellie, Richard. The Muscovite Law Code (Ulozhenie) of 1649. Irvine, Calif., and Pullman, Mich., 1988. A dual-language edition.
Secondary Sources
Weickhardt, George G. “Due Process and Equal Justice in the Muscovite Codes.” The Russian Review 51, no. 4 (October 1992): 463–480.
———. “The Pre-Petrine Law of Property.” Slavic Review 52, no. 4 (Winter 1993): 663–679.
George G. Weickhardt
LAW’S SYSTEM. A prophet of a modern credit-based economy, operating free of ties to metal currency, John Law (1671–1729) was born into a commercial family in Edinburgh, Scotland. After a rakish sojourn in London, where he narrowly escaped the hangman’s noose, Law succeeded in Europe as a professional gambler, thanks to his grasp of probability theory. He also studied economics and argued in learned treatises that paper instruments should replace gold and silver as money. Only an economy free to expand its currency and fueled by credit could develop significantly. In Paris he befriended Philippe, duke of Orléans (1674–1723), himself a gambler as well as the nephew of King Louis XIV (ruled 1643–1715). When Philippe became regent of France, he turned to Law for help with the financial effects of twenty-six years of war, an empty treasury, and mountainous state debt.
Law perceived that these problems could be solved in association with each other. He planned to turn the debt into equity or shares of stock and to make the shares into paper currency, demonetizing gold and silver coin while simultaneously expanding credit. An economy thus oriented to growth would, in his view, lift itself free of debt.
Between 1716 and 1719, he created France’s first national bank, the Royal Bank, and a powerful conglomerate, the Company of the West, or Mississippi Company, merging them in 1720. The former, based in Paris, established branches throughout the realm, taking in tax revenues as deposits and issuing negotiable banknotes. The latter sold shares of stock, also negotiable. It controlled tax revenues, the royal mint, and commerce with Africa, Asia, and the Americas. It assumed the state debt, turning creditors into shareholders and liabilities into assets. To encourage the public to buy company shares, some of which paid dividends of 12 percent, Law dropped interest rates to 2 percent, from 5.55 percent, a blow to fixed annuities. These elements, along with sharp restrictions on the monetary use of gold and silver, became his system.
After initial hesitations, the investing public reacted favorably. In January 1720, a share of company stock, having long since climbed nicely from its initial price of 550 livres, peaked at 10,100 livres, a real stock-market boom. Euphoric buyers, emboldened by easy credit, anticipated a share price of 20,500. Some of them became, if only briefly, “millionaires,” a word coined at the time. The system took on the aspects of a Europe-wide miracle. But when Law, deeming shares overvalued, acted to reduce their price, investors turned against him in fury, and the shares tumbled in value, compromising the bank and the company. A rueful John Law left France in December 1720 and died in Venice in 1729.
Amid the ruins of the system, the state emerged as a net gainer, having lightened its debt load: urban workers, victimized by inflation, were the primary losers. The experience turned France against paper money for almost two centuries and gave historians a low opinion of the system, until recently. In the twentieth century, however, the global economy developed in the growth-oriented ways that Law anticipated, with regard to a credit base, the importance of the quantity of money, and its freedom at long last from specie.
See also Banking and Credit.
BIBLIOGRAPHY
Faure, Edgar. *La banqueroute de Law, 17 juillet 1720*. Paris, 1977.
Hamilton, Earl J. “Prices and Wages at Paris under John Law’s System.” *The Quarterly Journal of Economics* 51 (1937): 42–70.
Kaiser, Thomas E. “Money, Despotism, and Public Opinion in Early Eighteenth-Century France; John Law and the Debate on Royal Credit.” *Journal of Modern History* 63 (March 1991): 1–28.
Murphy, Antoin E. *John Law: Economic Theorist and Policy-Maker*. Oxford and New York, 1997.
JOHN J. HURT
LE BRUN, CHARLES (1619–1690), French court painter and academician. After working briefly with François Perrier, Le Brun became a pupil of Simon Vouet (1590–1649). His earliest known works, such as the dynamic *Hercules and the Horses of Diomedes* of 1641 (Nottingham Castle, Nottinghamshire) reveal their influence and display a talent precocious enough to win the rare praise of Nicolas Poussin, whom Le Brun joined in 1642 on the elder artist’s return to Rome. Le Brun’s stay in Italy was supported for three years by the powerful Pierre Séguier, duke of Villemor and chancellor of France.
On his return to Paris, Le Brun became one of Louis XIV’s painters and was one of the founders of the Académie royale de peinture et de sculpture in 1648. Not surprisingly, his patron, Séguier, was designated as the protector of the fledgling organization. Le Brun executed canvases and decorative commissions for large Parisian townhouses and religious organizations throughout the 1650s. The deaths of Perrier, Vouet, and Eustache Le Sueur by the middle of the decade—combined with the success of Le Brun’s ceiling in the Galerie d’Hercule of the Hôtel Lambert—made him the unrivaled French painter of his day. A royal order of 1656 forbidding the reproduction of his works without permission provides a measure of his growing reputation.
In 1658, Le Brun began the decorations at the château of Vaux-le-Vicomte for Nicolas Fouquet, the minister of finance. His responsibilities grew to include the direction of the embellishment of the country palace. Three years later, when Louis XIV imprisoned Fouquet for embezzlement of state funds (soon after viewing the results of Le Brun’s lavish efforts), the artist and most of his collaborators were quickly employed by the king in the royal household, especially at Versailles (beginning in 1669), where Le Brun would produce his most celebrated works in the Hall of Mirrors, the Ambassador’s Staircase, and the Royal Chapel. Le Brun’s part in the transformation of this former hunting lodge into the premier palace of Europe included supervising and supplying designs to an enormous team of painters, sculptors, gardeners, architects, and decorative artists, as well as executing vast stretches of painted surfaces glorifying his royal patron (*modello* for *The Second Conquest of Franche-Comté*, early 1680s, Musée National de Versailles). His commissions soon expanded to the Louvre and other royal residences.
Le Brun’s brilliant success as both artist and administrator may be a reflection of his absorption of the effective studio organization he witnessed at first hand during his years as a student in Vouet’s busy atelier. His perfect blend of talents led to his ennoblement in 1662, his appointment as director
of the Gobelins manufactory in 1663 (the division of the royal household that supplied most of the luxurious furniture and decorative arts for the royal residences), and his posts as first painter to the king, curator of the royal collections, and chancellor for life of the Académie in 1664.
Le Brun’s role at the Académie was critical for the development of French painting and sculpture during the next two centuries. For him, drawing was the basis of the visual arts and therefore the most fundamental skill necessary for a young artist, especially one who aspired to be a painter of the historical, mythological, and religious works that Le Brun codified as the most noble type (or genre) of painting. His belief in the primary importance of drawing followed a long-established Italian tradition undoubtedly inherited from Vouet. It is also revealed in the many thousands of his own very accomplished extant sheets (*Triton*, c. 1680, Musée du Louvre). To ensure that the Académie’s students attained the desired level of proficiency as draftsmen, Le Brun established and systematized a routine of study involving several years of well-defined, graduated stages of figure drawing—one that began with copies of prints or plaster casts and ended with drawings after the live model—that became the standard for academies across Europe. He also oversaw the founding of the French Academy in Rome in 1666 so that the best French students could travel for extended study in what was then the center of the European art world. And finally, beginning in 1667, he initiated his series of
lectures, or *conférences*, at the Académie in Paris—including the pivotal lecture on expression (1668) that was illustrated with his own drawings (*Terror*, c. 1668, Musée du Louvre)—that quickly became obligatory reading for young French artists. During his tenure, the Académie also became the center of heated debates over issues such as perspective and, most importantly, the merits of color versus design, or Rubens versus Poussin. Without forgetting the merits of Rubens, Le Brun’s opinion was made clear: the greatest historical example was Raphael, whose genius was taken to even greater heights by Poussin. As he certainly realized, his view proclaimed the primacy of the French school.
Le Brun ended his career with a remarkably detailed inventory of the paintings in the royal collection in 1683. He also produced a number of successful cabinet pictures. Between his numerous posts in the royal household, his multitude of prestigious commissions, and his pivotal role at the Académie, he trained an entire generation of students and collaborators that included Louis and Bon de Boullogne, Louis Chéron, Antoine Coypel, Charles de Lafosse, René Houasse, Jean Jouvenet, and both Michel II and Jean-Baptiste Corneille, influencing them with the richly colored, heavy (but energetic), declarative, and classicizing baroque blend of Poussin and Rubens that had earned him such success.
*See also Academies of Art; Art: Artistic Patronage; Louis XIV (France); Poussin, Nicolas; Versailles; Vouet, Simon.*
**BIBLIOGRAPHY**
Beauvais, Lydia. *Charles Le Brun, 1619–1690: Inventaire général des dessins.* 2 vols. Paris, 2000.
Gareau, Michel. *Charles Le Brun, premier peintre du roi Louis XIV.* Paris, 1992.
Jouin, Henri. *Charles Le Brun et les arts sous Louis XIV.* Paris, 1889.
Montagu, Jennifer. *The Expression of the Passions: The Origin and Influence of Charles Le Brun’s Conférence sur l’expression générale et particulière.* New Haven and London, 1994.
Thuillier, Jacques. *Charles le Brun, 1619–1690: Peintre et dessinateur.* Exh. cat. Paris, 1968.
ALVIN L. CLARK, JR.
**LEAGUE OF AUGSBURG, WAR OF THE (1688–1697).** This war is also known as the War of the Grand Alliance, the Nine Years’ War, and King William’s War.
**FRENCH POLICY IN THE 1680S AND THE COMING OF WAR**
French success at the Peace of Nijmegen (1678), which concluded the Dutch War (1672–1678), was followed a decade later by a diplomatic fiasco in which Louis XIV (ruled 1643–1715) began a war in which he had no allies and was opposed by a coalition comprising almost all the European powers. Indisputable characteristics of the years following Nijmegen were overconfidence in France’s capacity to pursue political aims through military force and a dangerous contempt for international opinion. The “Chambers of Reunion,” active between 1679 and 1682 may initially have presented spurious justifications for absorbing substantial territories lying across France’s eastern frontier, but by the time French troops occupied Strasbourg and most of the duchy of Luxembourg, it was evident that Louis and his ministers were indulging the opportunism of the powerful. The lack of effective resistance owed much to the preoccupation of Emperor Leopold I (ruled 1658–1705) with the Ottoman threat, which climaxed in the 1683 siege of Vienna. The spectacular collapse of Ottoman power following the breaking of the siege caused concern at Versailles, but no modification of policy: Spain responded to France’s “reunions” by a declaration of war in 1683, and in retaliation Louis sanctioned the seizure of the city of Luxembourg and the naval bombardment of Spain’s ally Genoa. Although the Spanish, vainly expecting imperial leadership of an anti-French coalition, were forced to accept a truce at Regensburg in 1684, hostility and fear about French intentions were now widespread.
In this fragile situation French actions grew more provocative. The revocation of the Edict of Nantes in 1685 completed the alienation of Protestant Europe: after 1685 no Protestant power would again make an alliance with Louis XIV. Intrigues over the archbishopric of Cologne and a ham-handed attempt to exploit the succession to the Palatine Electorate antagonized and frightened the German princes. Meanwhile the success of imperial forces in the Balkans, which culminated in the 1688
capture of Belgrade, freed Emperor Leopold to play an active role in an anti-French coalition in the West. In 1686 a number of German princes, Charles II (ruled 1665–1700) of Spain, and Leopold I signed the League of Augsburg (later known as the Grand Alliance) to coordinate resistance to France. Preoccupied by his attempt to bully Pope Innocent XI and the German princes into accepting a French client as archbishop-elector of Cologne, and convinced that a protracted civil war in England would be the most likely—and desirable—consequence of an armed challenge to James II (ruled 1685–1688), Louis and his ministers did nothing to block the invasion of England by William, the stadtholder of the Dutch Republic. Landing at Torbay in November 1688, William’s forces rapidly undermined any resistance on behalf of James, and by December, William and his wife, Mary, the daughter of James II, were in London. Louis’s most implacable enemy was now established at the head of both the great maritime powers.
A house of cards consisting of facile and inflexible assumptions about the international situation was collapsing; belatedly, Louis and his ministers sought to halt the momentum toward war, but a characteristic reliance on threats and violence simply compounded the crisis. Though demanding that the emperor and the German princes should convert the 1684 truce of Regensburg into a permanent peace, a simultaneous attack by French forces on the Rhineland fortress of Philippsburg ensured that the French ultimatum was ignored. Louis’s response was the devastation of the Palatine cities and countryside, not by any means the only instance of such exemplary destructiveness in the period, but one that could hardly have been worse timed in the face of a hostile coalition of all the major western European powers.
**THE COURSE OF THE WAR**
There had been little attempt during the 1680s to prepare France for another long war, and even in 1689 Louis still hoped that it might be won quickly. The pattern of conflict had much in common with the preceding Dutch War. In the field the French armies proved superior to their opponents, and a group of capable and enterprising commanders were able to maintain the initiative during successive campaigns. French forces in the first few years of the war gained the military advantage in the Spanish Netherlands at Fleurus (July 1690), Steenkerque (August 1692), and Neerwinden (July 1693), while their victory at Staffarda (August 1690) in Piedmont threatened the collapse of allied power in northern Italy. But sustaining the war effort placed immense pressure upon France; the army was increased to at least 300,000 troops by the early 1690s. The allies could sustain heavy losses on campaign and still reinforce their army corps before the French could exploit a tactical advantage; French victories in the field and successful sieges did not, as Louis and his ministers hoped, bring the allies to the negotiating table. The French financial system and military administration were both under unprecedented strain. In 1693–1694 France suffered twin harvest failures accompanied by famine and disease, which killed upwards of 10 percent of the population. Tax revenues collapsed, much of the army went unpaid and unfed, and lingering hopes that Louis might be able to gain decisive victory evaporated. The French navy had acquitted itself impressively in 1690 with the victory over the combined Anglo-Dutch fleets at Bézeviers, and had continued to demonstrate tactical effectiveness in subsequent engagements. Yet in response to domestic crisis the navy was decommissioned (1695); some of the warships were contracted out to privateers, who continued a *guerre de course* (raiding campaign) against the allies, while the rest rotted in the dockyards.
By 1694–1695 the French government was desperate either to end the continental war outright or to reduce the scale of its military commitments; the allied capture of Namur (September 1695) provided alarming evidence that the military balance might be tipping against the French. Initiatives to divide the allies failed, and only in 1696 did Louis achieve a costly diplomatic breakthrough by a treaty (Turin) with Victor Amadeus II of Savoy (1666–1732), through which France gained the neutralization of the northern Italian theater at the price of abandoning the key French fortifications south of the Alps. Awareness that even with this scaling down of commitments in the south French forces on the northern and eastern frontiers would be heavily outnumbered during the 1696 campaign encouraged the first serious initiatives toward a general settlement.
Initial allied demands involved the restoration of all French acquisitions since Nijmegen, and negotiations foundered on Louis's refusal to return Strasbourg or to renounce any Bourbon claims in a future settlement of the Spanish succession. French negotiators finally settled with the Dutch and English representatives, recognizing William III as king of England, and conceding Dutch rights to garrison a fortress barrier in the Spanish Netherlands. The preliminary French settlement with the Dutch and English at Ryswick early in 1697 left the Austrians and the Spanish exposed diplomatically and militarily: the negotiations made major concessions to allied demands, returning most of France's conquests since 1678. Jeopardizing settlement over the refusal to surrender Strasbourg seemed disproportionate. Moreover, without the Maritime Powers' soldiers and warships, continuing the struggle against France looked less attractive. Indeed, deprived of the Anglo-Dutch navy, the Spanish were unable to prevent the French capture of Barcelona in August 1697. This provided a decisive inducement to accept the peace, signed at Ryswick by all the major combatants in September and October 1697. Although the emperor resented the abandonment of Strasbourg, and a party within Spain had wanted French concessions over earlier conquests in Flanders, Ryswick showed that France had been pushed to the limits of her resources by nine years of war.
See also Dutch War (1672–1678); James II (England); Leopold I (Holy Roman Empire); Louis XIV (France); William and Mary.
BIBLIOGRAPHY
Primary Source
Actes et Mémoires des Négociations de la Paix de Ryswick. 4 vols. Reprint. Graz, Austria, 1974. Originally published The Hague, 1725.
Secondary Sources
Barker, Thomas M. Double Eagle and Crescent: Vienna's Second Turkish Siege in its Historical Setting. Albany, N.Y., 1967.
Bluche, François. Louis XIV. Translated by Mark Greengrass. London, 1990. A work of indefatigable chauvinism, which seeks to defend Louis XIV's policies on the eve of the war.
Childs, John. The Nine Years' War and the British Army, 1688–1697: The Operations in the Low Countries. Manchester, U.K., 1991.
Lossky, Andrew. "The General European Crisis of the 1680's." European Studies Review 10 (1980): 177–197.
———. "Maxims of State in Louis XIV's Foreign Policy in the 1680's." In William III and Louis XIV: Essays by and for Mark Thompson, edited by Ragnhild Hatton and John S. Bromley, pp. 7–23. Liverpool and Toronto, 1968.
Lynn, John A. The Wars of Louis XIV, 1667–1714. London, 1999.
Place, Richard. "The Self-Deception of the Strong: France on the Eve of the War of the League of Augsburg." French Historical Studies 6 (1970): 459–473.
Rowen, Herbert H. The Princes of Orange: The Stadtholders in the Dutch Republic. Cambridge, U.K., 1988.
Rowlands, Guy R. The Dynastic State and the Army under Louis XIV: Royal Service and Private Interest in France, 1661 to 1701. Cambridge, U.K., 2002.
Spielmann, John P. Leopold I of Austria. London, 1977.
Storrs, Christopher. War, Diplomacy and the Rise of Savoy, 1690–1720. Cambridge, U.K., 1999.
Symcox, Geoffrey. The Crisis of French Sea Power, 1688–1697: From the guerre d'escadre to the guerre de course. The Hague, 1974.
———. "Louis XIV and the Outbreak of the Nine Years War." In Louis XIV and Europe, edited by Ragnhild Hatton, pp. 179–212. London, 1976.
Wolf, John B. Louis XIV. New York, 1968.
DAVID PARROTT
LEAGUE OF CAMBRAI. See Cambrai, League of (1508).
LEDOUX, CLAUDE-NICOLAS (1736–1806), French architect. Ledoux was among the most prominent architects of the final decades of the ancien régime. Although few of his buildings are extant, engravings of them and of his unrealized projects continue to draw the attention of architects and theorists interested in their inventive forms, symbolic expression, and social vision.
Ledoux's career exemplifies the increased social and professional mobility of architects in the second half of the eighteenth century. Born into a merchant family of modest means in a provincial town, Dormans (Marne), Ledoux received a classical education in Paris as a scholarship student at the
Collège de Dormans-Beauvais from 1749 to 1753. He subsequently apprenticed as an engraver and studied architecture at the private École des Arts, directed by the eminent architectural educator, Jacques-François Blondel (1705–1774). He reportedly completed his professional training in the atelier of Louis-François Trouard (1729–1794). Ledoux deftly established his career through contacts among alumni of the collège, the architects and amateurs affiliated with Blondel’s school, and a circle of musicians and artists at Versailles that opened to him in 1764 when he married Marie Bureau, the daughter of an oboist in the court orchestra. From the 1760s, these overlapping networks led to a wide range of challenging and profitable private and public commissions as well as his appointment to the royal academy of architecture in 1773. His royalist associations, however, led to his professional ruin and imprisonment (1793–1795) during the French Revolution.
Ledoux began his practice as neoclassicism was emerging as the preferred style among trend-setting designers and clients, and he made a place for himself among them. In 1771–1773, he achieved fame with two commissions, a pavilion at Louveciennes for Madame du Barry (1743–1793), who had recently become Louis XV’s mistress, and a house and private theater in Paris for Marie-Madeleine Guimard (1743–1816), a prominent dancer at the Opéra. Both women sought to use patronage of architecture and art to legitimize their place in society, and Ledoux responded to their ambition with buildings attesting to their (and his) discriminating and adventuresome taste. He shared the interest in Greco-Roman architecture that constitutes a defining attribute of neoclassicism, but his formal sources and theoretical intentions went beyond the revival of antiquity. His teacher, Blondel, instilled an enduring appreciation for the grandeur and compositional logic in the buildings of François Mansart.
and the Palais de Justice and prisons for Aix-en-Provence (designed 1779–1786), begun in 1787 but completed to the designs of others.
See also Architecture; Buffon, Georges Louis Leclerc; City Planning; France, Architecture in; Mansart, François; Neoclassicism; Palladio, Andrea, and Palladianism.
BIBLIOGRAPHY
Primary Sources
Gallet, Michel, ed. Claude-Nicolas Ledoux: Unpublished Projects. Berlin, 1992. Translation of Architecture de Ledoux: inédits pour un tome iii (1991).
Ledoux, Claude-Nicolas. L’architecture considérée sous le rapport de l’art, des moeurs, et de la législation. Paris, 1804. Reprint edited by Daniel Ramée, Princeton, 1984.
Ramée, Daniel, ed. Architecture de C. N. Ledoux. Princeton, 1984.
Secondary Sources
Braham, Allan. The Architecture of the French Enlightenment. Berkeley, 1980.
Gallet, Michel. Claude-Nicolas Ledoux: 1736–1806. Paris, 1980.
Vidler, Anthony. Claude-Nicolas Ledoux: Architecture and Social Reform at the End of the Ancien Régime. Cambridge, Mass., 1990.
RICHARD CLEARY
LEEUWENHOEK, ANTONI VAN
(1632–1723), Dutch microscopist. Born the son of a basket maker on 24 October 1632 in Delft, Leeuwenhoek had little formal education. He moved when he was sixteen to Amsterdam, where he was trained and employed by a draper. In 1654 he returned to Delft, married his first wife, Barbara, and established his own drapery business. One child from this first marriage survived, his daughter Maria, who became her father’s lifelong companion.
Leeuwenhoek entered civic life in 1660, when he became chamberlain to the sheriffs of Delft. In 1669 he passed the exam to become a city surveyor, and in 1679 he became official wine gauger to the city of Delft. His first wife died in 1666; Leeuwenhoek married his second wife, Cornelia, in 1671, and she died in 1695.
Leeuwenhoek’s career as a tradesman and civic figure took a sharp turn in 1673, when he was introduced to the Royal Society of London by a letter from Reinius de Graaf (1641–1673), a prominent anatomist of Delft. De Graaf said that Leeuwenhoek had devised microscopes that were far superior to any then known, and he included a paper by Leeuwenhoek that offered observations of bits of mold, the eye and sting of a bee, and a louse. The secretary of the Society, Henry Oldenburg, was interested and encouraged further correspondence. Over the next fifty years, Leeuwenhoek wrote more than three hundred letters to the Royal Society. He read and wrote only Dutch, so these letters had to be translated into Latin for publication. The extracts printed in the Society’s *Philosophical Transactions* constitute the bulk of Leeuwenhoek’s published scientific work.
We do not know how Leeuwenhoek became interested in either microscopy or lens making. It has been suggested that his use of the draper’s glass to examine woven cloth might have been a stimulus, but probably his acquaintance with de Graaf and Cornelius’s Gravesande, another Delft anatomist, was more important. Whatever the stimulus, by 1671 Leeuwenhoek was making his own microscopes, and they had a unique design. Whereas the microscopes made by Robert Hooke (1635–1703) and other contemporaries were compound instruments, with both an objective lens and an eyepiece, Leeuwenhoek built simple microscopes, with a single beadlike lens mounted between two small thin metal sheets, usually brass. The object to be viewed was mounted on a pin on one side of the lens, and the eye was placed, almost touching the lens, on the other. The microscopes were successful because the tiny spherical lenses were exquisitely ground, or, in a few cases, blown. The measure of their success is what Leeuwenhoek was able to see through them.
In 1674 Leeuwenhoek examined cloudy water from a nearby lake and discovered it was teeming with tiny “animalcules,” which we recognize as protozoa. Two years later, while continuing to study his tiny animals, he discovered in an infusion of pepper water some creatures that were much smaller, so small that, in his words, a million would not occupy the space of a grain of sand. Leeuwenhoek had discovered bacteria (although he never recognized them as a radically different form of life from protozoa). The Royal Society was quite excited by Leeuwenhoek’s discovery of microscopic life, which he announced in his famous letters of 7 September 1674 and 9 October 1676, and other microscopists scurried to see for themselves. This was not easy, as no one had microscopes with the resolution of Leeuwenhoek’s, but eventually his claims were confirmed.
Leeuwenhoek’s other most notable achievement was the discovery of spermatozoa, which he announced in a letter of November 1677. He observed these first in humans, then in dogs, and eventually in more than thirty different species. After persistent study, he came to argue that each sperm was the seed of an individual creature and would give rise to the next generation if properly nourished in the womb. Since most contemporaries argued that the female provided the seed and the male merely some sort of fertilizing power, this was a radically new theory of generation. Leeuwenhoek believed that every element of an adult form was contained in a single sperm. However, he did not, as is sometimes stated, ever claim to see the form of a human within a human sperm.
Leeuwenhoek made other notable discoveries and observations. He was one of the pioneers of plant anatomy, taking a special interest in wood structure. He made a series of detailed studies of blood, observing the red blood cells, and was actually able to see single cells circulating through the capillaries in the tail of an eel, which he announced in a letter of 7 September 1688.
Leeuwenhoek became quite a famous figure in Delft (which, except for two early excursions, he never left). He entertained visitors willingly, although this proved quite time consuming in later life. The future James II of England (ruled 1685–1688) and Tsar Peter I of Russia (ruled 1682–1725) were among those who journeyed to Delft to see Leeuwenhoek and his wonders. When Leeuwenhoek had mastered a particular specimen, he would set up a permanent stand in his house, with a microscope devoted to that specimen, so that a visitor could go from station to station and observe swamp water, blood, insect parts, and other exotica without wasting time. This required a great number of microscopes, and it is estimated that Leeuwenhoek built over five hundred in his lifetime. Twentysix, made of silver, were presented to the Royal Society after his death, with specimens attached; sadly, these have disappeared. But nine of his microscopes have survived and are the treasures of museums in Utrecht, Leiden, Rotterdam, Antwerp, and Munich.
One rather odd feature of Leeuwenhoek’s life is that he was executor, in 1676, for the estate of the artist Jan Vermeer (1632–1675). Although other interaction between the two figures cannot be documented, it has been suggested that Vermeer learned optics from Leeuwenhoek, or perhaps vice versa, and it has been further suggested that Leeuwenhoek was the sitting subject for two of Vermeer’s famous paintings, *The Astronomer* (1668) and *The Geographer* (1668–1669).
Although the *Philosophical Transactions* of the Royal Society was the primary forum for Leeuwenhoek’s discoveries throughout his life, he did supervise the separate publication of several collections of those letters, in both Dutch and Latin, beginning in 1684 and continuing to 1722. However, he never wrote any kind of a synthesis of his work. Leeuwenhoek died in his home, at the age of ninety, on 26 August 1723, shortly after dictating a last letter to the Royal Society.
*See also Academies, Learned; Hooke, Robert; Optics; Scientific Instruments; Scientific Revolution; Technology.*
**BIBLIOGRAPHY**
*Primary Source*
Leeuwenhoek, Antoni van. *Alle de brieven*. 12 vols. Amsterdam, 1939–.
*Secondary Sources*
Dobell, Clifford. *Antony van Leeuwenhoek and His “Little Animals”: Being Some Account of the Father of Protozoology and Bacteriology and His Multifarious Discoveries in These Disciplines*. New York, 1958.
Fournier, Marian. *The Fabric of Life: Microscopy in the Seventeenth Century*. Baltimore, Md., 1996.
Palm, Lodewijk C., and Harry A. M. Snelders, eds. *Antoni van Leeuwenhoek, 1632–1723: Studies on the Life and Work of the Delft Scientist Commemorating the 350th Anniversary of His Birthday*. Amsterdam, 1982.
Scherbeek, Abraham. *Measuring the Invisible World: The Life and Works of Antoni van Leeuwenhoek*. London, 1959.
William B. Ashworth, Jr.
In the same year, 1686, Leibniz composed his *Discours de métaphysique* (Discourse on metaphysics) and began his correspondence with the French Jansenist philosopher Antoine Arnauld, two works that display the metaphysical position of his middle years with special clarity. The *Discourse on Metaphysics* argues that we should make God’s creation of the world our model in the employment of an *ars inveniendi*, though since we are finite, we must rest content with employing highly reductive formal languages (“characteristics”) to investigate intelligible but infinite or infinitesimal things. Its scientific reflections are developed in the unpublished *Dynamica* (Dynamics) of 1689–1691, and “Specimen dynamicum” (A specimen of dynamics) published in 1695. The jurisprudential and political works written during Leibniz’s maturity also urge that we take God’s rational and charitable freedom as the model for our moral decisions, legal system, and the comportment of princes and parliaments. Voltaire could never have satirized Leibniz’s philosophical views as naïve in his novel *Candide* (1759) if he had read and taken to heart the essay “Mars Christianissimus” (1683; Most Christian war god), where Leibniz attacks the aggression and autocracy of Louis XIV, then king of France, with the eloquent fury of a seasoned diplomat whose dearest wish was to see Europe reunited as a pacific confederacy. Leibniz was also one of a handful of seventeenth-century European intellectuals to entertain seriously the learning of China and to argue that Europe might profit from cultural exchange with the great Eastern empire. His later metaphysics, oriented more toward theology than science or politics, is summarized in short unpublished works written in 1714, “Principes de la nature et de la grâce, fondés en raison” (Principles of nature and grace, founded on reason) and “Monadologia” (Monadology), as well as the explicitly theological work of 1710, *Essais de Théodicée* (Essays on theodicy). Leibniz died quietly in Hanover in 1716, but his thought has enjoyed an animated afterlife ever since.
*See also Alembert, Jean Le Rond d’; Euler, Leonhard; Huygens Family; Lagrange, Joseph-Louis; Mathematics; Newton, Isaac.*
LEIPZIG. Leipzig was a center of trade, religious organization and innovation, music, printing, and education in the Holy Roman Empire. The population of the town grew from about 9,000 in 1500 to about 30,000 in 1800. Contemporaries often contrasted Leipzig’s commercial atmosphere to the court-dominated atmosphere of Dresden, the other main Saxon urban center. From 1485, when the territory of Saxony was divided into electoral and ducal portions, until 1547, Leipzig was located in ducal Saxony. When Duke Maurice was awarded the electoral title in 1547, Leipzig became part of electoral Saxony.
Leipzig was influenced by the course of Saxon politics in many ways. The city’s economic and cultural boom from the late seventeenth to the mid-eighteenth century was in part the result of Saxony’s political prominence under the rule of Frederick Augustus I (ruled 1694–1733) and Frederick Augustus II (ruled 1733–1763). Similarly, the timing and degree of the city’s involvement in the Schmalkaldic War (1546–1547), the Thirty Years’ War (1618–1648), the Seven Years’ War (1756–1763), and the Napoleonic Wars (1796–1815) were conditioned by territorial politics. The electoral court also influenced local politics, although historians have recently emphasized the power of local elites. The Leipzig city council was divided into three rotating groups, each typically made up of twelve councillors and one mayor, who served a one-year term as the governing or “sitting” council. About half of the councillors were merchants, and half were lawyers. Election was by co-optation (new members were chosen by the existing members). Eligibility to serve on the council was not formally restricted, but most councillors were members of well-established local merchant and professional families.
Artisanal production, the university, and the printing industry were all important sectors of the local economy. About seventy trades were represented in the city; the university’s thousand-plus students helped support the entertainment, luxury, and printing trades. Also key were Leipzig’s trade fairs, held three times a year. The fairs achieved dominance in Saxony and Thuringia by 1500, and from the 1680s onward, they were the largest in central Europe. Leipzig became one of the main German distribution centers for colonial goods.
Leipzig had become a cultural center by the fifteenth century. A university that became one of the most prominent in Germany was founded there in 1409. By the eve of the Reformation, the city housed numerous monasteries, and the two main churches, St. Nicholas and St. Thomas, were the object of endowments by the city council, guilds, and individuals. Some burghers were early adherents of the Lutheran doctrine preached in nearby electoral Saxony. However, the Reformation was officially introduced into the city only in 1539, when Duke Heinrich succeeded his brother George, who had remained Catholic. Leipzig’s clerics soon became well-known and influential in the Lutheran world. The next major religious dispute erupted in 1689, when a group of reformist students and burghers known as Pietists challenged mainstream orthodox clerics. High baroque culture thrived in Leipzig from the 1680s onward, with a boom in public and private architecture, fashion, entertainment, and secular and sacred music, most notably represented by Johann Sebastian Bach, who served as town cantor from 1723 to 1750. Leipzig was also a center of Enlightenment printing and debate.
See also Bach Family; Dresden; Pietism; Printing and Publishing; Saxony.
BIBLIOGRAPHY
Bräuer, Helmut. *Der Leipziger Rat und die Bettler: Quellen und Analysen zu Bettlern und Bettelwesen in der Messestadt bis ins 18. Jahrhundert*. Leipzig, 1997.
Duclaud, Jutta, and Rainer Ducland. *Leipziger Zünfte*. Berlin, 1990.
LEO X (POPE) (1475–1521; reigned 1513–1521). Second son of Lorenzo “the Magnificent” de’ Medici and Clarice Orsini, Giovanni Romolo de’ Medici was trained in the humanities and received a doctorate in canon law from the University of Pisa in 1492. He was appointed cardinal in 1489, and held various legations culminating in that to the Holy League, which reinstalled his family to power in Florence in 1512.
Elected pope by the younger cardinals in 1513, Leo X quietly continued the imperial and Spanish alliance against France pursued by his predecessor Julius II (reigned 1503–1513), but he made peace with the French king Francis I following the latter’s military victory in 1515 and negotiated a concordat with him at Bologna, to replace the Pragmatic Sanction of Bourges (1438). He tried to create a French alliance by Medici marriages to relatives of Francis I: His brother Giuliano (1479–1516) was married to the royal aunt Philiberte de Savoy, and his nephew Lorenzo di Piero (1492–1519), to Madeleine de La Tour d’Auvergne (d. 1519), probably a royal cousin, whose orphaned daughter, Catherine (1519–1589), later became queen of France. With their deaths and the election of Charles V as Holy Roman emperor in 1519, which he opposed, Leo returned clearly to the Habsburg alliance and regained Parma and Piacenza for the Papal States once the French were defeated in 1521.
As head of the Roman Catholic Church, Leo took his responsibilities seriously. At religious ceremonies he presided with dignity and devotion. He brought to a successful conclusion the Fifth Lateran Council (1512–1517), which healed the Pisan schism, approved the abrogation of the Pragmatic Sanction, and confirmed the Concordat of Bologna; regulated relations between bishops and exempt clerics; condemned Averroistic views on the soul; ordered prepublication censorship of books; legislated various moral and curial reforms; and ordered a crusade that, given Christian rivalries, could never be launched. He tried to promote a reunion of the churches by sending a legate to the Hussites and establishing good relations with the Maronites and Ethiopians. To promote the evangelization of non-Christians, he approved in 1518 the training of non-European clergy and the episcopal consecration of Enrique (c. 1494–1531), son of the king of the Congo. To preserve orthodoxy he threatened Martin Luther (1483–1546) with penalties should he fail to recant forty-one propositions (*Exsurge Domine*, 1520); he then excommunicated the recalcitrant friar (*Decet Romanum Pontificem*, 1521). To Henry VIII he assigned in 1521 the title “Defender of the Faith” for writing against Luther. While he actively supported the observant movement in religious orders, he failed to effect a serious reform of the Roman Curia, because it would have reduced his revenues.
Leo was a lavish patron of arts and letters. He employed Michelangelo Buonarroti (1475–1564) to carve the Medici tombs in Florence, and in Rome he commissioned Raphael Sanzio (1483–1520) to work on the frescoes in the papal apartments and loggia, design the Sistine tapestries, paint his papal portrait, and supervise the construction of the new St. Peter’s Basilica and excavations of Roman archaeological sites. As domestic secretaries he hired the humanists Pietro Bembo (1470–1547) and Jacopo Sadoleto (1477–1547). He endowed professorships at the University of Rome and founded there a Greek college and press. Leo was on good terms with leading humanists such as Desiderius Erasmus (1466?–1536), who dedicated to him the *Novum Instrumentum* (New Testament) of 1516. He commissioned Marco Girolamo Vida (c. 1490–1566) to compose the epic poem *Christiad* (1535), begun in 1518, and in 1521 he urged Jacopo Sannazaro (1458–1530) to complete his *De Partu Virginis* (1526; “On the virgin birth”), begun in 1506.
Leo promoted numerous relatives and clients to church office, most notably in the 1517 mass creation of thirty-one cardinals following a plot to poison him, which had been provoked by his interference in Sienese political affairs. His first cousin Giulio de’ Medici (1478–1534), whom he appointed archbishop of Florence, cardinal, and vice-chancellor of the church, was his closest adviser and would eventually succeed him as Clement VII (reigned 1523–1534). By his lavish expenditures on culture and warfare, and despite his efforts to raise new revenues by the sale of venal offices, dispensations, and indulgences, Leo X left the papacy deeply in debt at the time of his sudden death from pneumonia. He was eventually buried in the church of S. Maria sopra Minerva.
*See also* Francis I (France); Medici Family; Papacy and Papal States.
LEONARDO DA VINCI (1452–1519), Italian painter, sculptor, architect, and inventor. The illegitimate son of a young notary and a farm girl, both of whom married other people of their own social station shortly after his birth, Leonardo was adopted into his father’s household when his stepmother remained childless. Unlike his father, Ser Pietro, who had learned Latin in connection with his profession, Leonardo, for all his evident intelligence, proved a poor and distracted student; he received the arithmetical training known as “abacus school” (scuola di abaco) and then seems to have quit his formal schooling to be apprenticed to the famous Florentine sculptor Andrea del Verrocchio (1435–1488).
Leonardo’s first biographer, Giorgio Vasari (1511–1574), tells how the young apprentice painted so ethereal an angel for Verrocchio’s Baptism of Christ that the master threw up his hands and admitted defeat. But Verrocchio also helped to create Leonardo’s famous sfumato or “smudged” shading technique, and encouraged his reliance on drawing as the chief medium for artistic composition, whether in painting, sculpture, architecture, or mechanics. Leonardo’s first independent commission, an altarpiece for the Chapel of Saint Bernard in Palazzo della Signoria, contracted in 1478, was never completed, and this unfinished business set a pattern for the rest of his life. When his father procured for him the assignment of an altarpiece with the Adoration of the Magi for the Augustinian Canons Regular at San Donato in 1481, he put in several months of hard work on the ambitious painting, then abruptly left Florence for Milan in September, where he joined the court of Ludovico Sforza (duke of Milan 1481–1499).
This move represented more than a change of place; it also brought on a change in Leonardo’s whole way of life. Florence, despite the heavy hand of the Medici clan in every government office and public commission, was nominally a republic, a large city-state with an elaborate set of public institutions. Ludovico, on the other hand, was a professional soldier who had seized Milan by force and aimed to keep control of the city by maintaining an efficient system of government and an active cultural life.
Leonardo seems to have applied to Ludovico Sforza with an offer to serve as a military architect. He spent much of his time with Donato Bramante (1444–1514) and the mathematician Luca Pacioli, providing the illustrations for Pacioli’s popular book On Divine Proportion (1509), some of them originally pillaged from Piero della Francesca.
Sometime between 1493 and 1495, Leonardo obtained the commission to decorate the refectory of the Dominican convent of Santa Maria delle Grazie with a Last Supper. The fresco was widely influential despite the failure of Leonardo’s experimental formula for its paint, which began to deteriorate almost immediately.
In 1494, Charles VIII, the king of France, invaded Italy. By 1499, Milan had fallen to French troops, who imprisoned Ludovico. Leonardo, in the company of Luca Pacioli, returned to Florence, but not before he had seen the huge clay model for his never-completed statue of Francesco Sforza used for target practice by Gascon bowmen.
In 1502 Leonardo worked briefly as a military engineer in central Italy for Cesare Borgia. When Borgia’s military campaigns began to be reined in by his father, Rodrigo (later Pope Alexander VI; reigned 1492–1503), Leonardo again returned to the Florentine republic, where an extensive remodeling of the great city hall, the Palazzo della Signoria, was under way. Here, in a monumental room designed to hold the republic’s new representative council, Leonardo was asked to paint scenes from the battle of Anghiari, a skirmish in which Florence had gotten the best of her inveterate rival (and sometime port) Pisa. On the opposite wall, the city council had engaged Michelangelo Buonarroti, whose newly completed David still provides the most eloquent testimony to the indomitable spirit of this early-sixteenth-century Florentine republic.
Leonardo worked up at least part of his design for the *Battle of Anghiari* (begun 1503) to full size and transferred it to the wall of the council hall, but he decided to paint it in a medium that would lend the chalky plaster surface of the fresco something of the sheen of oil paint. The experiment failed miserably, and Leonardo never finished the work. It was finally covered by another fresco executed by Giorgio Vasari. Also in Florence, Leonardo became preoccupied with water and its motions. Another side of nature shows forth in Leonardo’s sketches for his lost painting of *Leda and the Swan*.
From 1506 to 1513, Leonardo moved between Milan and Florence, evading the irate city councilmen who clamored for the rest of their *Battle of Anghiari* and also evading the violent skirmishes that plagued the area around Milan. He filled a series of notebooks with his writings, sketches, and anatomical studies. In 1512, the Florentine republic fell to a restored Medici dynasty; in 1513, Medici rule was reinforced by the election in Rome of a Medici pope, Leo X (reigned 1513–1521), son of Lorenzo the Magnificent. When the pope invested his brother, Giuliano de’ Medici, with honorary Roman citizenship, Leonardo traveled with Giuliano’s entourage and continued to study and write from his own special apartment in the Vatican Palace. In a city dominated by the imposing influence of Raphael, who had transformed himself from a painter to a designer (*disegnatore*) of international fame, Leonardo began to compile his own notes on painting, which would eventually be gathered together by his pupil Francesco Melzi and published in 1651 as *Treatise on Painting*.
In 1516, the aging artist accepted an invitation to become *peintre du roi* by Francis I of France and moved north with Melzi and his servant Salai. He died there in 1519 at the age of sixty-seven.
*See also* Art: Artistic Patronage; Florence, Art in; Medici Family; Vasari, Giorgio.
**BIBLIOGRAPHY**
Bambach, Carmen C., ed. *Leonardo da Vinci, Master Draftsman*. New York, 2003. Includes an extensive bibliography.
Bramly, Serge. *Leonardo: The Artist and the Man*. Translated by Stan Reynolds. New York, 1994.
Clark, Kenneth. *Leonardo da Vinci*. Revised edition with an introduction by Martin Kemp. Harmondsworth, U.K., 1988.
Pedretti, Carlo, ed. *The Literary Works of Leonardo da Vinci*. Berkeley, 1977.
Turner, A. Richard. *Inventing Leonardo*. Berkeley, 1993.
Ingrid Rowland
LEOPOLD I (HOLY ROMAN EMPIRE) (1640–1705; king of Hungary and of Bohemia from 1655; Holy Roman emperor from 1658). The second surviving son of Emperor Ferdinand III (ruled 1637–1657), Archduke Leopold was destined by dynastic tradition to enter the church, where he could use the wealth and influence of high ecclesiastical office to further Habsburg dynastic interests in Europe. His older brother, the heir apparent, died in 1654, however, and Leopold, at age fourteen, had to take his brother’s place and abandon clerical vows in order become the dynastic
patriarch. The young archduke’s education was overseen by tutors and aristocratic mentors who molded him for an ecclesiastical career. Leopold early adopted the intense Catholic piety expected of him and the gentle manners appropriate to a merely supporting role. He grew to manhood without the military ambition that characterized most of his fellow monarchs. From the beginning, his reign was defensive and profoundly conservative.
His first crisis concerned the Habsburg dynastic succession in the future, for in seven years death had reduced the living male Habsburgs to only two: Leopold and his sickly cousin Charles II of Spain. In 1666 Leopold married the younger daughter of Philip IV of Spain, the infanta Margareta (1651–1673); of their four children, only one, Maria Antonia (1669–1692) lived beyond the first year. A second marriage in 1673 to Claudia Felicitas of the Tyrol (1653–1676) brought two more daughters, both of whom died in their first year. In 1676 his third marriage to Eleanora Magdalena of Neuburg (1655–1720) finally produced a male heir in Joseph I (ruled 1705–1711) and then another son, Charles VI (ruled 1711–1740).
Two decades of dynastic crisis encouraged Leopold’s neighbors to contemplate the Habsburg lands should Leopold fail to provide a male heir. France coveted the Spanish territories along the Rhenish frontier; in the east the Turks seized control of Transylvania in 1663 and invaded Hungary the next year. A coalition of imperial and Hungarian forces defeated the invaders at St. Gotthard in 1664. Leopold then surprised and disgusted his generals by concluding a hasty treaty at Vasvár accepting Turkish occupation of most of what they held and paying a large tribute to the Sublime Porte, the Ottoman government in Turkey. Leopold defended the treaty by pointing to French threats against the Low Countries. The immediate consequence, however, was the emergence of a conspiracy among Hungarian magnates who accused Leopold of wasting their blood. Leaders formed armed bands that moved about Hungary attacking both imperial and Turkish units, leading to renewed Turkish incursions. When the plot developed into a plan to murder Leopold, the court struck back, rounded up all the leaders, and executed them. Characteristically, Leopold himself favored clemency for the plotters, several of whom had been childhood friends, but sterner voices prevailed in his councils.
The imperial court at Vienna was a multilingual assembly of some two thousand persons, only about a hundred of whom participated in decision making through the judicial, financial, and military councils. Around them were small swarms of secretaries, copyists, investigators, bodyguards, lawyers, and others who were gradually coalescing into a primitive bureaucracy. Beyond them was a larger swarm of laborers, janitors, kitchen help, grooms, stable hands, laundresses, and court purveyors. All of these enjoyed the privilege of being subject to a special judiciary under the court marshall.
The aristocratic elite that dominated the governing councils generally split into two distinct factions: “westerners,” who followed Leopold’s own preference for appeasing the Turks in order to concentrate on the French threat, and on the other side the “easterners,” who insisted that the Turks were the greater threat. That group included most of the military leaders, courtiers with great properties in Hungary or Croatia, and above all the church hierarchy, which followed the papacy’s lead in the crusade against militant Islam.
It was clear that Leopold’s territories could not provide the resources to allow major military campaigns in both Hungary and the Low Countries. Unrest in the east and French invasions into the Netherlands forced Leopold to enter into an alliance with the Calvinist Dutch Republic. This move unsettled his conscience for years, but the commercial wealth of the Protestant sea powers combined with the human and material resources of central Europe formed the basis on which subsequent Habsburgs built their Danubian empire. The war with France, which began in 1673, lasted beyond the end of his reign with only two brief periods of armed peace.
To deal with the eastern problems, Leopold was advised to resort to a policy of repression, revoking the privileges and freedoms guaranteed by Hungary’s constitution and occupying the country with German troops, who would be paid by the local counties and the magnates. Spontaneous uprisings produced a general revolt. Vienna responded with a program of violent repression, setting up special courts that prosecuted Protestant preachers, angering popular opinion in Protestant states. The repression lasted until 1676, when Leopold had to remove the imperial garrisons from Hungary to fight against France. Hungary again fell into civil war between Catholic magnates loyal to the emperor and Protestant nobles defending their freedom of religion as guaranteed in their constitution. Restoration of traditional liberties in 1681 merely intensified the rebellion.
A deadly plague spreading up the Danube hit the Austrian provinces in 1679, forcing the court to move to Prague. Vienna lost about a fifth of its population. That disaster alongside the diversion of war with France led the Turkish vizier Kara Mustafa to undertake a massive onslaught against the west. In 1683, moving unexpectedly quickly, a Turkish army of nearly a hundred thousand surrounded Vienna on 16 July. Leopold fled with his councils to Passau, where the government began organizing the city’s relief. A relieving force gathered above Vienna attacked the besieging forces on 12 September. With the help of King John Sobieski III of Poland, the long battle ended with the Turks in full retreat down the Danube.
The triumph of 1683 turned Leopold’s attention to the east. The shift of power in Hungary came slowly. Remaining rebel forces gradually accepted Leopold’s offered amnesty. By 1686 Buda fell, the next year imperial forces occupied Transylvania, and in 1688 the great fortress of Belgrade fell. Vienna had just begun celebrating when France invaded the Palatinate. This forced Leopold once again to choose between allowing France to ravage the empire and concentrating on the east, or taking the great risk of fighting a two-front war. Leopold agreed to a greater war, which is known as the War of the League of Augsburg. For nearly a decade neither front produced clear results. In 1691 the Turks retook Belgrade. In 1697, with Prince Eugene of Savoy in command, imperial forces defeated the main Turkish army at Zenta. Two years later the Treaty of Karlowitz fixed the eastern boundary of the Habsburg empire where it remained largely unchanged until the twentieth century.
The treaty of Ryswick temporarily interrupted hostilities with France, but upon the death of Charles II in 1700, war broke out again over the Spanish succession. Leopold sent his forces into northern Italy to occupy what they could of Spanish possessions there. The war soon became global, involving struggles in Germany, Flanders, Italy, Spain, Canada, New England, and the West and East Indies. Leopold died in 1705 at the peak of its intensity. He left a monarchy strengthened by military success, but in much need of institutional reform. Leopold was not a forceful personality. He believed sincerely that his conscientious piety would be sustained by divine providence, which would produce the necessary miracles for survival. He was a master at the art of representing his sovereignty on an elaborate baroque stage, staging complex allegorical productions, performing in them, and composing oratorios and incidental music for them. Vienna’s premier role in the development of western music owes much to this modest emperor’s cultivation of the one art form that could bridge the many languages spoken by his subjects.
See also Habsburg Dynasty; Holy Roman Empire; Hungary; League of Augsburg, War of the (1688–1697); Spanish Succession, War of the (1701–1714); Vienna; Vienna, Sieges of.
BIBLIOGRAPHY
Béranger, Jean. *A History of the Habsburg Empire 1273–1700*. Translated by C. A. Simpson. London and New York, 1994.
Evans, R. J. W. *The Making of the Habsburg Monarchy, 1550–1700: An Interpretation*. Oxford and New York, 1979.
Goloubeva, Maria. *The Glorification of Emperor Leopold I in Image, Spectacle, and Text*. Mainz, 2000.
Ingrao, Charles W. *The Habsburg Monarchy 1618–1815*. Cambridge, U.K., and New York, 1994.
———. *In Quest and Crisis: Emperor Joseph I and the Habsburg Monarchy*. West Lafayette, Ind. 1979.
McKay, Derek. *Prince Eugene of Savoy*. London, 1977.
Redlich, Oswald. *Weltmacht des Barock, Österreich in der Zeit Kaiser Leopolds I*. 4th edn. Vienna, 1961.
Spielman, John P. *Leopold I of Austria*. London and New Brunswick, N.J., 1977.
JOHN P. SPIELMAN
LEPANTO, BATTLE OF. The Battle of Lepanto took place on 6–7 October 1571 between
the Catholic Holy League fleet led by Don Juan of Austria, a bastard son of Habsburg emperor Charles V, and an Ottoman fleet under Müezzinzade Ali Pasha. It occurred at the mouth of the Gulf of Patras, near where the Peloponnesian peninsula joins the mainland (now in modern Greece). An Ottoman debacle, Lepanto was the last great galley battle in the Mediterranean. The Ottomans sent about 280 ships there, and the Holy League had about the same number. The battle featured the use by the Holy League of a new naval weapon: galleasses. These were Venetian merchant ships outfitted with high cannon superstructures sent in front of the armada to pound the Ottoman fleet as it tried to sweep around them. Debate has persisted about whether it was these new ships with their improved firepower or the Ottoman failure to outflank the Christian force that caused the latter’s victory. The battle resulted in about two hundred Ottoman ships being sunk or captured and thirty thousand Ottoman sailors and soldiers killed or captured with only minimal casualties on the Christian side.
A CELEBRATED BUT QUESTIONABLE MILESTONE
This defeat occurred only one month after the shattering Ottoman defeat of Venetian forces defending Cyprus, which the Ottomans then conquered and controlled for the next three centuries. Lepanto was soon celebrated in Europe as a reversal of this defeat and as the end of many years of naval defeats that the Ottomans had inflicted on the Christians. The battle came to be seen as the beginning of subsequent naval decline of the Ottoman Empire. Some modern historians have discounted this view by pointing out that the Ottoman Empire rebuilt virtually the entire fleet that it had lost at Lepanto within a year. Others have pointed out that although the Ottomans did restore their fleet, they suffered a crippling loss of manpower that was particularly harmful for galley warfare. The battle provided a psychological boost for the Catholic world then locked in numerous conflicts across Europe. It was commemorated in Europe through paintings and drawings that depicted it as evidence of a renewed crusading spirit. Miguel de Cervantes, a soldier for
Habsburg Spain, was so severely wounded in the hand at Lepanto that he became a writer. G. K. Chesterton memorialized the battle in a poem.
Lepanto proved the last great Christian-Muslim naval battle in the Mediterranean since privateers and corsairs increasingly dominated naval warfare there. Large-scale Christian-Muslim galley warfare ended in the Mediterranean, perhaps because this battle revealed to both sides the difficulties of permanently controlling this sea. The change may simply reflect, however, that the arena of naval combat had shifted to include the Atlantic and more distant oceans and seas. Ottoman, Habsburg, and Venetian acceptance of the inability of any one power to control the whole Mediterranean after Lepanto led to both a rise in piracy and more commercial activity between traditional partners like Genoa, Venice, and the Ottoman Empire, as well as newcomers like the British, the Dutch and the French.
See also Austro-Ottoman Wars; Cervantes, Miguel de; Galleys; Holy Leagues; Juan de Austria, Don.
BIBLIOGRAPHY
Guilmartin, John F., Jr. *Galleons and Galleys*. London, 2002.
———. *Gunpowder and Galleys: Changing Technology and Mediterranean Warfare at Sea in the Sixteenth Century*. London and New York, 1974.
———. “The Tactics of the Battle of Lepanto Clarified.” In *New Aspects of Naval History*, edited by Craig L. Symonds, pp. 41–65. Annapolis, Md., 1981.
Hess, Andrew. “The Battle of Lepanto and Its Place in Mediterranean History.” *Past and Present* 57 (November 1972): 53–73.
ERNEST TUCKER
LERMA, FRANCISCO GÓMEZ DE SANDOVAL Y ROJAS, 1ST DUKE OF (1552/1553–1625), favorite of Philip III of Spain and a member of a Valencian family with a long tradition as courtiers. Lerma, about whom few historians ever have said anything kind, was the first of the seventeenth-century *validos*, or Spanish favorites, whose greatest exemplar was the Count-Duke of Olivares (1587–1645).
Philip III (ruled 1598–1621) was an unworthy successor to his grandfather, Charles V (ruled as Holy Roman emperor 1519–1556; as Charles I, king of Spain, 1516–1556), and father, Philip II (ruled 1556–1598). Lerma dominated the young monarch immediately upon his accession and for the next twenty years. Until his fall in 1618, Lerma amassed enormous wealth, elevated friends and relatives whose incompetence was matched only by their greed, oversaw economic ruin, including the sale of offices and debasement of currency, encouraged a lavish court that was a stark contrast to the austerity practiced in the sixteenth century, and engineered the costly and useless transfer of the capital to Valladolid. But he also advocated a series of peace treaties that enabled Spain (and its enemies) to spend around fifteen years in relative peace and recover from decades of warfare.
Scholars traditionally have said that Philip III, under the sway of Lerma, essentially abdicated. Lerma’s contemporaries, angry that he kept the king in virtual isolation and beyond their reach, certainly thought so, but recent scholarship disagrees. Evidence is scanty, but what is clear is that Philip III’s reign was the occasion for important political developments. The crisis of authority during the early seventeenth century provided theorists with ammunition for new ideas about the relationship between monarch and advisor; the economic crisis propelled the representative Cortes (parliament) and the cities into a more active political role; and even the opulent tastes of the aristocracy and the court spurred artistic production. Lerma can be blamed for these developments; he can also be credited for them. Moreover, peace allowed the government to undertake serious naval rebuilding.
Lerma owned one of the largest art collections of the period and was a patron of dramatists and architects. Peter Paul Rubens (1577–1640) painted his portrait in 1603, seating him like a king on horseback amid glorious, light-infused battle scenes. Juan Pantoja de la Cruz painted portraits of Lerma and Philip III in 1602 and 1606 that are practically identical; the implications were surely not lost on contemporaries.
By 1612, Lerma was the sole intermediary between the king and all government institutions, so much so that the king ordered the Council of State to obey the duke in all matters. His signature had the same weight as that of the king. He had skillfully
Duke of Lerma. Equestrian portrait by Peter Paul Rubens. ©David Lees/Corbis
institutionalized and legitimized this position of unprecedented power, which he capped in 1618, on the eve of his fall, by being appointed a cardinal of the Roman Catholic Church, apparently the culmination of years of indecision about joining a religious order and withdrawing from the world.
Lerma was probably the richest man in Spain, as well as the most powerful. His enemies were legion, not surprisingly, and they included most of the aristocracy and the female members of the king’s family: his wife, Margaret of Austria; his grandmother, Empress Maria of Austria; and his aunt, Margaret of the Cross, a nun. Indeed, it was partly to escape their influence that Lerma moved the king to Valladolid.
Lerma’s power began to wane with the Twelve Years’ Truce in 1609, seen by some as capitulation to the Dutch rebels. His enemies alleged that others of his noninterventionist decisions, such as avoiding the 1612 Savoy crisis, also were defeatist. One of his closest allies, Rodrigo Calderón, was forced to leave the country in 1611, an important step along the way to dislodging Lerma. As the Twelve Years’ Truce neared its end and conflict in Bohemia appeared inevitable, his chief rivals, among them Cristóbal de Sandoval y Rojas, duke of Uceda (and Lerma’s own son), and Baltasar de Zúñiga, a former ambassador who was already aiming to advise the future Philip IV, rose in prominence. In September 1618, Lerma asked permission to retire, which the king granted.
As courtiers and rivals fought to divide his wealth and influence and the new regime punished his allies (Calderón was eventually executed), Lerma spent his last years in the seat of his estates, the beautiful town of Lerma, just south of Burgos. The walled town, rebuilt on the orders of the duke in 1606, is among the most outstanding examples of seventeenth-century urban design, both a ducal court and a conventional town. He died 17 May 1625 in Valladolid.
See also Dutch Revolt (1568–1648); Olivares, Gaspar de Guzmán y Pimentel, count of; Philip III (Spain); Spain.
BIBLIOGRAPHY
Allen, Paul. *Philip III and the Pax Hispanica, 1598–1621: The Failure of Grand Strategy*. New Haven, 2000.
Feros, Antonio. *Kingship and Favoritism in the Spain of Philip III, 1598–1621*. Cambridge, U.K., and New York, 2000.
Lynch John. *The Hispanic World in Crisis and Change, 1598–1700*. Oxford, 1992.
Phillips, Carla Rahn. *Six Galleons for the King of Spain: Imperial Defense in the Early Seventeenth Century*. Baltimore, 1986.
Sanchez, Magdalena. *The Empress, the Queen, and the Nun: Women and Power at the Court of Philip III of Spain*. Baltimore, 1998.
Tomás y Valiente, Francisco. *Los validos en la monarquia española del siglo XVII*. Madrid, 1982.
Williams, Patrick. “Lerma, 1618: Dismissal or Retirement?” *European History Quarterly* 19 (1989): 307–332.
RUTH MACKEY
LESSING, GOTTHOLD EPHRAIM (1729–1781), German dramatist, critic, theologian, and most prominent proponent of the German Enlightenment. A son of the city’s chief Lutheran pastor, Lessing was born in Kamenz in the Electorate of Saxony on 22 January 1729. After attending the local Latin school and the famous ducal school of St. Afra in Meissen, Lessing entered the University of Leipzig in 1746 in order to study theology. Having discovered his love for the theater, he left the university without a degree and, to the dismay of his father, started to make a living as a freelance writer and critic, moving back and forth between the cities of Leipzig, Berlin, Wittenberg, and Breslau.
Scholars emphasize Lessing’s role in the development of German theater and drama and his aesthetic theory. His earliest tragedy, *Miss Sara Sampson* (1755), which foreshadowed his rise to literary prominence, constituted a shift from the prevalent French classicist models to an advocacy of Shakespeare and the English theater. *Miss Sara Sampson* can be called an early example of bourgeois tragedy. Lessing argued that the essence of tragedy—pity—depended on the depiction of human suffering and not on the social milieu of the protagonists. It was important, however, to create situations and characters with which the audience could identify.
This new concept is best exemplified in his last tragedy, *Emilia Galotti* (1772). The play is an indictment of an immoral prince who ruthlessly pursues his love interest, the virtuous bourgeois girl Emilia. Seeing no other way of defending his daughter, her father kills her in order to preserve her morality. The play shifts the focus from the court milieu of the heroic play into the private realm of the middle-class family. Later writers such as Johann Wolfgang von Goethe (1749–1832) and Johann Gottfried Herder (1744–1803) equally acknowledged the play’s success in depicting an emancipated bourgeoisie of the Enlightenment rebelling against the corruption of court society.
Lessing outlined his thoughts on theater and drama in his *Hamburgische Dramaturgie* (1767–1769; Hamburg dramaturgy), which he wrote while serving as a theater critic at the German National Theater in Hamburg from 1767 to 1769. Despite the fact that the *Hamburgische Dramaturgie* is not a systematic work, it provides many insights into Lessing’s thought. Its main concern is the critique of French classical drama and the reinterpretation of Aristotle’s work on tragedy.
Lessing’s interest in the classics reveals itself in his work on aesthetics. In his *Laokoon: oder über die Grenzen der Malerei und Poesie* (1766; Laocoön: or the limits of painting and poetry), Lessing emphasized the differences between the visual arts and literature. According to Lessing, literature focuses on action, whereas the visual arts focus on static objects. Lessing concluded that literature is superior to painting or sculpture because it can represent the full spectrum of human emotions.
With Lessing’s acceptance of the post of ducal librarian at Wolfenbüttel in 1769, theological and religious themes emerged as the overriding concerns of his writings.
During his stay in Hamburg, Lessing had become a close friend of the children of Hermann Samuel Reimarus (1694–1768), a renowned Lutheran theologian and professor of Oriental languages at the academic gymnasium in Hamburg. Influenced by English deism, Reimarus had secretly written an attack on the veracity of revealed religion. After their father’s death, Reimarus’s children entrusted Lessing with the manuscript, from which Lessing published several parts under the title *Fragments eines Ungeannten* (1774–1778; Fragments from an unnamed author). Most of the fragments criticized different parts of the Old and New Testament on moral as well as historical grounds. The publication created a stir in religious circles so that Lessing’s employer, the duke of Brunswick, withdrew Lessing’s censorship privileges. Forced to silence, Lessing wrote his most famous play, the epic poem *Nathan der Weise* (1779; Nathan the wise). Modern scholarship views the play essentially as a call for religious tolerance. By taking characters from the three major religious denominations, Lessing stressed his conviction that religious differences obscure the fact that all belief systems share a set of moral values. Lessing’s last work, his *Erziehung des Menschengeschlechts* (1780; The education of the human race) has often been viewed as his literary testament. The work addressed the theological issues raised during the *Fragments* controversy and in *Nathan der Weise*, namely the problem of the relationship between reason and revelation. According to Lessing, religion is part of the process of the spiritual growth of mankind. Whereas ancient religions needed textual codification in order to provide human beings with guidance in their lives, eventually reason would free humankind of this necessity.
Lessing is justifiably regarded as one of the most distinguished representatives of the Enlightenment. His advocacy of basic humanitarian values such as tolerance illustrates that some proponents of the High Enlightenment not only debated their ideas and values behind the closed doors of the reading societies and salons, but also defended unpopular positions and values in public.
*See also* Drama: German; Enlightenment; German Literature and Language.
**BIBLIOGRAPHY**
*Primary Sources*
Lessing, Gotthold Ephraim. *Emilia Galotti: A Tragedy in Five Acts*. Translated by Edward Dvoretzky. New York, 1962.
———. *Gesammelte Werke*. Edited by Paul Rilla. Berlin, 1954–1958.
———. *Laocoön: An Essay on the Limits of Painting and Poetry*. Translated by Edward Allen McCormick. Indianapolis, 1962.
———. *Miss Sara Sampson: A Tragedy in Five Acts*. Translated by G. Hoern Schlage. Stuttgart, 1977.
———. *Nathan the Wise*. Translated by Walter Frank Charles Ade. Woodbury, N.Y, 1972.
LETTRE DE CACHET. The term “lettre de cachet” refers to arrest warrants that were signed by the king and delivered at the request of royal officials or family members. These letters, whose wax seal or cachet had to be broken in order to be read, allowed individuals to be incarcerated indefinitely and without legal recourse. Although it is difficult to date their first appearance, the use of lettres de cachet accelerated in the seventeenth century with the growth of royal authority. During the mid-century rebellion known as the Fronde, the crown used lettres de cachet to arrest prominent opponents. Once the crisis had subsided, the crown extended the practice to the realm of family discipline, where it acquired its greatest influence and notoriety. The recourse to lettres de cachet, which developed in response to gaps in Old Regime justice, rested on a consensus among the king and his subjects privileging public order over personal freedom. New ideas about human nature and government that took root during the Enlightenment undermined this consensus and the institutional practices that it had sustained.
A parent or spouse submitted a request for a lettre de cachet to the king via his chief police officer, the lieutenant general. The most frequent complaints included debauchery, mental alienation, physical abuse, and financial dissipation. Individuals at all levels of French society could resort to a lettre de cachet when other options failed to resolve the problem. If the family was wealthy and willing to pay expenses, the accused was detained in a convent or a monastery. More humble subjects ended up in Old Regime prisons like the Bastille or asylums like Charenton. The procedure was extrajudicial since the accused had no access to a lawyer and never appeared before a judge. Detention time varied from several months to a lifetime, although the majority of victims were released in less than a year.
The lettre de cachet demonstrates the complicity between royal officials and subjects in the policing apparatus of the Old Regime. While police commissioners executed the arrest, they rarely initiated the request. The people turned to the police to reinforce their disciplinary capacities over an unruly individual. The monarchy complied with most requests because it viewed the family as a school of obedience and loyalty and thus as a model of political order in the kingdom. The supplicant always emphasized the socially disruptive nature of the behavior that threatened family honor while setting a bad example for others to follow. These arguments and their success in swaying the authorities reflected the value of honor in a traditional society based on hierarchy and privilege. The lettre de cachet allowed families to defend their honor without risking the damaging publicity of a trial.
During the Enlightenment intellectuals like Voltaire (1694–1778) and Simon-Nicolas-Henri Linguet (1736–1794) condemned the lettre de cachet in their campaigns for criminal law reform. The libertine writer and future revolutionary leader Mirabeau (Honoré-Gabriel Riqueti; 1749–1791) published a best-selling polemic in 1782 denouncing the lettres de cachet after his release from the Bastille. This book, along with juridical treatises,
LEVANT. The Levant covers the eastern Mediterranean, its islands, including Crete, Cyprus, Rhodes, Chios, and Lesbos, and the lands it borders: modern-day Turkey, Syria, Lebanon, Israel, Palestine, and Egypt. Around 1300, the region was under the control of a variety of different rulers, the Turco-Circassian Mamluk dynasty in Egypt and Syria, various Turkish states in western Anatolia, and the Byzantines. The Genoese controlled Chios and Lesbos and had established themselves on the Anatolian mainland and in Constantinople, while Venice controlled Crete, Negroponte, Naxos, Andros, Mykonos, Karpathos, and Santorini. The Hospitallers ruled Rhodes and, at the beginning of the fourteenth century, built a castle on the Anatolian coast at Bodrum.
From about the mid-fifteenth century, the Ottomans became increasingly dominant. They defeated the Venetians in war from 1463 to 1479 and, in the following century, destroyed the Mamluks, capturing Syria (1516) and Egypt (1517), took Rhodes from the Hospitallers (1522), and conquered Cyprus (1571). While Ottoman control of the Levant weakened thereafter, such weakness was relative, for in 1669 the Ottomans took Crete from the Venetians. As Genoese and Venetian importance declined in the area, that of France, Britain, and Holland increased. Later, Russia also became increasingly active in the region. In 1770 the Russian navy wiped out the Ottoman fleet at Cesme.
TRADE
In the fourteenth and fifteenth centuries, Western traders, in particular those from Genoa and Venice, imported goods such as textiles, soap, cloth, wine, and war materials into the Levant and exported commodities such as slaves, grain, alum, cotton, and spices. Apart from being a producer of commodities itself, the Levant was also a central point for the transit trade in luxury items from the East.
With the Portuguese activities in the Red Sea and the opening up of the sea route to the East, the Levant suffered some decline, particularly as a region for the transit trade in luxury items such as spices, which had formed an important part of Egypt’s trade. However, the area continued to be of major commercial importance into the eighteenth century and beyond.
From the late sixteenth century, the English became increasingly important in the commerce of the Levant. English trade, consisting largely of the import of woolen cloth, was to a great extent under the control of the English Levant Company in London, which was granted its first charter in 1581. Dominant through the seventeenth century, English trade went into a temporary decline in the eighteenth century, when the Marseilles merchants
became the dominant European traders. The French had established close diplomatic relations with the Ottomans from the early sixteenth century. From 1661, their trade was subject to very firm royal control. The Dutch also came to play a commercial role in the Levant. The interests of these western merchants were represented by their various consuls and ambassadors, and these countries conducted much of their trade through Ottoman middlemen, who liaised among the western merchants, the Ottoman authorities, and the local producers. Such middlemen tended often to be Greeks, Armenians, or Jews.
**RELIGION**
Throughout this period the Levant represented a world of religious plurality in which Christianity (including Greek Orthodox, Maronite, Suryani, Armenian, Catholic, and Protestant), Judaism, and Islam coexisted, and in which Muslims, Jews, and Christians very much shared a common cultural heritage. From the beginning of the seventeenth century, Catholic missionaries began to proselytize among the various eastern-rite churches. Such efforts were often successful and there were many conversions, particularly among the Suryani. The eastern churches were much concerned by the threat such missionary activity posed to their communities, and Christian authorities in Aleppo, for example, appealed to the Ottoman sultan to protect them against this religious encroachment. The Ottoman government responded, backing the local religious establishment against the interloper, less in the interests of religion than from a desire for internal stability, and they issued decrees forbidding the Christian population from changing sects.
In the eighteenth century, religion came to be used as a political lever by the great powers, each seeking to protect the interests of a particular religious community within the Ottoman Empire in an attempt to gain influence over internal Ottoman political affairs. Russia claimed to represent the interests of the Orthodox community, using a clause in the Treaty of Kucuk Kaynarca, concluded between Catherine the Great (ruled 1762–1796) and the Ottoman Empire in 1774, to justify their right to intervene in favor of the Orthodox subjects of the sultan. The French claimed to represent the Catholics, and the British concerned themselves with the Protestants.
From early on, the Holy Land attracted a growing number of pilgrims, both Christian and Muslim, visiting Jerusalem, Mecca, and Medina. Protection of the pilgrimage routes and of the Holy Cities formed an important part of the Ottoman sultan’s image. While the sheer number of pilgrims could create problems for the authorities, temporarily swelling the population and placing additional strain on the resources of the cities, they also brought additional revenue. For example, in Jerusalem, the Christian pilgrims paid a tax to enter the Church of the Holy Sepulchre. Relations between the Christian pilgrims were not always harmonious, reflecting the bitter hostility between the Greek and Latin churches for control of the holy places. In 1755 the Franciscans were driven out of the Holy Sepulchre by the Greek Orthodox. Despite energetic protests from France, the Ottoman authorities supported the Greek Orthodox in this dispute.
This religious plurality was also reflected in the great ethnic mix of the Levant, which was made up of a great assortment of ethnicities. While the islands had populations of Greeks and Latins, as well as Ottoman Muslims, the great trading cities such as Aleppo were populated by a variety of different ethnic groups, for example, Greeks, Armenians, Turks, Latins, Arabs, and Kurds.
The Levant was thus a mixed world, religiously, ethnically, and linguistically, which gave rise to a vibrant cosmopolitan commercial Levantine culture. Although there were trade wars and political upheavals, and divisions between different groups and religions, the overriding feature of this world was one of fluidity and accommodation, not hard-and-fast divisions and impermeable boundaries.
*See also* Mediterranean Basin; Ottoman Empire.
**BIBLIOGRAPHY**
Brummett, Palmira. *Ottoman Seapower and Levantine Diplomacy in the Age of Discovery*. Albany, N.Y., 1994. Interesting presentation of the Ottomans as a naval power.
Goffman, Daniel. *Izmir and the Levantine World, 1550–1650*. Seattle, 1990. Detailed study.
Greene, Molly. *A Shared World: Christians and Muslims in the Early Modern Mediterranean*. Princeton, 2000. Crete in transition from Venetian to Ottoman rule.
LEVELLERS. See English Civil War Radicalism.
LEYDEN, JAN VAN (Jan Beuckelson, John of Leiden; 1509–1536), Dutch religious leader. Jan van Leyden was a prophet who became notorious as “the king of New Jerusalem” in Münster, Westphalia. Very little is known about him, except for the few years in which he rocketed to world fame. His father was a deputy sheriff; his mother hailed from the vicinity of Münster. The city of Leiden in Holland was known for its cloth. When Jan became a tailor’s apprentice, his future looked bright. However, by the time he could make a start, the Netherlands was hit by an economic depression that lasted for more than a decade. Leyden fled Leiden and lived in London for a while, then wandered along the coast of Europe.
In the meantime, the Reformation had begun to spread. Yet it was neither Lutheranism nor Zwinglianism, established by Swiss religious reformer Huldrych Zwingli (1484–1531) in Zürich, that would set the Netherlands ablaze, but Anabaptism. Anabaptism originated in middle Europe and was a refuge for people who had become disenchanted with aspects of the Protestant Reformation. The Anabaptists believed that the End of Time was approaching and that they were to be admitted to God’s chosen few by means of adult, not infant, baptism. It was Melchior Hofmann (c. 1495–1543/44), a German prophet, who in 1532 brought the new faith to the Dutch border. The Last Judgment, he prophesied, was to be held in Strasbourg, the city which God had chosen for his New Jerusalem (Revelations, 21:9). The Dutch responded enthusiastically and embraced Hofmann as their own prophet. The authorities, however, considered Anabaptism a dangerous heresy and sought to root it out.
Up to this time Leyden was not an Anabaptist. He had settled down after his journeys and opened a tavern in Leiden called The Three Herrings. There he performed in his own plays and satirized monks and priests. He had also been to Münster to hear a famous preacher, and even preached himself, but once back in Leiden he returned to his cheery plays. This all changed suddenly when Jan Matthijsz, the new prophet of the Dutch Anabaptists, knocked at his door. Leyden was rebaptized on 13 January 1534 and was sent by Matthijsz to baptize and organize believers in the new Israel at Münster.
The idea of going to Münster was probably Leyden’s. None of the Dutch followers had ever seen Strasbourg, and after Hofman’s first prediction about the date of Christ’s Second Coming (end of 1533) did not materialize, they felt that since Hofman was wrong about the time, he probably was wrong about the location, too. However, there was no doubt about the reality of the approaching End of Time, so the Dutch followers began to look for cities themselves. Leyden was the first to arrive at Münster to prepare the ground for Christ’s Second Coming. At this task he was very successful; in a matter of weeks he built up a huge following.
Soon it was known to Anabaptists everywhere, and especially in Holland, that “God’s own people” were in Münster. On a snowy morning in February 1534 the Anabaptists, led by Matthijsz, drove out many of the Münsterites in order to make room for the thousands of newcomers. Ownership of private property and money were abolished and churches and monasteries destroyed. The Anabaptists were in a hurry to sanctify themselves because Jan Matthijsz had predicted the Apocalypse would occur at Easter. On that day he left the city unarmed, expecting the opposing forces to be crushed by the sword of the Lord. Instead, he was butchered before the eyes of his believers by the soldiers of the bishop of Münster, Franz von Waldeck. Leyden was Matthijsz’s designated successor.
Leyden was now faced with a very difficult task. He had to try to restore the loss of faith among the people as well as fight Waldeck’s soldiers. It was a race against the clock. The bishop grew stronger every day, but Leyden hoped his people would grow in holiness even more quickly, so that Christ would call the Last Judgment before the soldiers could
conquer the city. To help achieve this, he invented all kinds of new measures, for one of which he became notorious: the “new marriage,” or polygamy, for which Leyden has been derided as a disciple of lust ever since. But although he did not by any means eschew the pleasures of the flesh, his new institution of polygamy had a holy end: Of the 8,000 inhabitants of the New Jerusalem, 6,000 were female, and most people were without partners, many of them for more than six months by then. If he could not make monks out of his Israelites, he would make them polygamists, just like many of the Hebrew patriarchs of the Old Testament.
Jan had many wives. As a “second David,” after becoming king, he took more. Several times a week he preached in the marketplace and administered justice. During the course of his reign, after keeping order became more difficult, death penalties became more frequent. But even under these circumstances, it was with his leadership that the city beat off two of Waldeck’s attacks. When famine came, Leyden tried to mobilize support from Anabaptists in the Netherlands, but to no avail. On 12 June, 1535, the city fell by the act of a traitor. Leyden had to wait for half a year for his death, which came after prolonged torture. He and two of his companions were put in iron cages and hung high in the tower of the Lambertus Church of Münster. The cages still hang there.
See also Anabaptism; Münster; Reformation, Protestant; Zwingli, Huldrych.
BIBLIOGRAPHY
Cohn, Norman. *The Pursuit of the Millennium: Revolutionary Millenarians and Mystical Anarchists of the Middle Ages*. London, 1970.
Haude, Sigrun. *In the Shadow of “Savage Wolves”: Anabaptist Münster and the German Reformation during the 1530s*. Boston, 2000.
Panhuysen, Luc. *De Beloofde Stad*. Amsterdam, 2000.
Luc Panhuysen
L’HÔPITAL, MICHEL DE (1507–1573), French lawyer and statesman. Michel de L’Hôpital, the future chancellor of France and architect of religious toleration, was the son of a physician who served the dukes of Bourbon. L’Hôpital was destined for a legal career, but in addition to studying law he had a humanist education at a number of Italian and French universities. His religious orthodoxy in his early life is attested by his marriage in 1537 to Marie Morin, daughter of Jean Morin, a Parisian royal official and fierce opponent of heresy. Councillor at the Parlement of Paris in 1544, president of the Chambre des Comptes, and councillor of the Grand Conseil, his career was greatly aided by aristocratic patronage. His father had ended his days in the service of Renée de Bourbon, wife of the duke of Lorraine, and it was through this route that Michel moved into the orbit of the Guise, the most powerful princely family in France, and became the most famous product of the irenic intellectual circle that revolved around Charles of Guise, cardinal of Lorraine. Lorraine procured for his client the office of *maître des requêtes* in 1553 and served as godparent to L’Hôpital’s first grandson in 1558.
L’Hôpital’s Christian humanist pacifism did not prevent him from becoming an apologist for the Guise war policy in the 1550s. When Henry II died in July 1559 he was succeeded by his sickly fifteen-year-old son, Francis II, who was dominated by his wife Mary Stuart and his Guise uncles. The new regime continued the policy of religious persecution, but the weakness of royal authority and the opposition of the princes of the blood gave encouragement to Calvinism, which was expanding rapidly. The regime was badly shaken by a bloody failed Protestant coup at Amboise in March 1560, following which the cardinal of Lorraine began to rethink the policy of repression. Catherine de Médicis, the queen mother, now began to play a greater role in the shaping of policy. When Olivier, the chancellor of France, died on 28 March 1560, the cardinal procured the appointment of his protégé L’Hôpital.
The new policy formulated by Lorraine, Catherine, and L’Hôpital aimed to promote civil peace by disentangling religious discord from sedition, making a distinction between heresy, which was to be treated more leniently, and rebellion. At the opening of the Estates-General at Orléans in December 1560 L’Hôpital spoke forcefully in favor of religious concord. Following the death of Francis II, the disgrace of the Guise, and the establishment of a regency under Catherine, L’Hôpital’s intellectual authority grew, and the policy of compromise it
represented was pursued more systematically. Until the end of 1561 neither L’Hôpital nor Catherine believed that toleration and the existence of two religions in a state was possible. The Colloquy of Poissy, which met in August 1561, enshrined their belief that peace could only be achieved by reaching doctrinal concord between Catholics and Protestants. L’Hôpital’s move toward toleration was a realistic response to the failure of Poissy and the divisive political and religious situation facing the monarchy. The Edict of Toleration of January 1562 and the Peace of Amboise of March 1563, which followed the First War of Religion, were novel legal attempts to solve the crisis of religious schism by establishing limited rights of worship for Protestant communities.
By the end of 1563 L’Hôpital and his moderate allies had come to dominate the royal council. He combated religious conservatives in the parlements who opposed his religious policy, and he clashed openly in the council with his former patron, Lorraine, who returned from the Council of Trent opposed to his former policies. Between 1563 and 1567 L’Hôpital was concerned with the reform of the royal judiciary and administration, which had suffered from the growth of venal office-holding and the collapse of royal authority. His reforms were enacted in the Ordonnance of Moulins (1566). Catherine de Médicis had been adopting a more intransigent position toward the Protestants for a number of years, and the outbreak of the brief second civil war in 1568 and the breakdown of L’Hôpital’s relations with Lorraine led to his removal from the council in June 1568. At the outbreak of the third civil war in September he was forced to give up the seals, and he retired to his residence at Vignay, dying in 1573. Accused by his opponents of being a secret heretic, L’Hôpital was above all a faithful servant of the crown. Realizing that doctrinal reconciliation was impossible, he saw that toleration was the only means to achieve peace and was prescient in seeing Ultra-Catholicism as the main threat to monarchical power.
See also Catherine de Médicis; Guise Family; Toleration; Wars of Religion, French.
BIBLIOGRAPHY
Kim, Seong-Hak. “The Chancellor’s Crusade: Michel de L’Hôpital and the Parlement of Paris.” *French History* 7 (1993): 1–29.
———. “Dieu nous garde la messe du chancelier: The Religious Belief and Political Opinion of Michel de L’Hôpital.” *Sixteenth Century Journal* 24 (1993): 595–620.
———. *Michel de L’Hôpital: the Vision of a Reformist Chancellor during the French Religious Wars*. Kirksville, Mo., 1997.
Nugent, Donald. *Ecumenism in the Age of Reformation: The Colloquy of Poissy*. Cambridge, Mass., 1974.
Salmon, J. H. M. *Society in Crisis: France in the Sixteenth Century*. London, 1975. See the summary of L’Hôpital’s policies on pp. 51–62.
Sutherland, N. M. *The Massacre of Saint Bartholomew and the European Conflict, 1559–1572*. London, 1973.
STUART CARROLL
LIBERALISM, ECONOMIC. *Economic liberalism* is an anachronistic but useful term to describe theories propounded in the seventeenth and eighteenth centuries. The term was coined by nineteenth-century thinkers to describe their own theories; rather than “economics,” seventeenth- and eighteenth-century thinkers considered their inquiries “political economy,” and those who defended the rights and freedoms of individuals over and against the state would not bear the appellation of liberals until the 1820s. Nevertheless, “economic liberalism” usefully describes theories of the seventeenth and eighteenth centuries that defended the individual liberty to buy, sell, work, employ, and trade without restriction or governmental interference. The general tenor of economic liberalism is succinctly captured in the French phrase of the era, *laissez-faire*, or ‘leave people alone’. This theory maintained that people should be left alone because their self-interested activities in the market were self-regulating, guided by natural economic laws that were far more conducive to social well-being than the directives of state authorities. Thus, economic liberalism was the doctrine typified by seventeenth-century English, French, and Dutch pamphleteers who were critical of state restraints on trade and regulation of interests rates; by the treatises of eighteenth-century French *économistes* (retrospectively designated Physiocrats); and best exemphasized by Adam Smith’s 1776 *Inquiry into the Nature and Causes of the Wealth of Nations*.
**MERCANTILISM BACKGROUND**
Economic liberalism can be seen as a response to the wide-ranging policies of European governments from the sixteenth century onward to shape economic activity for state purposes. Such state policies are designated by historians as mercantilism. Economic liberalism manifested itself in systematic criticism of such state interference for violating natural economic laws to the detriment of society. Economic liberalism arose after a wide variety of authors who had spent decades speculating about economic processes articulated natural economic laws that produced an automatic self-regulation of economic activity most conducive to social well-being.
The enormous fiscal demands of state-building in the modern era led various European crowns in relentless efforts for new revenues. Taxation was increased and expanded, and the sale of exclusive monopolies for the production of goods and trade, domestic and foreign, also brought new revenues. Thus, in France, the seventeenth-century minister Jean-Baptiste Colbert (1619–1683) transformed the medieval system of producers’ guilds into state-licensed monopolies in goods ranging from salt to lace. In England, trade monopolies were granted for trade with Russia (the Muscovy Company, 1558), the Middle East (the Levant Company, 1592), and India and southeast Asia (the East India Company, 1600). By the seventeenth century in Europe, almost any foreign goods people used were likely imported by a trade monopoly; any domestic goods, by someone operating under a monopoly patent.
European crowns also engaged in currency debasement, that is, adulterating the silver coinage with a base metal and pocketing the difference between the original silver content of the coinage and its nominal value. This had significant consequences in terms of domestic price increases and distortions of rents and real wages. It also disrupted foreign exchange rates, interest rates, and international flows of gold and silver (specie). To ameliorate such consequences, governments undertook the regulation of wages, the prices of primary consumer goods, and interest rates. Since currency debasement created incentives for holders of specie to send it out of the country (to markets where purchasing power was determined by specie value, rather than nominal values), governments were also greatly concerned about the loss of specie within their borders. The power of any state depended on its possession of specie, which allowed it to purchase mercenary troops and supplies abroad for the military struggles of European power politics. Although colonial mines served as the key source of specie for Spain, most other European powers could only obtain specie through international trade. It became an article of faith that state power was maximized by policies that produced a favorable balance of trade, that is, an influx of foreign specie in payment for domestic exports that was greater than the specie outflows to pay for foreign imports. To restrict outflows of specie, heavy import taxes restrained purchases of foreign goods and also produced revenue. To facilitate exports, and therefore specie inflows, government policy promoted the production of high-value domestic manufactures, protected by high tariffs or even prohibitions on imports of foreign manufactures.
The above mercantilist state-building objectives introduced new perspectives on economic activity. Because national power was promoted by influx of specie, international trade was seen in a new, positive light. Medieval views of merchants as exploitative were supplanted by a view of traders as national assets. From this perspective, domestic trade only transferred wealth from one group to another, but foreign trade brought in new treasure from abroad. Nevertheless, many believed that the selfish interests of merchants might run contrary to the interests of the state, and for that reason, trade needed strict regulation and the guiding hand of authorities.
**MERCANTILISM AND THE DEVELOPMENT OF POLITICAL ECONOMY**
By the seventeenth century, the growing role of government in control of the economy prompted extensive commentary on public affairs and public policies related to usury, prices, and the state of international trade. Such commentators, now designated mercantilists, were not mere spokesmen for the system of the same name. They frequently wrote to get the government to pursue some policy that would benefit them (for example, reduction of interest rates or prohibition of imports by competitors), but there was a wide variety of views and motives in their work, and many criticisms of government policy. Over time, the proliferation of such works resulted in a general understanding of “the economy” as a linkage of prices, money flows, interest rates, and international trade, which could be subjected to and explained by analytical theories. The analytical tools and theories developed by these writers were not terribly sophisticated, nor universally accepted or applied in anything like a systematic manner. Yet from such efforts to comprehend the intricate network of exchanges, prices, and behavior of human beings as producers and consumers, a new science emerged called political economy. Most authors now described as mercantilists showed a clear understanding, for example, of sophisticated ideas such as international trade representing a sort of barter mediated by money, and that there can be no export customers if nations do not also purchase imports from those to whom they hope to sell. Even though most recognized the need for regulated trade, virtually none proposed economic self-sufficiency. Similarly, most understood that the merchants could not simply set prices for exports; rather, prices were determined by the actions of all involved “in the common market of the world.”
A pamphlet dispute in the 1620s between two early English political economists, Gerald de Maynes (1586–1641), an official of the Royal Mint, and Edward Misselden (1608–1654), a merchant, reveals the general level of analysis. Maynes was alarmed at specie outflows from England, and he accused merchants involved in the exchange of foreign currency of being the cause of the kingdom’s loss of bullion. Since the merchants’ selfish desire for gain, amounting to usury, resulted in specie outflow, Maynes proposed government-run currency exchange at “fair rates” to keep specie in the country. Misselden, on the other hand, denied Maynes’s simplistic attribution of the problem of specie outflows to the malevolence of merchants. Specie flows, he explained, followed general levels of trade; if there was more specie flowing out of the country, it was because the balance of trade was not in England’s favor. Since England imported more than it exported, specie was lost to the nation. The true solution to the problem, Misselden urged, was to restore a favorable balance of trade.
Misselden’s use of the balance of trade concept illustrates a central feature of mercantilist economic theory. A favorable balance of trade provided specie for national strength, but it was also desired because plenty of money at home would stimulate domestic trade and employment. Further, since interest rates were determined by the supply of money, plenty of money would reduce interest rates and stimulate investment. Thus, the English merchant Thomas Mun’s tract (written 1623; published 1664) ridiculed the idea that an exchange board could simply decree that specie stay in the country, as exchange rates were determined by supply and demand. He even expressed suspicion about any policy’s capacity to maintain plenty of specie in the country: since prices were determined by the quantity of money, more specie would invariably raise prices, and thereby diminish exports. Still, Mun argued that policies restricting shipping to English carriers, sumptuary laws to limit luxury imports, and state support of exports (such as herring), would promote, as his title declared, *England’s Treasure by Forraigne Trade, or the Balance of Our Forraigne Trade Is the Rule of Our Treasure*.
**POLITICAL ECONOMY AND THE IDEA OF ECONOMIC LAW**
The seventeenth century was a period of great intellectual ferment in which the techniques of the new natural sciences, exemplified by Galileo Galilei (1564–1642) and Isaac Newton (1642–1727), gripped the imaginations of thinkers such as Francis Bacon (1561–1626) and René Descartes (1596–1650), who boldly proclaimed that the new techniques of scientific analysis would transform the whole of human thought. Such aspirations fed the ambitions of those who sought to place human action within the descriptive bounds of similar natural laws. The notion of economic law developed out of a century’s observation of the regularity of markets, of rising prices producing increased supplies, and of gluts in the market producing falling prices. Many writers believed that the cause of such regularities was economic actors responding to opportunities for personal gain. Thus, the seventeenth century saw a new regard for self-interest. On the one hand, self-interest came to be seen as a more rational, less dangerous motivation for human behavior than the passions. On the other hand, because self-interest involved rational calculation, some believed that acts of self-interest demonstrated the same kinds of regularity in human nature as was found in
other scientific laws in the natural realm. The whole of human activity in buying, growing, selling, spending, and the satisfaction of human wants, without anyone’s directing or even intending the result, could be explained as people pursuing their interests.
In his *Discourse of Trade* (1690) English physician Nicholas Barbon asserted that, as with all things necessary to life, everything that produced delight and pleasure, along with peace and economic development, was the product of trade, the consequence of people acting in the market for their own benefit. Such actions resulted in the nation being “well fed, clothed, and lodged” while “the richer sort are furnished with all things to promote the ease, pleasure, & pomp of life.”
**SEVENTEENTH-CENTURY ENGLISH ECONOMIC LIBERALS**
The idea of natural economic law lay at the heart of the economic liberal critique of mercantilism. Perhaps no name is more closely associated with the concept of natural law than that of John Locke (1632–1704), the English philosopher widely accorded status as a founder of political liberalism. Although Locke’s writings are concerned with both political and economic liberalism, proponents of these two fields were often at odds with one another. Locke’s economic writings chiefly dealt with money and interest rates, and in both cases he utilized natural economic law to criticize government interference. In 1692, Locke published *Some Considerations of the Consequences of the Lowering of Interest and Raising the Value of Money* to oppose a legislative reduction of interest from 6 percent to 4 percent along with a scheme to reduce the silver content of England’s coinage. In the case of interest rate reductions, Locke insisted that there was a “natural rate” that was the product of “the present state of trade, money, and debts,” in other words, by the supply and demand for funds that could be loaned. Locke denied that interest rates could be regulated by law. The law would be flouted, as “it will be impossible by any contrivance of the law, to hinder men . . . to purchase money to be lent to them what rate soever their occasions shall make it necessary for them to have it.” But all legal lending would also be reduced, since the interest reduction would reduce the supply of funds for loans, and guarantee that only the safest loans would be made. Thus, rather than making loans more available, artificial reductions of the rate of interest decreased the supply of credit. The idea of legislating interest rates, Locke says, is as absurd as legislating rents: in both cases “things must be left to find their own price.” In the case of the recoinage, Locke argued that the value of a coin was determined by its silver content, and “the opinion of men consenting to it,” rather than the denomination stamped on it by the mint. Since contracts and rents had been entered into based upon coins having a given silver content, to change the silver content of the coins would amount to fraud. The proponents of the scheme may call debased coins shillings, but “one may as rationally hope to lengthen a foot by dividing it into fifteen parts instead of twelve and calling them inches.”
Sir Dudley North (1641–1691) was a zealous partisan of Charles II (ruled 1660–1685) and James II (ruled 1685–1688) who led the legal persecution of liberal Whigs for the crown, but he was also an economic liberal. His *Discourses upon Trade* (1692), edited and published posthumously by his brother Roger, was suffused with the “principles of the new philosophy,” the “mechanical” science that alone provides “clear and evident truths.” Principles derived from scientific reasoning proved that “to force men to deal in any prescribed manner, may profit such as happen to serve them; but the publick gains not, because it is taking from one subject to give to another.” North, too, contested the proposal to legislate a lower rate of interest, and, like Locke, argued that the natural rate of interest was determined by the supply and demand for loans. Indeed, North observed, the reason interest rates were lower in the Netherlands—which had no interest regulations—was that the trading wealth of the Dutch meant that more money was available for loans. North argued that artificial reductions of the rate of interest would reduce the sums available for loans since “it probably will keep some money from coming abroad into trade; whereas on the contrary, high interest certainly brings it out.” Nor was there any need for the government to increase the money supply by means of the recoinage that Locke had contested; in North’s view, money, like any commodity, was subject to the automatic equilibrating processes of the market. As North explained, the “ebbing and flowing of money, supplies and accommodates itself, without any aids from politicians... when money is scarce, bullion is coyned, when bullion is scarce, money is melted.” People looked in vain to the government to produce prosperity, North averred, “for no people ever yet grew rich by policies; but it is peace, industry, and freedom that brings trade and wealth, and nothing else.”
Another self-conscious crafter of a new human science was the physician-politician Sir William Petty (1623–1687) who, taking a cue from Francis Bacon, sought to understand human society as a form of anatomy. (Petty also served as secretary to Thomas Hobbes, another great social anatomist.) Instead of the dissection of nerves and tissues, the scientific investigator of human society had to master quantitative data on population, tax revenues, trade and production, and all manner of social statistics. Petty called his program “political arithmetic,” and, while his general view of economic policy followed predictable mercantilist lines in viewing national wealth as contingent on its share of the (fixed) world trade, he also argued that government policy had limited capacity to directly control economic events because of the immutable operation of natural economic laws. Thus he attacked legislative reduction of the rate of interest as one example of “the variety and fruitlessness of making Civil Positive Laws against the Laws of Nature.”
Although Petty’s contributions to social statistics and economics are today judged negligible, he had followers who pursued his program of attempting to discern and articulate economic laws. One disciple, the politician and civil servant Charles Davenant (1656–1714), illustrates how economic law came to undermine the old sureties of beneficent government direction of the economy. In the 1690s, the English East India Company began to import large quantities of cheap printed Indian cotton goods. This produced a storm of protest from writers who attacked the company for undermining the domestic production of English woolens and silks. Davenant’s defense of the company (he was at this time an employee), called *Essay on the East India Trade* (1696), argued that economic regulation for the protection of a single industry ignored the systemic nature of economic life, in which all trades were linked, and injurious policies could spread their effects far beyond their intended purpose. Although he conceded that Indian imports injured English woolen manufactures, Davenant merely took this as evidence that they were akin to hothouse flowers, unable to survive without artificial aids. To force trade in this manner brought no “natural profit” and was ultimately injurious to the public. Woolen manufactures were injured only because the public benefited more from cheap Indian cottons than from woolen garments dependent upon protection for a market, “Trade is in its nature free, finds its own channel,” he wrote, “and best directs its own course; and all laws to give it rules and directions, and to limit and circumscribe it, may serve the particular ends of private men, but are seldom advantageous to the public.”
Five years later, Henry Martyn’s *Considerations upon the East India Trade* (1701) took up the same matter and attacked the very idea of the legal monopoly of the East India Company. Cheap Indian cloth, Martyn wrote, was just one of many benefits, including from spices, silks, and wine, which foreign trade produced. While the public benefited from Indian imports, it would benefit still more, Martyn argued, if the trade were open to all, as competition between merchants would force prices and transportation costs to the minimum. Martyn also reasoned that if Indian goods could be purchased more cheaply than those produced at home, English cloth manufactures simply wasted labor. But if competition were unleashed, it might stimulate inventiveness of skill and machinery to reduce the costs of English cloth below India’s. Martyn’s central contention was that free competition of self-interested actors in the marketplace benefits the public by producing more at less cost.
**DUTCH REPUBLICANISM AND ECONOMIC LIBERALISM**
Pieter de la Court (1618–1685), polemicist for the republicans fighting the establishment of a Dutch monarchy by the House of Orange, published a very liberal tract that fused political and economic liberalism. *Political Maxims of the State of Holland* (*Aanwysing der heilsame politike Gronden en Maximen van de Republike van Holland en West-Vriesland*, 1662) attacked monarchical principles and linked the cause of crowns with standing armies, clerical mystification, and the destruction of urban commercial society. Commerce, he wrote, by “common interest wonderfully linked together” all the people of the Netherlands “from the least to the
greatest” in “excellent and laudable harmony.” He pleaded for religious toleration to promote Dutch economic growth since “those that deal in manufactures, fishing, traffic [and] shipping” would not come to live in a “country where they are not permitted to serve and worship God outwardly, after such a manner as they see fit.” Domestic markets were integral to the prosperity of Dutch trade and shipping, he argued, and therefore he defended occupational freedom, “the liberty of gaining a livelihood without any dear-bought city freedom,” since no immigrants would come to the Netherlands “if they should have no freedom of chusing and practicing such honest means of livelihood as they think best for their subsistence.” Immigrants would not depress wages of native inhabitants; on the contrary, they would “lay out their skill and estate in devising new fisheries, manufactures, traffick and navigation.” Immigrants were essential in a commercial society to take up those enterprises—“in Amsterdam alone there are yearly three hundred abandoned”—whose native proprietors “finding the gain uncertain, and the charge great, are apt to relinquish it.” De la Court attacked monopolies and guild restrictions for violating people’s “natural liberty of seeking their livelihoods.” Trade should be open to “the industrious and ingenious,” for monopolies—“dull, slow, unactive, and less inquisitive”—were unable to exploit even opportunities guaranteed them by law. The whaling monopoly, for example, proved unprofitable; but under competition, “everyone equips their vessel at the cheapest rate, follow[s] their fishing diligently, and manage all carefully” and whaling became profitable with fifteen times more ships involved in the industry. Monopoly did nothing more than cause the Dutch to be “bereft of the freedom of buying their necessaries at the cheapest rate they can.”
ECONOMIC LIBERALISM IN FRANCE
In late seventeenth-century France, a civil servant, Pierre la Pesant, sieur de Boisguillebert (1646–1714) argued for economic laissez-faire with a sophistication that earned the respect of the great twentieth-century economist Joseph Schumpeter. In his chief work, *A Detailed Account of France* (*Le detail de la France*, 1695), Boisguillebert dismissed the mercantilist equation of money with wealth, contending that wealth lay in goods, rather than coin. Social harmony and well-being were the products of individuals acting in their self-interested pursuit of happiness. The transactions of self-interested actors in a market created order and peace, for “the pure desire of profit will be the soul of every market for buyer and seller alike; and it is with the aid of that equilibrium or balance that each partner to the transaction is equally required to listen to reason, and submit to it.” The natural order produced by laissez-faire, however, could be disturbed: “nature alone can introduce that order and maintain the peace. Any other authority spoils everything by trying to interfere, no matter how well intentioned it may be.” Boisguillebert claimed that good intentions gone awry were behind the French crown’s efforts to diminish hunger by controlling grain prices, since price controls merely diminished cultivation of grain and exacerbated shortages. If the government would merely lift its controls on prices and grain imports, he argued, food would soon be abundant.
Boisguillebert’s concern with food supplies highlights one chief difference between French and English political economy in the seventeenth and eighteenth centuries: the French focus on agriculture, rather than international trade. Liberal critics saw the persistence of a feudal land tenure system in France as responsible for backwardness in agriculture, especially in comparison with her neighbors, England and the Netherlands. Chief among these critics was the circle gathered around the physician François Quesnay (1694–1774). Quesnay’s allies, such as Mercier de la Riviere (1720–1793) and Pierre Samuel Du Pont de Nemours (1739–1817), called themselves *les économistes*, but are now designated Physiocrats. The Physiocrats popularized the slogan, “laissez-faire, laissez passer,” as the essence of economic wisdom. At the heart of physiocratic doctrine was the conviction that agriculture alone was the source of all wealth, since only it provided surplus, or net product. Therefore, all restrictions on agriculture, such as price controls and barriers to internal and foreign trade, undermined national wealth. Quesnay’s famous *Tableau économique* (1759) drew upon insights developed by an Irish banker living in Paris, Richard Cantillon (d. 1734) in his *Essai sur la nature du commerce*, which explained the circular flow of income produced by markets. Quesnay’s intricate chart purported to demonstrate the circulation of net product
throughout the entire society, which was as perpetual and self-regulating as the circulation of blood. In the eyes of the Physiocrats, the countless restrictions on free commerce imposed by the government were as socially beneficial as blood clots in human circulation.
One of Quesnay’s associates, Vincent de Gournay (1712–1759) a wealthy merchant and royal administrator, spent years in the Netherlands and admired de la Courts’s *Maxims*. He also commended Cantillon’s work to Quesnay, and although he never wrote economic tracts, he had a profound influence as tutor and advisor to Finance Minister Anne-Robert-Jacques Turgot (1727–1781). Turgot, in a eulogy to Gournay, praised him for grasping the fundamental principle of economic policy, which was that every individual knew his or her own interest best, and that with individuals left free to pursue their interests, “it would be impossible for the aggregate individual interests not to concur with the general interest.” Competition in the market, which was the consequence of the pursuit of interest, produced innovation in manufacturing, and the lowest prices for consumers. Rather than the plethora of regulations covering every aspect of economic life, or monopoly privileges, Gournay favored the “natural liberty” to buy and sell as the guarantor of production, and of consumers obtaining goods at the best price. Short of providing justice, and bestowing honors on inventors and artists, government best served the economy by removing obstacles it had erected.
Turgot’s turbulent years as finance minister to Louis XVI (ruled 1774–1792) saw an effort to create the system of freedom articulated by French liberals over previous decades. His chief objective was to remove all barriers to agricultural and international trade. The farmer was “the only one who suffers from monopoly as buyer and at the same time as seller. There is only he who cannot buy freely from foreigners the things which he has need; there is only he who cannot sell to foreigners the commodity he produces.” Domestic and international laissez-faire, a “general liberty of buying as selling is . . . the only means to insure on one side to the seller a price sufficient to encourage production; on the other side to the consumer the best merchandise at the lowest price.” Turgot’s management of the economy amounted to not interfering with natural economic law, because “in order to direct it without deranging it, and without injuring ourselves, it would be necessary for us to be able to follow all the changes in the needs, the interests, and the industry of mankind . . . Even if we had in all these particulars that mass of knowledge impossible to be gathered, the result would only be to let things go precisely as they would have gone of themselves, by a simple action of men’s interests, influenced by the balance of a free competition.”
**ADAM SMITH’S *WEALTH OF NATIONS***
Adam Smith (1723–1791), professor of moral philosophy at the University of Glasgow, published his great contribution to economic liberalism, *Inquiry into the Nature and Causes of the Wealth of Nations* in 1776, a significant date in the history of political liberalism. Deeply affected by the example of Isaac Newton’s scientific system, which explained the orbits of the planets from the operation of basic laws of motion and mass, Smith sought to explicate how basic economic laws produced the regular operation of markets he called “the system of natural liberty.” As the title of the book intimates, Smith’s central concern was with economic development and growth, the means to secure “universal opulence which extends itself to the lowest ranks of the people.” Opulence was a matter of the material well-being of the people, which consisted of cheap and plentiful goods. The key was productivity, the secret of which Smith identified as the “division of labor.” Since the degree of specialization was determined by the extent of the market, the more extensive the market, the more productive human activity would be and the wealthier people would become. Smith was scornful of all the policies that were designed over centuries to secure a favorable balance of trade. Trade itself reflects the fact that different regions, different countries, have certain “natural advantages” in producing goods; and so if “a foreign country can supply us with a commodity cheaper than we ourselves can make it, better buy it of them.”
Just as Newton described the motion of the heavens in terms of simple concepts of mass, motion, and the force of gravity, Smith’s “simple system” operated from little more than self-interest, competition, and enforcement of basic rules of justice. Smith’s previous book, *The Theory of Moral*
Sentiments (1759), explained how people’s desire to be loved led them to conform to moral rules, but this principle, so effective at the level of family, friends, and neighbors, was too weak to account for relations between strangers. Rather, the extensive transactions that characterized markets were based on mutual gains from trade. “It is not from the benevolence of the butcher, the brewer, or the baker that we expect our dinner, but from their regard to their own interest.” Because the public interest is for people to live in opulence, individuals led by self-interest to employ their labor and capital to make the society more productive, and satisfy human wants, are “led by an invisible hand to promote an end which was no part of [their] intention.” Smith was acutely aware of the dangers presented by self-interest, however: “People of the same trade seldom meet together, even for merriment and diversion, but the conversation ends in a conspiracy against the public, or in some contrivance to raise prices.” It was for this reason that the force of competition was vital to the operation of his system. Contrivances to replace “the natural price, or the price of free competition” ranging from outright monopoly privileges, to bounties, to restrictive tariffs, to restrictions on free movement of labor—there were myriad ways governments could protect some person or group against competition, and thus allow private interest to take precedence over the public good. The elimination of all schemes to insulate people against competition was vital. “All systems either of preference or restraint, therefore, being completely taken away, the obvious and simple system of natural liberty establishes itself of its own accord. Every man, as long as he does not violate the laws of justice, is left perfectly free to pursue his own interest his own way, and to bring both his industry and capital into competition with any other man, or order of men.”
Economic liberalism as an influence on seventeenth- and eighteenth-century policy was limited at best. Turgot’s reforms were abandoned, and Smith’s myriad recommendations for overhauling Britain’s policies, while admired by prime ministers, were too radical to be undertaken in an age of war and revolution. In the nineteenth century economic liberalism acquired not only its name, but the status of scientific orthodoxy, with the establishment of professorships in the new academic discipline of political economy in universities throughout Europe. The nineteenth century also saw the implementation of such iconic economic liberal policies as free trade in Britain.
See also Bacon, Francis; Capitalism; Democracy; Hobbes, Thomas; Locke, John; Mercantilism; Money and Coinage; Petty, William; Physiocrats and Physiocracy; Smith, Adam.
Bibliography
Primary Sources
All citations from primary sources in this article are from microfilms of the catalog of the Kress-Goldsmith Library of Economic Literature, available at many large research libraries.
Barbon, Nicholas. Discourse of Trade. London, 1690.
Boisguillebert, Pierre de Pesant. Le detail de la France, sous le regne present. n.p., 1695.
Bramsted, E. K., and K. J. Melhuish, eds. Western Liberalism: A History in Documents from Locke to Croce. London and New York, 1978. Has selections from Turgot and Smith, especially valuable for nineteenth-century economic liberalism.
Cantillon, Richard. Essay on the General Nature of Commerce. Edited and translated by Henry Higgs. New York, 1931. Translation of 1757 Essai sur la nature du commerce en general.
Clark, Henry C. ed. Commerce, Culture, and Liberty: Readings on Capitalism before Adam Smith. Indianapolis, 2003. A superb collection of previously inaccessible writings, including most cited in this article.
Court, Pieter de la. Aanwysing der heilsame politike Gronden en Maximens van de Republike van Holland en West-Vriesland. Leiden, 1669. English translation, Political Maxims of the State of Holland. London, 1702.
Davenant, Charles. Essay on the East India Trade. London, 1696.
Locke, John. Some Considerations of the Consequences of the Lowering of Interest and Raising the Value of Money. London, 1692.
Martyn, Henry. Considerations on the East India Trade. London, 1701.
Meek, Ronald. The Economics of Physiocracy: Essays and Translations. Cambridge, Mass., 1963. Translated selections from Quesnay, DuPont, and others.
Mun, Thomas. England’s Treasure by Forraigne Trade. London, 1664.
North, Sir Dudley. Discourses upon Trade. London, 1692.
Smith, Adam. Inquiry into the Nature and Causes of the Wealth of Nations. Edited by Edwin Cannan. New York, 1937. (1776) Many editions. Cannan’s marginal annotations make it ideal for students.
LIBERTINISM. See Atheism.
LIBERTY. While it possessed important connotations in philosophical and theological discourses, the term liberty (and its frequent cognate, freedom) conveyed primarily social and political overtones in early modern Europe. Liberty formed a central organizing principle around which myriad transformations of communal life occurred, culminating in the program of the French Revolutionaries, who placed the demand for civil and legal freedom at the forefront of their movement.
Early modern Europe inherited several different ideas of liberty that were revised, refined, and sometimes rejected entirely. The ancient republicans of Rome prized liberty as a collective good, which betokened both freedom from foreign domination and the absence of internal oppression in the form of a king. Liberty was thus connected with civic self-rule of a populist (if not quite popular) character. This republican ideal was widely disseminated among, and often endorsed by, early modern thinkers.
Christianity contributed the doctrines of freedom of the will and evangelical liberty that added a personal dimension to human freedom. Created in God’s image, humanity possessed a capacity to choose between good and evil and hence to accept or to turn away from the divine will. Of course, the objects between which one chooses are not of equal worth. Rejecting God by preferring one’s own desires yields dissatisfaction and unhappiness in one’s earthly life as well as the misery of eternal damnation. By contrast, submitting to God properly expresses one’s divinely granted freedom; it is the correct use of the will with which human beings have been endowed. At the same time, the possibility of freely renouncing self-will in favor of embracing God’s law—in sum, a conversional experience—remains always open up to the very moment of one’s death.
Finally, medieval Europe added a legal dimension to liberty that, in a sense, synthesized the public and the private meanings conveyed by republicanism and Christianity respectively. Under the terms of feudal law, the person designated to hold a prerogative or privilege (such as the ability to exercise forms of justice or to collect certain types of revenues) was said to possess “a liberty.” Feudal liberty, in this sense, was an exclusive, independent, and nonusurpable right to the application of power over people and property, granted under fixed conditions from a superior who was deemed to be its ultimate source and guarantor. In short, liberty reflected a sphere of authority within which no one could directly intercede or interfere with the exercise of specified rights. Yet it was not wholly private. The possessor of a liberty could protect it from erosion by appeal for assistance to the lord who granted it. Someone who claimed a liberty could also be charged with its misapplication by those subjected to it, and could even be challenged to demonstrate the warrant on the basis of which it was exercised.
RELIGION
Although these inherited concepts of liberty continued to circulate in early modern Europe, the language of freedom proliferated and diversified in the context of the vast cultural changes that marked the period. Crucial to this development was religion. The Reformation brought not only a challenge in practice to the unity of the Christian Church, but also transformation of important theological categories. Martin Luther (1483–1546) insisted upon the unique presence of God alone in the conscience of believers, with the implication that the faithful Christian is responsible directly and immediately to God. The consequence of this teaching—while perhaps recognized only fleetingly by Luther and his followers—was that salvation did not depend upon submission to the authority of the priesthood or the church. Nor did it fall to the secular power, to whom pertained the control of bodies and behavior, to discipline the souls of subjects. Thus, whether intentionally or not, Luther opened the door to claims of public respect for “liberty of conscience,” and eventually freedom of worship.
In the generation after Luther, inferences about freedom of religion were drawn out by reforming thinkers. Sébastien Castellion (1515–1563) published pseudonymously a treatise entitled *De Haereticis, an sint Persequendi* (1554), in response to John Calvin’s (1509–1564) organization of the burning of a fellow Christian theologian for heresy at Geneva. Castellion argued that coercion is an inappropriate tool for effecting a change of religious views since Christian belief must be held with sincere conviction. Hence, clergies and magistrates must refrain from persecution of convinced Christians who cling to doctrines that do not coincide with official teachings. While Castellion does not go so far as to license broad dissemination of heterodox theology, he maintains that a Christian’s duties extend to forbearance of the free and honest faith of his fellows even in the face of disagreements of understanding and interpretation.
In the seventeenth century, the theme of religious liberty became more pronounced. For instance, the Levellers in England during the 1640s made freedom to dissent from the established religion a central plank of their political program. Major figures in European philosophy weighed in on the side of freedom of religion. Baruch Spinoza (1632–1677) claimed a broad application for a right to liberty of thought and belief without interference from a sovereign power’s (or a church’s) determination of the truth or falsity of one’s ideas. Pierre Bayle (1647–1706) boldly asserted that all forms of persecution (innocuous as well as harsh) of religious diversity encouraged hypocrisy and eroded social order. An erring conscience, if it be held in good faith, deserves as much protection as a correct one—a principle that Bayle extended even to atheists. John Locke (1632–1704) was unwilling to include atheism and other religious attitudes that he deemed dangerous to social trust and political obedience, but he, too, proposed liberty of conscience as justified in the case of most Christian (and perhaps some non-Christian) rites. The role of the magistrate, according to Locke, should be confined to the maintenance of public tranquility and the defense of individual rights, rather than the care of the soul.
Pragmatic as well as principled considerations led to the acceptance of some measure of freedom of religion throughout much of Europe over the course of the early modern period. Wars of religion undermined peace and sapped public enthusiasm for persecution. The free practice of differing confessions (usually limited to Christianity, and sometimes only to reformed Christianity) became an enshrined feature of many European states by the late eighteenth century. Where this did not occur (with certain exceptions, such as in Spain and parts of the Italian peninsula), it posed a continuing source of conflict into later times, as Johannes Althusius (1557–1638) predicted it would in his *Politica Methodice Digesta* (1603; 3rd ed., 1614). Thus, freedom of religion constituted one of the main changes sought in France during the Revolution, as expressed in the “Declaration of the Rights of Man and of the Citizen.”
**REPUBLICANISM AND LIBERALISM**
The evolving acceptance of liberty of confession paralleled changes in other European cultural, social, and political practices and attitudes. The invention of the printing press and movable type immeasurably enhanced the ability of individuals to disseminate their ideas and for a larger public to have access to the written word. Demands were heard for freedom of the press (literally and figuratively) from censorship by clerical and secular authorities alike.
Of course, the tradition of republican liberty, inspired by the Romans, had not disappeared from the intellectual landscape. From Niccolò Machiavelli (1469–1527) and the more conventional humanists of Renaissance Italy through the thinkers and practitioners of Dutch republicanism like Hugo Grotius (1583–1645) to advocates of republican rule in England such as James Harrington (1611–1677) and Algernon Sidney (1623–1683), the praise of liberty as a distinctive feature of republican government was voiced. In the cities of Italy and of Holland, commercial vitality and strong civic loyalty, not to mention considerations of scale, rendered collective self-government a feasible option. Political practice could approach, even if never quite attain, the heights of theory.
In larger territorial states, such communally based republican liberty resonated less clearly. Indeed, republicans who spoke of their version of liberty too loudly found themselves at odds with authorities, hence Sidney’s execution in England for espousal of and action upon his republican proclivities. Political liberty in more geographically extensive regimes with monarchical institutions tended to be conceived in terms of individual freedom rather than civic populism. Hence, it is at this time and place that we locate the origins of the doctrines that came to be labeled liberalism.
Thomas Hobbes (1588–1679) is generally identified as the most important direct antecedent of the modern individualist theory of liberty. In his *Leviathan* (1651), Hobbes ascribes to all human beings natural liberty (as well as equality) on the basis of which they are licensed to undertake whatever actions are necessary in order to preserve themselves from their fellow creatures. Hobbes believed that the exercise of such natural liberty logically leads to unceasing conflict and unremitting fear, so long as no single sovereign ruler exists to maintain peace. The exchange of chaotic natural freedom for government-imposed order requires renunciation of all freedoms that humans possess by nature (except, of course, for the sake of self-preservation itself) and voluntary submission to any dictate imposed by the sovereign. Yet, even under the terms of Hobbes’s absolute sovereignty, the subject is deemed to remain at liberty to choose for himself concerning any and all matters about which the ruler has not explicitly legislated.
Locke begins his mature political theory in the *Second Treatise of Government* (1690) with the postulation of the divinely granted liberty of all individuals, understood in terms of the absolute right to preserve one’s life and to claim the goods one requires for survival. Arguing against the patriarchal doctrine of Sir Robert Filmer (1588–1653), Locke insists that no natural basis—neither paternity nor descent—justifies the submission of one man to another. In contrast with Hobbes, Locke maintains that the condition of liberty does not represent a state of war, but instead can be maintained tranquilly because human beings are deemed sufficiently rational that they can and do generally constrain their free action under the terms of the laws of nature. Hence, should people choose to enter into formal bonds of civil society and to authorize a government in order to avoid the “inconveniences” and inefficiency of the precivil world, the only rulership worthy of consent is that which strictly upholds and protects the liberty possessed by nature. According to Locke, any government that systematically denies to its subjects the exercise of their God-given liberty (as Hobbes’s sovereign would do) is tyrannical and cannot expect obedience.
While Hobbesian and Lockean lines of thought persisted into the eighteenth century alongside republican doctrines, occasional attempts were made to transcend, or at any rate to synthesize, the lessons of republicanism and nascent liberalism concerning liberty. The writings of Jean-Jacques Rousseau (1712–1778) afford an illustration of this. On the one hand, Rousseau held that Hobbes and Locke each captured an important facet of human liberty. Hobbes realized that the only way to create a truly sovereign authority—one capable of commanding the obedience of those subject to it—was the renunciation of all the liberty that one enjoyed by nature. Locke recognized that the sole reason any free person would consent to enter into a formalized social arrangement would be to protect his liberty. Hence, Rousseau concludes, the surrender of one’s natural liberty must be matched by the return to each person of an amount of civil liberty (which he terms “moral liberty”) that is greater than what has been given up. In other words, in a properly organized political system, every citizen enjoys more freedom than if he had remained in a precivil condition with his natural liberty intact.
From this marriage of Hobbesian and Lockean conceptions of liberty issues a set of republican conclusions. For Rousseau, sovereignty cannot be exercised by any authority external to the body of citizens whose liberty is at stake. Hence, no matter what constitutional form of government is appointed—and he contends that kingship, aristocracy, and democracy may each be appropriate, depending on the scale of the territory to be governed—it remains only the executive of the general will of the community. Freedom reposes strictly and exclusively in the communal order in which the moral liberty of each person assumes the equal moral liberty of every person, guaranteed under the terms of the law and protected by the magistrates. Hence, Rousseau’s free state is guided by the collective determinations of the people about how they wish to live—a clear statement of a system of popular sovereignty.
**NATURAL LIBERTY**
The concept of natural liberty is also one that came to the fore in the economic doctrines of the eighteenth century. Adam Smith (1723–1790) founded his principal doctrines upon the notion of natural liberty, by which he meant simply that if every person acts freely as he sees fit in his own interests, then the welfare of the whole society will be served best. For Smith, the system of natural liberty constitutes a sort of automatic or homeostatic mechanism of self-adjustment (which he sometimes calls the “invisible hand”), so that any attempt (on the part of government or some other agent) to interfere in its operation will lead to greater inefficiency and hence less total welfare. The sources for Smith’s insight about maximized individual liberty, unconstrained by coercive externalities, have been debated. Certainly, the French economic theorists known collectively as the Physiocrats may have played a role in the formulation of this idea, as may have the political theorists whose views have already been surveyed. Smith applied this discovery, however, not only to the operation of the marketplace but to all aspects of society, including its educational, religious, and judicial institutions. He narrowly confines the role of government to those functions consistent with natural liberty: foreign defense, regulation of criminal activity, and provision of “public goods” too expensive for any single segment of the private economy to undertake.
By the end of the eighteenth century, the concept of liberty had pervaded the religious, social, political, cultural, and economic dimensions of European life. Yet it remained a controversial idea for (and against) which people would continue to fight and die. Moreover, the application of principles of freedom remained in many ways incomplete. Slavery had been by no means entirely eradicated from the regions over which European nations exercised control, even if it was largely passé within Europe itself. Women occupied almost exactly the same social, political, and economic position in 1789 as in 1450, and the extent of their personal and group liberty was largely determined by their class status. Despite occasional agitation for universal manhood suffrage, such as occurred during the earliest stages of the English Civil War, the unpropertied also experienced little improvement in their effective freedom between the fifteenth and the eighteenth centuries. Finally, the diffusion of ideas and practices of religious liberty was limited almost entirely to Christian sects, although deists and advocates of natural religion seem generally to have been left alone; freedom to worship occupied a far more precarious position for Jews and members of other non-Christian confessions (for example, Turks) who made their way to Europe.
*See also* Bayle, Pierre; Calvin, John; English Civil War and Interregnum; Grotius, Hugo; Hobbes, Thomas; Liberalism, Economic; Locke, John; Luther, Martin; Physiocrats and Physiocracy; Revolutions, Age of; Republicanism; Rousseau, Jean-Jacques; Smith, Adam; Sovereignty, Theory of; Spinoza, Baruch.
**BIBLIOGRAPHY**
*Primary Sources*
Hobbes, Thomas. *Leviathan*. Edited by Edwin Curley. Indianapolis, 1994.
Locke, John. *A Letter concerning Toleration, in Focus*. Edited by John P. Horton and Susan Mendus. London, 1991.
———. *Two Treatises of Government*. Edited by Peter Laslett. Cambridge, U.K., 1988.
Luther, Martin, and John Calvin. *Luther and Calvin on Secular Authority*. Edited and translated by Harro Höpfl. Cambridge, U.K., 1991.
Rousseau, Jean-Jacques. *Basic Political Writings*. Edited and translated by Donald A. Cress. Indianapolis, 1987.
LIBRARIES. The period 1450–1789 witnessed an unprecedented expansion in the publication, circulation, and readership of books. Such dramatic changes in patterns of literacy and book use are amply reflected in the history of libraries in the period.
MEDIEVAL INHERITANCE
By the late thirteenth century the scriptoria and companion book collections of the early medieval period had been eclipsed in importance by the rise of college libraries, particularly in Paris and Oxford. The most famous of these was the Sorbonne library in Paris, founded in 1287. Its 1290 catalogue lists over 1,000 manuscripts, and the library would expand to more than 2,500 volumes by the end of the fifteenth century. Equally important were the libraries of the studia (study houses) of the monastic orders. Over time, a body of regulations governing college and conventual libraries evolved. Many of these libraries employed sophisticated cataloguing and classification systems. While there was no single model of classification, most conformed to a recognizably Scholastic pattern, descending from theology, through philosophy and the other two university faculties of law and medicine, to logic, rhetoric, and grammar, with appropriate subdivisions where warranted by the quantity of books.
The expansion of private libraries in the late medieval period was closely related to the institutional libraries of the university colleges and study houses. Members of the three professions—churchmen, lawyers, and physicians—responded to changing patterns of literacy and professionalization that demanded increased textual expertise with ever-expanding collections of professional textual materials.
RENAISSANCE AND REFORMATION
This milieu fostered the bibliophilia of the first major humanist book collector, Francesco Petrarch (1304–1374). Petrarch’s library was not only large for the age (some two hundred volumes), but unusual in that it contained not the canonical texts and core manuals of the professions, but the works of classical authors and the church fathers. In early-fourteenth-century Florence, Coluccio Salutati (1331–1406) and Niccolò de’Niccoli (c. 1346–1437), key figures of Florentine humanism, built up collections of around eight hundred volumes. Niccoli was one of the first systematic collectors of older manuscripts, which he knew to be more accurate than later copies. Both before and after the fall of Constantinople, Greek émigrés such as Manuel Chrysoloras (c. 1353–1415) in Florence introduced many important Greek texts previously unknown to Western libraries. The library of Cardinal Bessarion (1403–1472) was the most important such collection for the transmission of Greek texts to the West. Bessarion’s library contained over 1,000 volumes and was bequeathed to the Venetian republic after his death. From Venice, they were copied and recopied to furnish Western libraries with Greek manuscript texts. Important institutional Renaissance libraries were established in Florence, with the 1444 San Marco library, and in Rome, with the Vatican library first of Nicholas V (c. 1450) and, subsequently and more permanently, Sixtus IV (1471–1484).
The religious conflicts of the sixteenth century had a major impact upon libraries, both positive and negative, in Protestant and Catholic Europe. Most dramatic was the dissolution of the monasteries in England in the 1540s and the dispersal and loss of thousands of medieval manuscripts. The college libraries of Oxford and Cambridge suffered similar, if less systematic, loss. In Germany the holdings of many monastic libraries were absorbed by existing town and court libraries. In the last half of the
century the French Wars of Religion resulted in the destruction of many important ecclesiastical libraries. It is no coincidence that this period witnessed the first postmedieval renaissance of systematic bibliography, with the efforts of Conrad Gessner (*Bibliotheca Universalis*, 1545) in the Swiss confederation, John Bale (*Illustrium Maioris Britanniae Scriptorum*, 1548) in England, and Flacius Illyricus (*Catalogus Testium Veritatis Basle*, 1556) in Germany.
The upheaval of the first half of the sixteenth century was countered by a considerable consolidation of library collections in the second half. This period witnessed the consolidation and foundation of important collections across Catholic Europe: the Escorial in Spain (1575), the Imperial Library in Vienna (reorganized in 1576), the new Vatican library of Sixtus V (1589), the Hofbibliothek in Munich (1558), and the Ambrosiana in Milan (1609). This chain of Catholic libraries presented a wall of orthodoxy across Europe, a self-conscious effort at intellectual containment of Protestant gains. In Protestant Europe a number of important collections emerged: the ducal library at Wolfenbüttel (1572) and the Bodleian Library at Oxford (1602) were the most important. These libraries marked a watershed in establishing permanent institutional locations for the medieval manuscript heritage and in amassing unprecedented quantities of printed books. The Ambrosiana, for example, amassed a collection of some 15,000 manuscripts and 30,000 printed books in the decades after its foundation. By 1666, the ducal library at Wolfenbüttel held over
55,000 printed books. Most had established, if highly restricted, hours of opening. Access was equally restricted to members of established circles of scholars. Private collections also grew in size, frequently providing the nucleus of both local and far-flung networks of learning. Such was the case with the libraries of Claude Dupuy (1545–1594) in Paris and Gian Vincenzo Pinelli (1535–1601) in Padua. Pinelli, whose library and collections housed the young Galileo while he was composing his Padua lectures, could boast of over 6,000 printed books and 700 manuscripts, making it one of the largest private libraries of the period.
SEVENTEENTH AND EIGHTEENTH CENTURIES
This period saw continued consolidation and expansion of major collections and witnessed a growth in the political importance of libraries. Quasi-public libraries such as those of the de Thou family in Paris or Sir Robert Cotton (1571–1631) in London constituted loci of parliamentary intellectual activity and housed documents of great legal and historical importance. Their libraries were mirrored in the collections of legal and political élites across Europe. Conversely, Cardinal Mazarin’s (1602–1661) formidable library in Paris (1643) became a powerful emblem of ministerial and royal authority: it was dispersed—forbidden to be sold intact to a single buyer—during the Fronde of 1651. The reorganization of the French Royal Library (1661) under Jean-Baptiste Colbert (1619–1683) transformed that library into a formidable political symbol of the French monarchy and, through Colbert’s patronage, into a unique locus of learning in Europe.
As a result of the new cultural importance of libraries in the late sixteenth and seventeenth centuries and in response to the growing pressures of the print revolution, a recognizable discipline of library organization and classification developed. Gabriel Naudé (1600–1653) in his 1627 *Advis pour dresser une bibliothèque* (Advice for establishing a library) sought to establish universal principles for library organization and cataloguing sensitive to both the enormous growth of print and the intellectual needs of members of the republic of letters. The real home of library science during the Enlightenment would be Germany, where the subject of library organization was taught in the universities and where both professorial and university libraries were organized on a loose arrangement much indebted to both Naudé and Francis Bacon (1561–1626). This development reached its culmination in 1734, with the library at the University of Göttingen, the first modern university “research” library.
The major development of the eighteenth century was the expansion of vernacular book collections. These libraries favored romances and novels in addition to the traditional vernacular genres of religion and history. The new genres provided the backbone of the lending libraries and popular reading rooms, important new features on the European library scene in the eighteenth century. More books were increasingly available to more people, and levels of personal ownership of books increased across the social spectrum. Many of the older institutional libraries rushed to embrace the new ideal of the public library (though many had long functioned as quasi-public institutions): for example, the French Royal Library in 1720 and the Imperial Library in Vienna in 1726 both opened their doors as public libraries. In 1753, Britain finally had an institution to match its continental rivals with the establishment of the British Library. But it was the nationalization of the French Royal Library at the Revolution and its confiscation of former monastic holdings that would set the standard for the large national continental libraries of the nineteenth century.
See also Dissemination of Knowledge; Education; Humanists and Humanism; Literacy and Reading; Printing and Publishing; Universities.
BIBLIOGRAPHY
Dadson, Trevor J. *Libros, lectores y lecturas. Estudios sobre bibliotecas particulares españolas del Siglo de Oro*. Madrid, 1998.
Fabian, Bernhard, ed. *Handbuch der historischen Buchbestände in Deutschland*. Hildesheim, 1992.
Fehrenbach, R. J., and E. S. Leedham-Green, eds. *Private Libraries in Renaissance England: A Collection and Catalogue of Tudor and Early Stuart Book-lists*. Medieval and Renaissance Texts and Studies. 5 vols. Binghamton, N.Y., 1992–1998.
Grendler, Marcella. “A Greek Collection in Padua: The Library of Gian Vincenzo Pinelli (1535–1601).” *Renaissance Quarterly* 33 (1980): 386–416.
*A History of Libraries in Britain and Ireland*. 4 vols. Cambridge, U.K., forthcoming.
LIMA. Lima, the capital city of the Viceroyalty of Peru in early modern times, lies on the southern bank of the Rímac River, west of the Andes Mountains, and eight miles inland from the western coast of South America. Conquistador Francisco Pizarro founded the city on 18 January 1535 following the Spanish defeat of the native Incan empire. Possibly to account for Lima’s title as “The City of the Kings,” some scholars claim that the founding date was 6 January 1535, the Catholic celebration of Epiphany, when the Magi are believed to have visited the Christ child. Pizarro chose Lima, a Spanish misunderstanding for the native word *Rímac*, over the Incan capital of Cuzco, which was further inland and nestled in the Andean highlands, because Lima had a milder climate and was better located in terms of ocean access and defense.
Symbolic of Spanish dominance and bureaucratic opulence, the city quickly became the crown’s administrative, ecclesiastical, and economic hub in South America. The crown-appointed viceroy, whose short tenure was designed to preserve Spanish control from across the ocean, sat atop a highly structured and hierarchical regional government. Like other Spanish American cities, Lima was laid out in a grid design of east-west and north-south streets organized around a central plaza, a form later codified in the Laws of the Indies. As the capital city of Spanish holdings in South America, Lima was the first American city in which the Inquisition was established and the region’s principal treasury office. Lima was also the conduit, via the nearby port city of Callao, for all incoming and outgoing trade with Europe. Most important were the precious metals that were mined and produced by Spanish-controlled Indian labor in the viceroyalty—most notably the silver mines at Potosí. Peru’s silver mines were central to the European economy until the ore became depleted and a fiscal crisis seized Europe and Spanish America in the late seventeenth century. Lima did not recover from this decline until the eighteenth century, when Spain’s new Bourbon rulers sought to streamline government and improve the colony’s and the crown’s economic positions. Despite Bourbon reforms, Lima’s importance outside of Peru waned after this period.
The city’s population increased only slowly, restrained in part by frequent and recurring earthquakes (most notably those in 1687 and 1746). Whereas in 1613 there were a little over 25,000 inhabitants, it took almost two centuries for that to double to almost 53,000 people (1796). As with other Spanish colonies, Lima’s population at the time of the conquest was composed of a few Spaniards and numerous natives. Over time the populace became increasingly mixed as more Spaniards and other Europeans arrived, the indigenous population declined, and slaves were brought in from Africa. At least in theory, Lima’s social structure was as ordered as the city’s administration, with legal and geographical divisions among classes and ethNevertheless, cultural and sexual exchange among the city’s residents, the steady influx of exotic goods, and the continual influence of people and ideas arriving on visiting ships ensured that Lima would become a culturally diverse center for the viceroyalty.
See also Pizarro Brothers; Spanish Colonies: Peru.
BIBLIOGRAPHY
Andrien, Kenneth J. Crisis and Decline: The Viceroyalty of Peru in the Seventeenth Century. Albuquerque, N.M., 1985.
Bromley, Juan. La Fundacion de la Ciudad de los Reyes. Lima, 1935.
Dobyns, Henry F., and Paul L. Doughty. Peru: A Cultural History. Latin American Histories. New York, 1976.
Klarén, Peter Flindell. Peru: Society and Nationhood in the Andes. Latin American Histories. New York, 2000.
Lockhart, James. Spanish Peru, 1532–1560: A Colonial Society. Madison, Wis., 1968.
Montero, Maria Antonia Durán. Lima en el Siglo XVII: Arquitectura, Urbanismo y vida Cotidiana. Sección Historia “Nuestra América” 1. Seville, 1994.
Oliver-Smith, Anthony. “Lima, Peru: Underdevelopment and Vulnerability to Hazards in the City of the Kings.” In Crucibles of Hazard: Mega-Cities and Disasters in Transition. Edited by James K. Mitchell. Tokyo, 1999.
JAMIE STEPHENSON
LINNAEUS, CARL (Carl von Linné; 1707–1778; ennobled 1761), Swedish naturalist and explorer. Linnaeus was born on 23 May 1707. His father was a curator in Råshult, a small parish in Småland (southern Sweden). After attending school in nearby Växjö, he studied medicine at the universities of Lund (1727) and Uppsala (1728–1732). Coming from a low-income family, he could only afford to attend a few lectures, but patronage from Olaus Rudbeck, Jr. (1660–1740) and Olof Celsius (1670–1756) at Uppsala University, and subsidies he received from teaching botany (1730–1732), allowed him to study natural history on his own. In 1732 the Uppsala Academy of Sciences sent Linnaeus to Lapland to do research. After his return, he gave private lectures in mineral assaying, and made another research trip to Dalecarlia (a region in central Sweden) in 1734. At this early stage, the foundation for all of his later work was laid down in manuscripts. Occasion for their publication would come when Linnaeus went to Holland in 1735 to acquire a medical degree. This journey was financed by the governor of Dalecarlia, the father of Sara Elisabeth Moraea, who was promised to Linnaeus.
Skillfully seeking the patronage of leading Dutch naturalists like Jan Fredrik Gronovius (1690–1762), senator of Leiden, and Herman Boerhaave (1668–1738), only a few months after his arrival Linnaeus successfully published his first work, the Systema Naturae (The system of nature), a folio volume of only eleven pages that presented a classification of the three kingdoms of nature. Success was immediate, and there followed a whole series of further publications, among them the Fundamenta Botanica (The foundations of botany, 1735) and the Genera Plantarum (Genera of plants, 1737). Linnaeus extended his stay in Holland until 1738 to catalog the extensive botanical collections of George Clifford, former director of the Dutch East India Company, who also paid him for two short trips to Paris and Oxford. On his return to Sweden in 1738, he married Sara Elisabeth and settled in Stockholm as a physician. He was among those who founded the Royal Academy of Sciences in 1739.
In 1741 Linnaeus accepted the chair of medicine and botany at Uppsala University. His career was characterized by two different aspects: On the one hand, he used the contacts he had made while in Holland to establish an international network of correspondents, including such leading naturalists as Albrecht von Haller (1708–1777) and Antoine-Laurent de Jussieu (1748–1836), that would supply him with seeds and specimens from all over the world. Incorporating this material into the botanical garden at Uppsala, Linnaeus created a continuously growing empirical basis for revised and enlarged editions of his major taxonomic works. There were twelve authorized editions of the Systema Naturae, as well as numerous pirated editions, translations, and popular versions that appeared in Europe.
On the other hand, Linnaeus actively supported the cameralist theory that a nation’s welfare depended on science-based administration. He promoted the creation of chairs in economics at Swedish universities, organized public botanical
excursions around Uppsala, undertook research travels within Sweden to identify domestic products that could replace imports, and sent some twenty students on travels around the globe to find exotic plants for acclimatization in Sweden. The results of these “patriotic” projects were published in the *Flora Suecica* (Swedish plants, 1745), the *Fauna Suecica* (Swedish animals, 1746), and four volumes of reports on journeys made to various provinces of Sweden (*Öländska and Gotthändska Resa*, [Travel to Öland and Gotland], 1741, *Västgötha Resa* [Travel to Western Gothia], 1747, and *Skånska Resa* [Travel to Scania], 1751).
Linnaeus and his wife Sara Elisabeth, who managed the three farm estates of the family, had five children. His only son, Carolus, Jr., succeeded him at the University of Uppsala after his death in 1778, but died only a few years later.
The significance of Linnaeus’s scientific achievements in natural history is twofold. His major taxonomic works, but especially the *Species Plantarum* (1753), a catalog of all plant species known at the time, provided systematic access to earlier literature in natural history, while the *Philosophia Botanica* (Philosophy of botany, 1751) laid down rules for classifying and naming organisms that would inform all future taxonomic practice. His main innovation in this respect was the introduction of binomial nomenclature, proposed for the first time in the *Philosophia Botanica* and for the first time consistently applied in the *Species Plantarum*. The latter work and zoological part of the tenth edition of the *Systema Naturae* (1756) form the basis of all subsequent botanical and zoological nomenclature, in conjunction with Linnaeus’s extensive collections of botanical and zoological specimens, today preserved by the Linnaean Society in London.
Other fields in which Linnaeus is of historical importance include plant sexuality (*Sponsalia Plantarum* [The sex of plants], 1746), ecology (*Oeconomia Naturae* [The economy of nature], 1749), and the classification of diseases (*Genera Morborum* [Genera of diseases], 1763).
*See also* Academies, Learned; Biology; Boerhaave, Herman; Botany; Haller, Albrecht von; Scientific Revolution; Zoology.
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**BIBLIOGRAPHY**
Blunt, Wilfrid, with William T. Stearn. *The Compleat Naturalist: A Life of Linnaeus*. London, 1971.
Frängsmyr, Tore, ed. *Linnaeus: The Man and His Work*. Berkeley, 1983.
Koerner, Lisbet. *Linnaeus: Nature and Nation*. Cambridge, Mass., 1999.
Larson, James L. *Reason and Experience: The Representation of Natural Order in the Work of Carl Linnaeus*. Berkeley, 1971.
Müller-Wille, Staffan. *Botanik und weltweiter Handel: zur Begründung eines natürlichen Systems der Pflanzen durch Carl von Linné* (1707–1778). Berlin, 1999.
Soulsby, B. H. *A Catalogue of the Works of Linnaeus (and Publications More Immediately Relating Thereto) Preserved in the Libraries of the British Museum (Bloomsbury) and the British Museum (Natural History) (South Kensington)*. 2nd ed. London, 1933.
Staffan Müller-Wille
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**LIPSIUS, JUSTUS** (Joest Lips; 1547–1606), Dutch humanist and philosopher. Justus Lipsius was the most widely published humanist of the end of the sixteenth century. With Joseph Scaliger (1540–1609) and Isaac Casaubon (1559–1614) he formed the famous triumvirate of learning that dominated the late Renaissance. The father of the Tacitist political tradition, he also led the Neostoic movement based on the works of Seneca, which Wilhelm Dilthey (1833–1911) regarded as one of the origins of modern individualism. Lipsius’s work illustrates how a pragmatic politics, ethics, and religion grew out of the convergence of classical humanism and the wars that wracked Europe during the Counter-Reformation.
Born to a well-to-do family in Overyssche near Brussels, Lipsius began his studies as a novice in the Jesuit College of Cologne, where he was recognized as a prodigy due to his extraordinary memory and voracious intellectual appetite. He first achieved renown at the age of nineteen for *Varia Lectiones*, a work of Ciceronian Latin prose commentaries on the ancients, which he dedicated to Cardinal Antoine Perrenot de Granvelle (1517–1586), who was a minister of Philip II of Spain. Although in later life Lipsius repudiated this work for its flowery style, it caught the eye of Granvelle, who invited Lipsius to Rome as his Latin secretary. It was in Italy, between
1568 and 1570, that Lipsius blossomed as a scholar, visiting great libraries and working with famous humanists such as Paolo Manuzio (1512–1574) and Girolamo Mercuriale (1530–1606).
Lipsius’s meeting with the French poet and humanist Marc-Antoine Muret (1526–1585), however, led to a defining intellectual epiphany. Lecturing in Rome, Muret was a pioneering scholar who was working on a set of commentaries on Tacitus’s works. Lipsius now repudiated Ciceronian Latin eloquence and advocated Tacitus’s concise, sententious style, effectively creating a second humanist rhetorical movement. In 1572 Lipsius accepted a chair at the Lutheran University of Jena in Germany, where he began his famed critical edition of the works of Tacitus, which was published in 1674. This work stands as one of the greatest monuments of Latin humanism. Mixing his own brilliant emendations with those of other scholars, Lipsius used his considerable philological skills to clear Tacitus’s text of its medieval inaccuracies, differentiating the *Annals* from the *Histories*, and restoring the work closer to its original state. In 1581 he added historical and political commentaries and highlighted maxims with the aim of making Tacitus’s work useful for practical life. Scaliger considered this his most important work and indeed, it became an international bestseller, elevating Tacitus to the status of a secular saint of practical politics and an acceptable stand-in for Machiavelli.
Of his many works, Lipsius considered *De Constantia* (1584; On constancy) and the *Politiorum Libri Sex* (1589; Six books of politics) to be his most important achievements. *De Constantia* explained the basic tenets of his Stoic philosophy that sought to transform contemplation and study into the basis for worldly action. Traumatized by the Spanish atrocities during the Dutch Wars and by the St. Bartholomew’s Day Massacre (24 August 1572), Lipsius formulated a philosophy of personal discipline, ethics, and rational judgment in response to the chaos that engulfed Counter-Reformation Europe. The following work, *Politiorum Libri Sex*, was an exercise in Stoic practicality. Harnessing maxims from the ancients, in particular from Tacitus, he hoped to create a collection, or *cento*, of political maxims to be used as a tool by monarchs to control and stabilize their kingdoms. His theory of “mixed prudence” was an attempt to translate Machiavellian practical prudence into an acceptable tool of politics regulated by the ethics of public utility. This theory later formed the basis of Libertine political philosophy and was central to the works of Pierre Charron (1541–1603) and Gabriel Naudé (1600–1653).
Lipsius lived his life according to the Stoic principle of accommodation and rejected the religious fanaticism of his day. He was a member of the secretive, proto-Deist Family of Love movement that stressed peace and unity above denominational loyalty. A true accommodator, he went from Lutheran Jena to Calvinist Leiden in 1572, and in 1591 he returned to Louvain, where he again embraced Jesuit Catholicism and lived out the rest of his days. He supported the interests of Protestant provinces, but he also counseled the emperor on the way to a peaceful settlement of the religious strife that wracked Holland. His numerous works also include a manual of letter-writing, *Epistolica Institutio* (1580); a history of classical libraries, *De Amphiteatro Liber* (1584); *De Militia Romana* (1595), which inspired many of the military reforms of his day; and finally his masterwork of Senecan Stoicism, *Manuductionis ad Stoicam Philosophiam* (1604). His works remained popular into the seventeenth century.
*See also Humanists and Humanism.*
**Bibliography**
Oestreich, Gerhard. *Neostoicism and the Early Modern State.* Edited by Brigitta Oestreich and H. G. Koenigsberger. Translated by David McLintock. Cambridge, U.K., 1982.
Ruysschaert, José. *Juste Lipsé et les Annales de Tacite: Une méthode de critique textuelle au XVIe siècle.* Turnhout, Belgium, 1949.
Saunders, Jason Lewis. *Justus Lipsius: The Philosophy of Renaissance Stoicism.* New York, 1955.
Wasznik, Jan. “Inventio in the Politica: Commonplace-Books and the Shape of Political Theory.” In *Lipsius in Leiden: Studies in the Life and Works of a Great Humanist,* edited by K. Enenkel and C. Heesakkers, pp. 141–162. Voorthuizen, 1997.
*Jacob Soll*
**LISBON.** Portugal’s capital stood as the key city for exploration of the south Atlantic and Indian
Oceans as well as one of Europe’s most important ports. Lisbon was also the center of Portugal’s domestic economy. During the rise of Portugal’s maritime empire, its large and strategic harbor became a major entrepôt for slaves, ivory, spices, silk, sugar, salt, and other commodities. By 1550 its population had risen to 100,000, making Lisbon one of Europe’s largest cities. Thereafter, the decline in Portugal’s Asian empire, together with the union with Spain, slowed Lisbon’s demographic and economic growth. After 1705, Brazilian gold and diamonds revitalized the city’s economic and political importance, and by 1750, Lisbon held at least 250,000 people, or approximately one tenth of Portugal’s total population. All growth stopped, however, with the 1755 earthquake and its the subsequent fire, which destroyed much of the city. Rebuilding slowed with the end of the Brazilian gold rush, and Lisbon never regained its former prominence. By 1800, its population stood at less than 170,000.
The early sixteenth century saw the creation of a particularly Portuguese architectural style called Manueline, whose motifs reflected Portugal’s overseas successes and whose monuments are prominent in Lisbon. The building activity brought about by the empire’s wealth substantially diminished during Portugal’s union with Spain (1580–1640), which coincided with economic difficulties that affected much of Europe. Vernacular architecture particularly declined as the court and much of Portugal’s social and economic elite moved to Madrid. That decline continued after independence in the late seventeenth century. Both the crown and the nobility had become too impoverished to construct palaces or large public buildings. Building activities renewed during John V’s reign (João, 1706–1750), when wealth from the Brazilian gold rush created an economic boom that led to the construction of new palaces, an opera house, and the Lisbon aqueduct.
Lisbon retained its medieval and Renaissance character throughout the early modern era. Its major commercial, religious, and political structures remained inside city walls. Towering over the skyline rose the castelo São Jorge, the Carmo monastery, and the Royal Hospital of All Saints, while the Royal Palace (Paço de Ribeira), the dockyards with its customhouses, and the two great squares—the Rossio and Terreiro do Paço—dominated its foreground. On Lisbon’s nearly 370 streets stood twenty thousand houses and over two thousand stores, interspersed with over a hundred churches, monasteries, and convents.
From a distance, travelers in the early eighteenth century described Lisbon as one of the world’s most beautiful cities. The city stood on a series of hills within what appeared to be a naturally formed amphitheater. Such impressions changed on arrival, however. John V placed absolutism above economic and urban development. Thus, despite the wealth from Brazil, Lisbon’s infrastructure and its commercial facilities had badly deteriorated by the mid-eighteenth century. Poor-quality mortar caused old building walls to collapse on unwary pedestrians. Steep, ill-maintained streets were too narrow for coaches and created health hazards from waste flowing downward toward the city’s center. Lisbon was also one of Europe’s most dangerous cities. Astonishingly, despite the importance of commerce, the city had neither a permanent bourse nor a separate structure for its municipal council. Instead, merchants, brokers, and contractors conducted their dealings around Businessmen’s Square, while the municipal council usually met in Saint Anthony’s Church.
The November 1755 earthquake caused catastrophic mortality (it is estimated that from ten to thirty thousand lives were lost), and unprecedented destruction. The earthquake and the subsequent fire and tidal wave destroyed approximately seventeen thousand houses, the city center and docks, and countless cultural treasures. The appalling scale of the destruction initiated an international debate over the concepts of optimism and evil. Politically, the disaster precipitated the marquis de Pombal’s rise to power as Portugal’s strongman for the next two decades.
Pombal (1699–1782) sought to rebuild Lisbon symbolically as well as physically. He envisioned an imperial capital reflecting a reformed and commercially centered Portugal. Because lack of funds and resources prohibited rebuilding the entire city, construction efforts focused on the lower section. Central Lisbon was reestablished on a grid pattern of wide streets and avenues featuring two large squares. Pombal mandated that all new structures conform to certain rules regarding size and architectural style. The enormous Praça do Comércio,
which occupied the area where the royal palace and its surrounding ground had stood, most visibly represented Pombal’s commercial focus. Colonial taxes largely underwrote the enormous cost of construction.
After 1760 the rapid decline in Brazilian gold production impeded rebuilding, and travelers still spoke of ruined structures in the early nineteenth century. The French 1807 invasion, followed by Brazilian independence, heavily damaged Portugal’s entire economy. Whereas Lisbon remained one of Europe’s most important port cities, it never again approached its previous economic prominence.
See also Portugal; Portuguese Colonies: Brazil.
BIBLIOGRAPHY
Castelo-Branco, Fernando. *Lisboa Seiscentista*. 3rd rev. ed. Lisbon, 1969.
Costa, Padre António Carvalho da. *Corografia Portuguesa e descripção topográfica do famoso reino de Portugal*. 3 vols. Lisbon, 1706–1712.
França, José-Augusto. *Lisboa pombalina e o iluminismo*. Rev. ed. Lisbon, 1977.
Freire de Oliveira, Eduardo. *Elementos para a História do Municipio de Lisboa*. 17 vols. Lisbon, 1882–1911.
Levenson, Jay. *The Age of the Baroque in Portugal*. New Haven, 1993.
WILLIAM DONOVAN
LITERACY AND READING. In the Renaissance, Europe experienced the beginnings of a profound transformation from restricted to mass literacy. In 1500 very few people could read and write, but by 1800 a majority of adults in northwestern Europe were literate. This entry outlines the special nature of early modern literacy; it charts the changing social and geographical distribution of literacy in early modern Europe; and it offers explanations and an assessment of the importance of this complex development.
THE SKILLS OF LITERACY
Early modern literacy was made up of several skills, which are best seen as bands in a spectrum of communication rather than discrete categories. Reading of print or writing was possible at two levels. Some people could decipher texts, read them aloud, and memorize them in a mechanical or ritual way—although their personal understanding may have been questionable. We should not exaggerate the understanding and facility of those who possessed this intermediate or semiliteracy. Those with better education and a deeper immersion in printed and written culture could comprehend the text with greater precision, reading and thinking silently to themselves. They could understand new texts as well as familiar ones. However, “reading” was not restricted to written or printed words alone. People could gather information and ideas from looking: interpreting pictures and prints in broadsheets and “chapbooks” (pamphlets) or watching and participating in plays and processions. Gesture remained a subtle and important form of nonverbal communication.
If they wanted to transmit their own thoughts other than through speech, people had to learn to write, or rather compose—an advanced skill that required considerable training and practice and that effectively marked “full” literacy for most people. The other, more common, level of writing was in fact copying: writing without necessarily understanding. It was at this stage that people learned to sign their names on documents, and this ability is commonly used as an indicator that someone could read and understand printed and written texts in the vernacular, the language of everyday life. In other words, he or she was well along the road to “full” literacy. A small minority of men and a handful of women could also copy or compose in Latin, the international language of learning throughout the Middle Ages, the Renaissance, and the early modern period, or in another pan-European language like French. Even those who had none of these skills were not culturally isolated, for they could listen—hear a priest’s sermons or a friend reading aloud, participate actively or passively in discussions with their peers. The way to understand literacy in early modern Europe is to assess the access that people had to the different bands in the spectrum and the ways they used them.
The ability to read and write was a function of access to schooling, demand for basic learning, and prevailing social and cultural attitudes to literacy. Commercial, religious, administrative, and intellectual “revolutions” of the fifteenth century onward enhanced the supply of education and fueled a growing demand for instruction. The chances of being educated and of acquiring literacy depended on a wide variety of factors in historic Europe. Wealth, sex, inheritance laws, projected job opportunities, employment for children, even the language a person spoke in everyday life—all played their part. Thus literacy grew because of “push” and “pull” factors. For example, there was the push of religiously inspired educational campaigns (Lutheran, Calvinist, and Catholic). There was the pull of personal religious needs and economic incentives such as a desire for social or geographical mobility. Book production also grew dramatically. Perhaps 150 to 200 million copies were turned out during the sixteenth century, and 1,500 million copies were printed in the eighteenth century. This outpouring fed on and was nourished by growing literacy. More schools were provided and more were demanded. Schools were important to learning, but nowhere were they compulsory and, because of costs, many children received only a very brief and basic education. In Sweden, mass reading ability was achieved almost entirely by learning at home.
THE IMPACT OF RELIGION
The Swedish literacy campaign that began in the late seventeenth century was designed to consolidate the Lutheran Reformation there, and many of the advances in reading and writing stemmed from the religious battles of the early modern period. It is commonly asserted that Protestantism is the
“religion of the Book.” Indeed, Protestant countries tended to be more literate than Catholic, and where the faiths coexisted, as in France, Ireland, and the Low Countries, Calvinists tended to be more accomplished than Catholics. However, on closer inspection the picture is less clear-cut. Dynamic Counter-Reformation Catholicism could produce results comparable with the Lutheran heartland. Just 40 percent of accused adults examined by Spanish inquisitions knew the Ten Commandments well in the 1560s and 1570s, compared with 80 percent by the 1590s, while the proportions felt to be crassly ignorant fell from 50 percent to under 10 percent. Importantly, this was pure memorization rather than reading. Indeed, the distinction between the faiths was often more subtle than crude literacy rates—but no less important. Qualitative differences in the uses and importance of literacy distinguished Protestants from Catholics. Reading Scriptures was central to the Reformed faith. Religious books were probably read more frequently among Protestants, and the very status of reading was special. Protestants tended to own more books on a wider variety of religious topics than their Catholic neighbors and to use them differently. Protestants accepted the overwhelming authority of what they knew or thought was in a religious book.
As well as successes in inculcating religious knowledge in (“Christianizing”) their peoples, Catholic countries could boast some excellent educational facilities. At the elementary level there were, for example, Italian Schools of Christian Doctrine, which from the mid-sixteenth century taught religion and basic reading and writing to urban children. At the postelementary level there were the famous schools of the Jesuits and other religious orders. Nor should we ignore the contribution of second- and third-generation Reformations, Protestant and Catholic alike. In Denmark and Prussia it was not the Lutheran Reformation of the sixteenth century that brought about widespread literacy, but the early-eighteenth-century campaign waged by the Pietists with the help of the new “absolutist” rulers. In France female religious orders provided the impetus behind the rapid advance in women’s literacy after c. 1740.
LITERACY AMONG MEN AND WOMEN
Outcomes (the social and geographical distribution of literacy) are relatively easy to demonstrate using the universal, standard, and direct measure of ability to sign one’s name in full on a document such as a court deposition, a contract, or a marriage certificate. Male achievements were superior to female, those of the rich to those of the poor; urban dwellers were almost invariably better able to write than were peasants. In the east, south, and far north of Europe, the ability to write was less than in the heartland of the continent, but reading may have been as widespread (maybe more so) in Scandinavia. For all the apparent simplicity of these patterns, they become more complex and nuanced on closer investigation—and more so still when we move away from the quantitative measures to a qualitative analysis of meanings and uses.
Around 1500 even basic literacy was restricted to less than 10 percent of men. Judged by the rather advanced skill of signing, the most pronounced early expansion occurred among the middling and upper classes, among men, and in towns. In northern England the illiteracy of the gentry fell from about 30 percent in 1530 to almost nil in 1600, but that of day laborers stayed well above 90 percent throughout the period. Male achievements were almost always superior to female. For example, one bridegroom in three could not sign Amsterdam’s marriage register in 1630, compared with two-thirds of brides. Until the eighteenth century the rate of improvement for men generally exceeded that for women. The literacy of townspeople also grew more quickly than that of rural dwellers. By the mid-eighteenth century London and Paris had literacy levels not achieved nationally until the late nineteenth century. In eastern Europe almost the only literate people were townspeople.
PATTERNS OF CHANGE
Change was halting and irregular. Different groups reached “ceilings” or “plateaus” at different times, from which it might take decades to move. For men at least, Castile in the sixteenth century was on a par with France and England until the second quarter of the seventeenth century. Between c. 1620 and c. 1740 it failed to develop at the same rate. The literacy of Castilian women crept up only marginally from 1500 to 1740. The second half of the eighteenth century was better for women everywhere in
western Europe. Female literacy grew much more rapidly than male in northern France in the two generations before the Revolution. In parts of northwestern Germany girls began to receive instruction in arithmetic for the first time. However, the current of change ebbed as well as flowed. For centuries the leaders in raising literacy, some early industrial towns of Britain and the southern Low Countries in the late eighteenth century saw falling levels as population growth swamped the social infrastructure and child employment created a disincentive for education.
The extent of divisions between social groups varied over both space and time. In the sixteenth century, when literacy was limited, virtually all those who could read and write came from the landlord, mercantile, or professional classes. Beneath them lay a yawning chasm of illiteracy. This stark differentiation was tempered over time as more members of the middling and lower orders—artisans and farmers, for example—picked up the skills of the book and the pen. In England, lowland Scotland, the Netherlands, northern Germany, and northeastern France, an expansion of literacy for the middling ranks had occurred by the end of the seventeenth century. Southern Italy and Poland (and, to an even greater extent, Russia) had very limited literacy deep into the nineteenth century.
READING
Much research into literacy has focused on the ability to write. However, there are many reasons to believe that reading was a more widespread skill. Children of the lower social classes, who made up 50 to 90 percent of European people, generally received no more than three to four years of education, meaning they learned only to read. For adults, reading had more religious and recreational value than writing, which was by no means essential to everyday life. Indeed, it may be that in countries like Italy and France two or three women could read for every one who could write during the eighteenth century. The campaign to promote religious literacy in Scandinavia produced remarkable results. As late as the mid-seventeenth century a third of adults were able to pass the church’s tests of reading, but a century later more than four out of five men and women could read.
Tacitly or overtly, studies showing apparently extensive reading suggest that the breadth of cultural access was much broader than the figures for signing imply. Yet reading might actually mean memorization, and without practice, the reading skills of many ordinary people ill equipped them for exploring the new literature of the Renaissance and Enlightenment. As late as 1750 critical reading ability in the German lands was confined to just 10 percent of the population, a figure that applies equally well to the rest of northwestern Europe. Print and writing may therefore have had a limited impact on ordinary people who were ostensibly “readers.” Nevertheless, we must be alert to the possibility that reading was more widespread than writing, especially among poorer men and among women as a whole. After all, women of the haute bourgeoisie or the landed classes (and especially unmarried ones, it seems) read periodicals and novels. They used circulating libraries, joined reading societies, attended the theater and concerts, collected prints, and bought paintings. Women seem to have been a crucial component of the anticipated audience for Enlightenment literature.
Yet such women were not typical. The existence of social forms, which provided visual, spoken, and sung communication (such as the French veillée or evening gathering and the German Spinnstube or spinning circle) and which were dominated by ordinary women, suggests that their cultural lives continued to be cast in an oral/aural and visual framework. Males were educated to participate in the public sphere, women in the private or domestic one. This usually meant that girls gained religious knowledge, learned to read, and were given practical instruction in gendered skills like “housewifery.” In the Mediterranean lands where gender roles were most firmly delineated, it was long held to be unnecessary to train girls in more than the rudiments of religious morality. In the deep south of Italy and in parts of eastern Europe such as Hungary, reading and writing were uncommon for either sex. The people of these regions actively preferred oral forms.
LATIN AND THE VERNACULAR
The spread of literacy across western Europe made communication easier. What people did with their ability to communicate using letters depended on
what tongue(s) they knew. Until the second half of the seventeenth century, the majority of printed books were in Latin. Those with Latin (perhaps 1 or 2 per cent of the population) were part of a pan-European culture in the age of the Renaissance, but theirs was a circle from which were excluded the *illiterati*—the medieval term for those unable to speak, read, and write Latin. Latin remained important as a core subject in postelementary education throughout the early modern period. During the eighteenth century, speaking, reading, and writing French came to replace Latin for cultural and intellectual purposes—at least for the elites of Catholic and perhaps Orthodox Europe. French became the new Latin. Throughout the early modern period Church Slavonic was the language of learning and literacy in Russia, but it was alien to everyday speech and was taught to a tiny number.
Indeed Latin versus vernacular was only one of many linguistic oppositions in early modern Europe. The vernacular was increasingly used in education, print, government, and administration—but which vernacular? For even within small countries many tongues could be spoken, with important implications for literacy. Seven out of ten of the inhabitants of Wales knew no English and could speak only Welsh in 1800. France was a linguistic Tower of Babel. In 1790 French (*langue d'oil*) was the dominant language in just fifteen of eighty-nine *départements*; six million French could not understand French at all; a further six million could understand it but spoke it only imperfectly; thirty patois were spoken, plus foreign languages like Flemish or German or Basque; only three million could speak French “properly.” The linguistic map of Europe resembles that of literacy: in areas where the language of everyday life was not that of education, contact with outside authority, or printed literature, literacy tended to remain low.
For all the obstacles, dead ends, and inconsistencies in the development of reading and writing, literacy certainly expanded between 1500 and 1800. What, in conclusion, can be said about its uses? Reading tastes changed, notably from the practical to the recreational. New value was placed on originality and novelty in writing. The real growth area in reading material was not the staple texts, which people perused closely, but the more varied, ephemeral, and entertaining fare that was becoming available. Readers ranged more extensively among literary forms, where previously they had focused on a few texts. Between 1700 and 1789 there were published 1,200 French-language periodicals of at least one year’s duration. History and travel books became more popular. While literacy was, by all measures, on the rise in the eighteenth century, it may be that for reasons of cost and availability, or because of limited education, not everyone could enjoy its products. The fully literate indulged themselves in its novelties; the semiliterate remained within their traditional mental world. In his autobiography, Johann Wolfgang von Goethe (1749–1832) recounted childhood memories of enjoying a chapbook literature of magic, chivalry, and saints, which had changed little for centuries. Europe was well on the way to mass basic literacy by 1800, but there were still pronounced divisions in access to and uses of literacy’s products.
**BIBLIOGRAPHY**
Houston, Robert A. *Literacy in Early Modern Europe: Culture and Education, 1500–1800*. 2nd ed. London, 2001. Unrivaled geographical coverage in a comprehensive and readable overview. Contains an extensive bibliography of further reading.
R. A. Houston
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**LITHUANIA, GRAND DUCHY OF, TO 1569.** The dates 1385 and 1569 mark important turning points in Polish historiography concerning the Grand Duchy of Lithuania and the Polish-Lithuanian Commonwealth, a governing myth of which is that of state creation by marriages and free unions. In 1385 the Act of Union signed in Krėva (Krewo) marked the beginning of a federation between the Grand Duchy and the Polish crown that was to last until the third partition of Poland-Lithuania in 1795. Grand Duke Jogaila (Polish, Jagiello; after baptism, Władysław Jagiello) agreed to marry the twelve-year-old queen of Poland, Jadwiga of Anjou. The ceremony occurred 14 February 1386 in Cracow.
Interpretation of the Act of Union hinges on the term *applicare* used in the document: Did Jagiello agree to an incorporation of the Grand Duchy into the Polish state (as Polish historiography once argued), or did he envisage a federation of
two more or less equal states (as Lithuanian historians have insisted)? Polish historiography sees the union as a foundational moment and emphasizes the importance, for the history of early modern Lithuania, of Jogaila’s acceptance of Western Christianity and his baptism of Lithuania (Aukštaitija, the eastern “highlands” around Vilnius, in 1387; Samogitia, or Žemaitija, the western central “lowlands,” in 1417). It also highlights the increasingly strong ties with Poland. Lithuanian scholarship sees the long reign of Jogaila’s still pagan grandfather Gediminas (ruled 1316–1341) as the foundational moment and focuses on attempts to strengthen Lithuanian autonomies after 1385, especially during the reign of Jogaila’s cousin Vytautas (Polish, Witold; ruled 1401–1430) as grand duke of Lithuania. In short, the period 1385–1569, as viewed from the Polish side, was a direct progression from the personal union, through a period of strengthening ties between the two states (during which time a single member of the Jagiellonian house most often ruled both), to the writing into law of a Commonwealth of the Two Nations at the Union of Lublin in 1569. The view from the Lithuanian side is one of lost opportunities for state formation; it focuses on moments of Lithuanian separateness and sees the union as the eventual forced marriage of two very unequal partners.
A mutual enemy helped bring the two states together. The Order of the Teutonic Knights had posed a threat to both Christian Poland and pagan Lithuania since its arrival in Mazovia and on the Baltic in 1226. A decisive victory of Lithuanian and Polish forces over the Order at Grunwald at Tannenberg in 1410 prepared the way for an ultimate subordination of what would become Ducal Prussia to the Polish crown. Lithuanian historiography views the fifteenth century as a missed opportunity, as the decline of a Gediminian concept of Lithuanian statehood and identity after the death of Vytautas in 1430 and its supplanting with a Polish-oriented Jagiellonian dynasty of Lithuanian origin. Polish historiography has emphasized a willing adoption of Polish political and cultural norms. In 1413 at a renewal of the union at Horodło, forty-seven Lithuanian noble families were “adopted” by, and took on the coats of arms of, forty-seven Polish lines. This marked the beginning of a gradual Polonization of the Lithuanian elites that reached Lithuania’s burghers by the early seventeenth century.
The Lithuanian state was multiethnic from the preconversion period. Large territories of Kievan Rus’ (destroyed by the Mongolian Tatar invasion of 1240) gradually came under Lithuanian rule, and the Ruthenian element contributed to Lithuanian identity in later periods. Some individual conversions among the Lithuanian elite were to Orthodoxy, and many underwent a Ruthenianization before submitting to Polonization. Ruthenian became the language of the Lithuanian chancery. Lack of full legal rights for Orthodox Ruthenian nobles (fully granted only in 1563) helped speed the Polonization of Lithuanian (and Ruthenian) society.
The period immediately following the conversion of Lithuania witnessed the first settlements of Tatars and Karaim (around Vilnius and Trakai, among other settlements), to which continuing immigrations were later added those of Poles and Jews. Grand Duke Alexander (ruled 1492–1506; king of Poland from 1501) banished the Jews from the Grand Duchy in 1495 but allowed them to return in 1503. In the fifteenth and sixteenth centuries, Jews were most numerous in Brest, Hrodna (Grodno), and Pinsk, which first comprised the Vaad or Council of the Chief Lithuanian Jewish
Communities. (Vilnius joined only in 1652.) German merchants, engaged in Baltic trade and with contacts to Riga, Königsberg, and Gdańsk, were present in Vilnius before 1386, and their numbers and significance increased here and in other cities of ethnic Lithuania, such as Kaunas, throughout the early modern period. One estimate sees a Grand Duchy of the mid-sixteenth century with a population of about 3 million, of which one-third was Lithuanian and one-half Ruthenian.
The move to formalize the personal union between Poland and Lithuania that culminated in the Union of Lublin on 1 July 1569 gathered momentum as it became clear that the last Jagiellonian king, Sigismund II Augustus (ruled 1548–1572), would indeed die without a male heir. It was again a mutual enemy—now an ascending Muscovy—that helped facilitate the marriage. The middling Lithuanian gentry was now in favor of the union and saw it as a defense of the state against Muscovy. They also saw in the union and the extension of Polish views on the legal equality of the entire szlachta ('gentry,' or 'nobles') a strengthening of their own position vis-à-vis the Lithuanian magnates. The latter, a group of unusually wealthy and powerful families, led in this instance by the Calvinist Mikołaj Radziwiłł the Red, then palatine of Vilnius and chancellor of the Grand Duchy, attempted to block the union. In response to Lithuanian recalcitrance, Sigismund II removed the palatinates of Volhynia, Podlachia, Podolia, Bratslav, and Kiev from the Grand Duchy and subordinated them directly to the Polish crown.
Consequently a much smaller and weaker Grand Duchy of Lithuania entered into the Commonwealth of the Two Nations, forming a federation of two quite unequal partners, with one common, elected ruler, one parliament, and one foreign policy. The Grand Duchy would retain a limited sovereignty with a separate administration, army, treasury, judiciary, and legal system (based on the Third Lithuanian Statute of 1588). Other elements of Lithuanian difference—such as the use of chancery Ruthenian, which was abandoned only in 1697—remained a part of Lithuanian identity for the increasingly Polonized elite after the union. The union would bring Lithuanian causes more directly into the center of Polish politics, especially eastern questions, such as the struggles with the Tatars, the Ottoman Empire, and Muscovy. Population in the Grand Duchy declined sharply in the wars of 1648–1667 (by 46 percent according to one estimate). The growth that began in the 1730s brought numbers back to their prewar peak only by 1790. The Grand Duchy disappeared with the third partition of Poland in 1795.
See also Lublin, Union of (1569); Poland-Lithuania, Commonwealth of, 1569–1795; Poland to 1569; Teutonic Knights; Władysław II Jagiełło (Poland).
BIBLIOGRAPHY
Blaszczyk, Grzegorz. Litwa na przełomie średniowiecza i nowożytności, 1492–1569. Poznań, Poland, 2002.
Davies, Norman. God's Playground: A History of Poland. Vol. 1, The Origins to 1795. New York, 1982.
Kiaupa, Zigmantas, Jūratė Kiaupienė, and Albinas Kunevičius. The History of Lithuania before 1795. Vilnius, 2000.
Ochmański, Jerzy. Historia Litwy. 3rd ed. Wrocław, Poland, 1990.
Stone, Daniel. The Polish-Lithuanian State, 1386–1795. Seattle, 2001.
DAVID FRICK
LITHUANIAN LITERATURE AND LANGUAGE. In the early modern period large portions of the societies of the Grand Duchy of Lithuania underwent Polonization. Polish began to function as a language of culture, politics, commerce, and some daily conversation (even if with a regional accent) for magnates, gentry, and burghers, and there was likely a growing bilingualism among all but rural speakers of the other represented languages. These included above all Lithuanian and Ruthenian (ruskii), an East Slavic language that would eventually be claimed as the progenitor of modern Belarusian and Ukrainian. Both Lithuanian and Ruthenian were used for certain cultural purposes in this period, and this entry will focus on them.
Speakers of other languages were also present. Lithuanian Jews spoke Yiddish and wrote in Hebrew, Aramaic, and Yiddish. The first Hebrew presses in the Grand Duchy were established at Shklov (1783) and Hrodna (1788). German-speaking merchants were present in cities like Vilnius and
Kaunas. Lithuanian Tatars originally spoke a Kipchak Turkic language, but numbers of them quickly assimilated linguistically and used forms of Belarusan or Polish in their *kitabs* (manuscript books of religious stories, legends, fairy tales, and prayers), which they wrote down in the Arabic alphabet. Courland and Livonia were incorporated into the Commonwealth in 1561, and the first book in Latvian, a Catholic catechism, was printed in Vilnius in 1585.
**LITHUANIAN**
Lithuanian elites of the Grand Duchy quickly became Ruthenianized and Polonized, so that the Lithuanian language came to have a highly circumscribed area of use, and monolingual speakers in the later part of the period were peasants. By the early seventeenth century, gentry and burghers of all ethnicities and confessions spoke Polish. The chancery language of the Grand Duchy of Lithuania was Ruthenian until 1697, when it was supplanted by Polish and Latin.
The situation was quite different in Lithuania Minor. After the Peace of Toruń of 1466, a defeated Order of Teutonic Knights established a new capital at Königsberg. Lithuanian speakers were the largest non-German ethnic group in a much diminished Ducal Prussia. With the secularization of the order in 1525 and the introduction of Lutheranism as the state religion, Königsberg became a center for Protestant learning and propaganda, drawing students and professors from neighboring states, including Poland and Lithuania. Lithuanian had higher status in the public life of Ducal Prussia than in the Grand Duchy, finding use in a broader range of institutions (some schools and a large Lithuanian parish in Königsberg).
The oldest printed book in Lithuanian, the Lutheran catechism of Martynas Mažvydas, was printed at Königsberg in 1547. Mažvydas (c. 1520–1563) also produced two volumes of hymns (1566 and 1570). In 1579 Baltramiejus Vilentas (1525–1587) published in one volume Luther’s small catechism (*Enchiridion*) and a translation of the Gospels and Epistles. The Lutheran clergyman Jonas Bretkunas (1536–1602) published a hymnal and a prayer book (1589) and a two-volume collection of sermons (1591), and he worked on an unpublished Bible translation.
The union with Brandenburg in 1618 and the decline of Ducal Prussia from the 1620s led to a lowering of the status of Lithuanian in Prussian society. Nonetheless, these early works of Lutheran church literature provided a basis for the development of written Lithuanian in the Grand Duchy and an impetus for Catholic authorities to respond in kind. In the Grand Duchy, two competing forms of written Lithuanian emerged, a variant based on the central dialects of Samogitia and a second that favored the eastern variant of historic Lithuania with its seat around Vilnius. The canon of the episcopal college of the Samogitia diocese Mikalojus Daukša (d. 1613) produced the first Lithuanian book printed in the Grand Duchy; it was a translation of the Spanish Jesuit Diego de Ledesma’s Catholic catechism (1595). In 1599 he produced a translation of the Polish Jesuit Jakub Wujek’s monumental postil, which he prefaced with a Polish-language defense of the Lithuanian language. These two works quickly drew a Calvinist response. Merkelis Petkevičius, a clerk at the Vilnius court and supreme tribunal, published a catechism and small hymnal in 1598, and Jokūbas Morkūnas published a translation of the Calvinist Mikołaj Rej’s Polish postil in 1600. These were all works in the central dialects that would play a leading role in the nineteenth-century revival.
The eastern dialect was employed in a second translation of Ledesma’s Catholic catechism (1605) and by the Jesuit Konstantinas Sirvydas (Szyrwid) in his Latin-Polish-Lithuanian dictionary (*Dictionarium Trium Linguarum*, before 1620, 1631, 1642, 1677, 1713, and 1718) and in his bilingual (Polish and Lithuanian) collection of sermons published in Vilnius (vol. 1, 1629; vol. 2, 1644). Public use of Lithuanian declined dramatically in the second half of the seventeenth and throughout the eighteenth centuries, a result of the increasing Polonization of all but peasant societies in the Grand Duchy.
**RUTHENIAN**
Historians of Belarusan language and literature lay claim to a portion of early modern Ruthenian (*ruskii*). This was a language at only the earliest stages of normalization, spoken and written by the Orthodox and Uniates of the Polish-Lithuanian Commonwealth and, by the mid-seventeenth century, showing the beginnings of differentiation
from Ukrainian variants. In this genetic schema, the language is sometimes called “Middle Belarusian.” Texts manifesting Ukrainian and Belarusian features were all labeled Ruthenian. They circulated and were read throughout the Ruthenian lands; moreover, some writers from Ukrainian lands, whose texts contained Ukrainian features, were active and printed their works in centers more closely connected with Belarus (e.g., Vilnius).
Ruthenian chronicles brought the history of Rus’ into the period of its incorporation into the Grand Duchy of Lithuania, telling of the events of the fifteenth to the seventeenth centuries (the *Chronicle of the Grand Dukes of Lithuania*, the First, Second, and Third Belarusian Chronicles). The pioneer printer Frantishak Skaryna employed a version of the language in the forty-nine exegetical prefaces to the books of his Church Slavonic Bible (1517–1525). The Protestant minister Szymon Budny published a Ruthenian catechism at Niasvizh in 1562, and the Antitrinitarian Vasil’ Cjapinski published fragments of a Ruthenian New Testament in the 1570s. Ruthenian served as a medium for testaments and much state, diplomatic, and private correspondence, as well as all chancery and legal functions in the Grand Duchy of Lithuania until the Union of Lublin (1569), which ushered in an accelerating Polonization. Lithuanian elites, who had first Ruthenianized, now—along with Ruthenian elites—made increasingly broad use of Polish. Ruthenian nonetheless remained the chancery language of the Grand Duchy until 1697, when it was officially replaced by the Polish that had been making steady gains in practical employment throughout the seventeenth century. In addition to the use of Ruthenian in the record books of the Grand Duchy’s courts and chancery, we may note the three versions of the Lithuanian Statute, which were printed in Ruthenian in 1529, 1566, and 1588. We also have memoirs (Fiodar Ieūlasheŭski, 1546–1604; Afanasii Filipovich, c. 1597–1648) and a few sermons (Laontsi Karpovich, c. 1580–1620) and polemical works from the period immediately following the Union of Brest (1596). Simeon Polotskii (1629–1680) was the leading practitioner of syllabic verse (based on Polish models) in Belarusian. This variant of Ruthenian declined in public use and social status with the shift of Ruthenian cultural centers to Ukrainian cities (Lviv, then Kiev) and with the increasing Polonization of Belarusian elites.
*See also* Belarus; Polish Literature and Language; Reformations in Eastern Europe: Protestant, Catholic, and Orthodox; Ukrainian Literature and Language.
**BIBLIOGRAPHY**
*Primary Source*
Rothe, Hans, ed. *Die älteste ostslawische Kunstdichtung, 1575–1647*. Bausteine zur Geschichte der Literatur bei den Slawen, vol. 7. Giessen, Germany, 1976–1977.
*Secondary Sources*
Martel, Antoine. *La langue polonaise dans les pays Ruthènes: Ukraine et Russie Blanche, 1569–1657*. Lille, France, 1938.
McMillin, Arnold B. *Die Literatur der Weissrussen: A History of Byelorussian Literature: From Its Origins to the Present Day*. Bausteine zur Geschichte der Literatur bei den Slawen, vol. 6. Giessen, Germany, 1977.
Zinkevičius, Zigmas. *The History of the Lithuanian Language*. Vilnius, 1996.
David Frick
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**LIVONIAN WAR (1558–1583).** In 1558 Tsar Ivan IV the Terrible began over twenty years of war for a Baltic foothold by invading eastern Estonia, an area made vulnerable by factional divisions within the Livonian Order (the Order of the Brothers of the Sword) and political conflict among the order, the archbishopric of Riga, and the increasingly Protestant population of the towns. Moscow’s potential rivals—Sweden and Poland—were preoccupied with other concerns; Muscovy therefore enjoyed early success. By 1560 Narva and Dorpat and most of the Livonian interior as far as Courland was under Muscovite occupation. But this provoked the Danes, Sweden, and Poland into entering the war.
The second phase of the Livonian War (1563–1571) saw Muscovite armies invade Lithuania; Polotsk, Ozerishche, and other towns along the Western Dvina quickly fell to them. The tsar planned to install Duke Magnus, brother of Denmark’s King Frederick II, as vassal king of Livonia to secure a Danish alliance to drive the Swedes out of Riga and Pernau (Pärnu), which they had seized in 1560. Muscovite occupation of northeastern Lithuania finally convinced the Lithuanian nobility to accept closer administrative union with Poland in a
Commonwealth (in the Union of Lublin, 1569), which considerably increased the military resources available to the Polish crown. Frederick II not only withheld the support Duke Magnus needed to expel the Swedes but signed a treaty with the Swedes at Stettin in 1570. The deposition of King Erik XIV brought to the Swedish throne John III Vasa (ruled 1568–1592), who was the son-in-law of King Sigismund II Augustus of Poland and was inclined to view Muscovy as a greater threat than Poland to Swedish interests in Livonia. The military stalemate in Lithuania and Livonia had meanwhile left Muscovy’s southern frontier undermanned, with the result that Khan Devlet Girei took a large Crimean Tatar army deep into central Muscovy, sacking and burning Moscow itself in 1571.
In the third phase of the war (1572–1577) Ivan IV exploited the interregnum following the death of Sigismund II to mount another major offensive in Livonia. But the Muscovites were still unable to capture Reval (Tallinn) or Riga. Meanwhile the Commonwealth’s newly elected king Stephen Báthory (ruled 1576–1586) was able to achieve rapprochement with the Ottomans and Crimeans, to convince the Sejm to raise taxes for a much larger army of 56,000 men, and to negotiate an alliance with the Swedes. By contrast Ivan IV was finding it harder to maintain large Muscovite forces in the field, for years of heavy taxation and manpower mobilization from the western Muscovite provinces (particularly Novgorod and Pskov) had left these districts devastated.
In 1578 Polish and Swedish armies combined to deal the Muscovites a crushing defeat at Wenden (Cēsis). This marked the war’s final phase, which was catastrophic for the Muscovites. Over the next three years they were pushed out of Livonia altogether. Stephen Báthory recaptured Polotsk and the other towns of the Western Dvina region in 1579–1580 and carried the war into western Muscovy, placing Pskov under protracted siege in 1581. By the end of 1581 the Muscovite garrisons at Narva, Ivangorod, Yama (Kingisepp), and Kopor’e had fallen to the Swedish general Pontus De la Gardie. Ivan IV was compelled to sign a ten years’ armistice with the Commonwealth at Iam Zapol’skii in January 1582 and a three years’ armistice with Sweden at Pliuss in 1583. The tsar thereby forfeited all the lands his armies had occupied along the Baltic coast. Central and southwestern Livonia came under Commonwealth control; the Swedes took Estonia and the territory along the Gulf of Finland.
See also Ivan IV, “the Terrible” (Russia); Lublin, Union of (1569); Northern Wars; Poland–Lithuania, Commonwealth of, 1569–1795; Sigismund II Augustus (Poland, Lithuania); Stephen Báthory; Sweden; Vasa Dynasty (Sweden).
BIBLIOGRAPHY
Frost, Robert I. *The Northern Wars: War, State, and Society in Northeastern Europe, 1558–1721*. Harlow, U.K., and New York, 2000.
Koroliuk, V. D. *Livonskaia voina: Iz istorii vneshnei politiki russkogo tsentralizovannogo gosudarstva vo vtoroi polovinie XVI v*. Moscow, 1954.
Roberts, Michael. *The Early Vasas: A History of Sweden, 1523–1611*. Cambridge, U.K., and London, 1968.
Brian Davies
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**LOCAL GOVERNMENT.** See Cities and Urban Life; City-State; Intendants; Provincial Government; State and Bureaucracy.
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**LOCKE, JOHN** (1632–1704), English philosopher, political and educational theorist, political economist, scholar, statesman, and sometime physician. John Locke, one of the leading figures in the history of English letters, was born on 29 August 1632 in the village of Wrington, Somerset, and was immediately surrounded by the political and religious controversies that were always to be at the center of his life. His parents were Puritans, and his father later fought on the Parliamentary side in the Civil War. Locke attended Westminster School from 1646 to 1652, when he was elected to a studentship at Christ Church, Oxford, from which he graduated in 1656. During this period, he wrote but did not publish a pair of essays criticizing the extensive conceptions of religious indifference and toleration advocated by Edward Bagshawe’s *The Great Question concerning Things Indifferent in Religious Worship* (1660), and he delivered a series of lectures on natural law.
At Oxford, Locke was a friend of the scientist Robert Boyle and other original members of the
Royal Society, to which Locke himself was elected in 1668. Rather than take religious orders, he changed his studies to medicine and was trained and influenced by the physician Thomas Sydenham. On a diplomatic mission to Cleves in Brandenburg in 1665, Locke experienced an unanticipated degree of toleration, which seems to have had a major impact on his philosophical and political thinking. In 1666 he had met Anthony Ashley Cooper, subsequently the Earl of Shaftesbury, into whose household he moved in 1667 as the earl’s personal physician and advisor, political aide, and author of political documents.
Shaftesbury, who fell into and out of grace with the king, was at the center of Restoration politics, and Locke was invariably at his side. For Shaftesbury Locke wrote a tract defending toleration in 1667, a draft constitution for the Carolina colony of which Shaftesbury was a proprietor, a defense of the king’s prerogative power to issue a declaration of religious toleration in 1669, and—most important—the *Two Treatises of Government*. It was also while he was a member of the Shaftesbury household that Locke’s interest in philosophy deepened, and he completed various drafts of his *Essay concerning Human Understanding*.
Locke returned to Oxford in 1675, but like Shaftesbury he later went into political exile in the Netherlands, where he remained until 1689. There he enjoyed the friendship and support of Jean Leclerc, to whose *Bibliothèque universelle et historique* (1686–1693) he made several contributions, and Phillip Limborch, to whom he would dedicate the *Epistola de tolerantia*, published anonymously in the Netherlands in 1689 and translated into English (also anonymously) the next year as the *Letter concerning Toleration*. During his exile, Locke completed much of the final version of the *Essay*, an abstract of which was published by Leclerc in 1688.
While in the Netherlands, Locke presumably was involved in Monmouth’s Rebellion in 1685 and in the politics of the Glorious Revolution of 1688, which brought the Dutch sovereign William of Orange and his wife Mary, daughter of James II, to the English throne. Locke himself returned to England in 1689 and began his public literary career, publishing the works that would establish his status in the pantheon of western philosophy and political theory. The *Essay concerning Human Understanding* appeared in December 1689 (dated 1690), and the *Two Treatises* were published anonymously in 1690.
The *Essay* is regarded as one of the foundational works of modern empirical, or rather “experiential,” philosophy. It opens with an extensive attack on the notion that some ideas are “innate,” arguing, on the contrary, that the human mind at birth is a “blank slate” (*tabula rasa*) but has the capacity to perceive and reason. Locke went on to claim that all ideas and knowledge are acquired from experience, which can be either sensationalist or rational, and that they bear direct relationships to a real, external world. The *Essay* also deals with language, its relationship to ideas, and its imperfections and abuses, and with reason and its role in the acquisition and assessment of knowledge. This “rationalism,” albeit less extreme than that of René Descartes (1596–1650), is sometimes seen as conflicting with the rest of the *Essay*, but the apparent contradiction between the two positions can be
found throughout the work. In a move that would be anathema to modern empiricists, Locke occasionally sidestepped difficult philosophical issues by referring to their resolution in the ultimately unknowable mind of God, for faith, as the acceptance of revelation, was one of the cardinal supports of Locke’s entire system.
The *Two Treatises* are equally foundational for subsequent political philosophy as is the *Essay* for empirical philosophy, and their reliance upon divine will is even more overt. Written in the early 1680s as part of Shaftesbury’s exclusion campaign, the work was not published until 1690, when it was issued as a theoretical support of the successful Glorious Revolution. The *Two Treatises* were directed against the patriarchal theory of Sir Robert Filmer (c. 1588–1653); the *First Treatise*, in particular, was a detailed and sometimes page-by-page attack on patriarchalism. In the *Second Treatise* Locke developed his own political theory, which was also an implicit assault on Thomas Hobbes (1588–1679), whom Locke never identified. Locke replaced Filmer’s divine right sovereignty, derived from the paternity of Adam, with a conception of government and politics based on vaguely articulated notions of natural law and natural rights. He posited a pre-political state of nature characterized by human equality and freedom, the ownership of the world in common by God’s grant, and legitimacy based on consent. Personal property was acquired by the mixing of one’s labor with that which was common.
The most important part of Locke’s criticism of Filmer was his insistence that fatherhood and political government are distinct forms of authority. Filmer had asserted their identity. Locke, however, was at pains to argue that while political or civil society had emerged historically and anthropologically from the household, paternal and political dominion were altogether distinct. The act of consent transformed fatherhood into government and undergirded all subsequent legitimacy.
The *Two Treatises* are perhaps best known for their theories of property and revolution. Government, according to Locke, is a human contrivance made necessary by the growing complexities of the state of nature and especially by the increasing insecurity of personal property. Locke had two conceptions of “property.” In the state of nature (through chapter V of the *Second Treatise*), “property” meant land and goods, including money; in civil society, however, it almost always meant “life, liberty, and estate,” which was the more widely accepted meaning in seventeenth-century England. Locke’s initial reliance upon the former definition—and the subsequent importance of the *Two Treatises*—undoubtedly played a large role in popularizing that narrower understanding among modern English speakers, but his shift back to the more conventional and broader meaning was the source of some ambiguities in his political theory.
The purpose of government according to Locke is to protect property, and it is in return for that protection that people agree to transfer to the government their individual rights to interpret and enforce the law of nature. When the government no longer provides that protection, or if it becomes an enemy to property, the duty to obey is superseded by a right of revolution, whereby the power and authority conveyed to the government revert to the people (or their representatives) who may then establish a new government.
The *Letter concerning Toleration* is a specific application of the principles of the *Two Treatises*. What was innovative and radical about the *Letter* was the argument that religious imposition went so far beyond the legitimate competence of the magistrate as to be a ground for resistance. Locke drew a firm distinction between the secular ends of magistracy and the religious ends of churches. In doing so, he made a bolder move toward genuine religious liberty than had any of his contemporaries. But Locke excluded Roman Catholics from this toleration, alleging, like many of his contemporaries, that they owed their primary political loyalty to the pope rather than to civil rulers. He was confident, however, that Protestant Christians could live at peace within one civil society despite their diverse religious beliefs.
Locke spent the rest of life in public service and writing. He was a member of the Board of Trade and published revisions of the *Essay*, replies to criticisms of the *Letter concerning Toleration*, and tracts on education, religion, and money, some of which were published after his death. Locke died on 28 October 1704 at Oates, Essex, at the home of Sir Francis and Lady Masham (the daughter of the
Cambridge Platonist Ralph Cudworth), where he had been living since 1691. He is buried in High Laver Church in Essex. Much of his massive collection of personal manuscripts—including journals, diaries, letters he received, and copies of those he sent—and a substantial part of his library have survived and are now in the Bodleian Library at Oxford.
See also Constitutionalism; Empiricism; Epistemology; Glorious Revolution (Britain); Natural Law; Philosophy; Political Philosophy; Rights, Natural; Toleration.
BIBLIOGRAPHY
Primary Sources
Locke, John. An Essay concerning Human Understanding. Edited by Peter Nidditch. Oxford, 1975.
———. Two Treatises of Government. Edited by Peter Laslett. 2nd edition. Cambridge, U.K., 1988.
Secondary Sources
Ayers, Michael. Locke. New York, 1991.
Franklin, Julian H. John Locke and the Theory of Sovereignty: Mixed Monarchy and the Right of Resistance in the Political Thought of the English Revolution. Cambridge, U.K., and New York, 1978.
Marshall, John. John Locke: Resistance, Religion, and Responsibility. Cambridge, U.K., and New York, 1994.
Yolton, John W. Locke: An Introduction. Oxford and New York, 1985.
———. Locke and French Materialism. Oxford and New York, 1991.
GORDON SCHOCHE
LOGIC. Recent research on the seemingly staid subject of logic has revealed not only that certain topics in logic explained how inductive reasoning came about, but also that logic itself learned to create its own history in which logic arose from simple beginnings, but over time developed ever better ways of thinking, eventually becoming a progressive force in the history of thought. Furthermore, by the eighteenth century, the history of logic served as the structure for the history of philosophy, as well as an encyclopedia of knowledge known as historia literaria.
Although the importance of inductive reasoning to natural philosophy has been acknowledged, other research has shown that the tradition of inductive logic, which historians of the scientific revolution have identified as new, was actually developed by Aristotelian philosophers. The best known of these is the Paduan philosopher Jacobo Zabarella. His logic developed in part as a criticism of Florentine Neoplatonism and the medieval Scotist philosophy. This tradition of logic was taught not only in Italy but also in England, where logic texts by Zabarella have been found to have been used as school texts. Further, in Germany there remain today ninety-seven copies of Zabarella’s Opera Logicae. This logic was then adopted by Bartholomew Keckerman for more elementary teaching and finally adopted again during the second half of the seventeenth century in Finland and Scandinavia after the Ramus vogue had run its course. Finally, at Jena, texts by Zabarella and the Coimbra commentators from Portugal were seen to be the beginning of a tradition of logic that led to the philosophy of John Locke (1632–1704) and Robert Boyle (1627–1691).
The best way to explain the difference between the Neoplatonic and Scotist approaches to knowledge and logic is to follow the debate around what is now considered a guiding logical and philosophical question between 1500 and 1750: What was the first thing thought? Was it the pure concept of an object or idea as defined by the Neoplatonists and some Scotists, that is, an idea conceived in the mind without recourse to the unreliable senses? Was it being, or ens, as Thomas Aquinas wrote? Or was it a fuzzy notion of a whole object or concept that needed to be examined, carefully defined and refined, and finally, when more was known about it, completely reexamined?
The great innovators of logic in the seventeenth century—Francis Bacon (1561–1626), Pierre Gassendi (1592–1655), Robert Boyle, and John Locke—continued and transformed this anti-Platonic, anti-Scotist tradition. These anti-Platonic philosophers held that there were two types of knowledge, divine and human, each with its own method. Divine knowledge was accessed through inspiration; human knowledge, or artificial knowledge, had to be learned through the senses. The anti-Platonists often quoted Aristotle as saying, “There is nothing in the mind that is not in the senses.”
Many philosophers did work on inductive reasoning, beginning with the sixteenth-century Aristotelians Benedito Pereira in Rome and Zabarella in Padua. Their work was drawn upon and transformed by Bacon, Boyle, and Locke in England, Gassendi and his followers in France, and members of a new German school of philosophy known as eclecticism. The eclectics, like their counterparts in England and France, were both anti-Platonic and anti-Cartesian. They gave their tradition a historical dimension, writing that since no human being could know everything, philosophers should examine the reasoning of past philosophers, criticize or accept the methods they had used to reach their conclusions, and finally judge the validity of the original concepts. Using improved logic, each philosopher would then add new information to explain his findings. Eclecticism also referred to a Neoplatonic philosophy that tried to unify all knowledge under one idea by such early church fathers as Clement of Alexandria. Although it had the same name, this was very different from German eclecticism.
How is it possible to classify Gassendi, Bacon, and Locke together? Here one can realize the pitfalls of assigning one name to logical schools. For example, Gassendi did write a treatise attacking scholastic logic, *Adversus Aristoteleos* as he called it. This treatise was really attacking the self-referential syllogistic reasoning of dialectic, and often criticizes the Scotist philosopher Eustachius St. Paul, teacher of Descartes, and quotes Benedito Pereira, the anti-Platonic and anti-Scotist Aristotelian at the Collegio Romano. Gassendi dismissed Eustachius as Scholastic or Aristotelian, while he was developing his own version of the anti-Platonic logic of the sixteenth century that he reworked with his own recreation of Epicurean logic.
A further discussion of logic can be reduced to five points: 1) the use of rhetoric as a tool of persuasion by logicians; 2) the transformation of logic by anti-Platonic Aristotelian philosophers and their development of the question, *De primo cognito?*, ‘What was the first thing thought?'; 3) this orientation of logic leads to the very specific criticism of the Neoplatonic myth of the *prisca philosophiae*, the ‘first philosophers'; 4) the development of a technical vocabulary for natural philosophy that was a direct result of inductive logic: as myth and metaphor were rejected for biblical commentary, so Platonic myth and metaphor was to be shunned for inductive reasoning; 5) the hermeneutic of language for logic, which was then applied to the writings of logicians in the past and provided a tool for judging past thought. Thus the history of philosophy was born, and its midwife was logic.
**RHETORIC AND LOGICAL REASONING**
The scholarship of Letizia Panizza and Heikki Micheli has made it quite clear that, as Micheli writes, “there is no justification for separating rhetoric from logic.” The model of the correct logical proof changed dramatically when techniques of rhetoric were used. As Panizza explains, medieval philosophers “who learned their dialectic mainly from Boethius commentaries on Cicero and manuals of logic did not pay attention to Aristotle and Cicero on the close rapport of dialectic and rhetoric” (Cicero’s *De Oratore*, a work only known after 1421). Panizza also explains that by the end of the fifteenth century, “Aristotle is held up as a model for an orator who wants to unite not only eloquence with philosophy in general, but rhetoric with dialectic.”
She goes on to explain that logic was the instrument for philosophical thought, while rhetoric was the technique used to convince the reader. The philosophers adopted the persona of the orator, which was about the only technique used by Renaissance historians. By the time Zabarella (1532–1589) published *De Methodis* in 1578, rhetoric was being used to convince the reader of his method. Zabarella began each book of his treatises with a summary statement of method in which he declared his objectivity about his topic and his modesty towards knowledge, just as historians before him had done. After declaring his objectivity, he stated why his method of logic was superior to all others.
But the philosopher’s use of the first person, in imitation of the speech of an orator, really developed in France with René Descartes’s (1596–1650) *Discourse on Method* and Gassendi’s persuasive voice in the *Syntagma*. In his work, Descartes declared the originality of his thoughts. He tended to assert the truth of his logical statements with rhetorically styled sincerity rather than engage in argument. Regius, a fellow philosopher, was so annoyed at the Cartesian use of persuasion rather than logic for proof that he wrote to Descartes, “any mad man can
claim he is right.” Descartes declared, “I think therefore I am.” On the contrary, the first thing thought by Gassendi was not an a priori judgment; to him, thought had a history. He studied what past philosophers had thought, and he judged and critically examined the logic of the position. This led him to write a history of logic, the first comprehensive history up to that time.
**ANTI-PLATONIC PHILOSOPHERS**
Charles Schmitt wrote that Zabarella’s logic set the stage for the logic used in the seventeenth century. Logic texts quoted Zabarella’s attack on a priori reasoning and praised his logical method of setting out information not only in the seventeenth century but into the eighteenth. Johann Syrbius of Jena began his 1715 logic text with a critical history of the attack against a priori reasoning. He begins with a short historical discourse on the proposition that species originated in the mind, beginning with a quote from a commentary on Aristotle’s *De anima* by the Portuguese Coimbra philosopher and Zabarella and ending by having linked the earlier traditions with the contemporary philosophy of John Locke and Robert Boyle. He also criticized Descartes, who believed that the species originated in the mind.
**NEOPLATONISM**
Not only was a priori reasoning rejected by specific philosophers, but the same anti-Platonic argument was used against the nonhistorical view that the *prisci philosophiae* or *prisci sapientes* could have known all of human knowledge without having learned it. For the Neoplatonists there was one truth that could be found in different forms in different religions around the world. This universal truth was proposed in the fifteenth century by Marsilio Ficino and was still of interest in the seventeenth to the Jesuit polymath Athanasius Kircher. Kircher’s magnificently illustrated book of Noah’s Ark, in which all of the knowledge known intuitively by early man is set out among the rooms, is a delightful visualization of universal knowledge.
There was an encyclopedia based on the other view. Zabarella said that as unlearned men, the *prisci* only knew what was in their nature. As the first thing thought was only hazily understood and had to be observed, identified, and then named, human civilization followed the same pattern. Initially humans knew nothing and had to understand the world through trial and error. A clever person appeared and made improvements, then others asked to become apprentices so that they could learn the logic of that person’s way of working. Finally, all of this knowledge was written down. Adam, Moses, and Hermes Trimegistus are not part of this world: they all had only natural knowledge.
Just as there was not only one universal truth, there was not only one logical method for all disciplines. The greatest and most comprehensive history of disciplines was set out in 1708 in the *Polyhistor* by Georg Morhof (1639–1691). He articulated the difference between the disciplines as a logician articulates the difference between different sense impressions in inductive reasoning. Once the field of learning was identified, then the early and unclear beginnings of thought could be described and its history told as the history of the progress of the logic of that field of knowledge.
**THE VOCABULARY OF NATURAL PHILOSOPHY**
If logic could control the organization of knowledge, it also dictated correct vocabulary. Research has shown that this hermeneutics of language was used as a weapon against Platonic philosophers. Perhaps no one was criticized for his vocabulary more than Paracelsus (c. 1493–1541), the innovative medical philosopher who developed a vocabulary for spells to use in medicinal cures. Medical doctors like the Swiss Thomas Erastus (1524–1583) attacked the Paracelsian language of spells for its attempt to be universal. Erastus said that no word is universal, but is particular to the civilization in which it is found. Spells and magic tried to unite heaven and earth into a chain of being that did not exist, Erastus complained. He asserted that there was a separation between the realms.
If natural philosophy and medical science were to improve, logic had to be used. Logic must order sense perceptions in such a way that what is known is recorded and what is unknown discovered. To do this, a precise vocabulary had to be devised. There was such interest in identifying the correct type of vocabulary for inductive reasoning and identifying Platonic or Scotist definitions that at the turn of the seventeenth century Goclenius’s *Lexicon* was published, which set out the different types of words for different types of logic.
APPLICATION OF LOGIC TO THE PHILOSOPHY OF THE PAST
Not long after Zabarella’s attack on the logic of *prisci sapientes*, the various types of logic of the various philosophers came under scrutiny. Anthony Grafton pointed out that Isaac Casaubon discovered that the Neoplatonic texts by Hermes Trismegistus were third-century forgeries. This discovery paved the way for a reassessment of Egyptian civilization. When the logic of earlier philosophers was identified, examined, and judged, an important change occurred: the critical characterization of the logic of past philosophers, the identification of philosophers not chronologically but by the success of their logic, changed the way people viewed past philosophy.
Pierre Gassendi wrote the first history of logic. His little-known work *De Logicae Origine et Varietate*, published in 1648 as a preface to the *Syntagma*, took the reader on an intellectual trip from the logic of Adam to the logic of Descartes. Adam, wrote Gassendi, did not have logic when he argued with the snake: “He was merely quibbling.” He also argued that none of the patriarchs in the Bible were capable of logic either. Logic began with the Greeks and Zeno. Gassendi then criticized Plato’s logic because it depended on a priori thinking and “was too much like theology.” Although he admitted there was much to admire in Aristotle’s logic, Gassendi wrote that it had been spoiled by his followers.
Gassendi admired the logic of the ancient philosopher Epicurus, based on inductive reasoning. Gassendi constructed a believable Epicurean logic in this text that appeared in student logic texts until the mid-eighteenth century. Jean le Clerc, friend of both Robert Boyle and John Locke, wrote perhaps the most widely used of these logic texts. From Epicurus, Gassendi passed over the Middle Ages, cramming one thousand years into two paragraphs, then began in the early modern period with Francis Bacon and the establishment of inductive reasoning. Bacon, wrote Gassendi, went the “heroic way.” Gassendi made Bacon as the hero of contemporary thought. There is a great deal of rhetoric in this history of logic.
Finally, the complete triumph of logic as the history of logic came with the work of the German historian of philosophy Jacob Brucker (1696–1770). At Jena, Brucker was a student of Johan Jacob Syrbius, who had linked contemporary English inductive reasoning with the earlier logic of the Coimbra commentaries and Zabarella’s *De Methodis*. In 1723, Brucker wrote a history of logic called *Historia Philosophia Doctrinae de Ideis*. In this work he attacked the *prisca philosophiae* in the person of Zoroaster. Following Gassendi, whose history of logic he knew, Brucker judged each philosopher by whether he used inductive reasoning. He praised Epicurus among the ancient philosophers and dismissed Renaissance philosophers like Valla and Vives, while praising John Locke and Robert Boyle.
Although the early modern period saw many breaks with past tradition, it did not usher in a new logic all at once. Rather, it was a period in conversation with past philosophy: sometimes it agreed, sometimes it disagreed, and sometimes the philosopher transformed his sources beyond recognition. As the *De primo cognito?* question was reworked by the anti-Platonic philosophers, the concept of intellectual (as opposed to chronological) progress developed in the sixteenth and seventeenth centuries. Nowhere can the concept of progress be seen more clearly than in the history of logic.
*See also* Aristotelianism; Bacon, Francis; Boyle, Robert; Cartesianism; Descartes, René; Gassendi, Pierre; Locke, John; Natural Philosophy; Neoplatonism; Philosophy.
**BIBLIOGRAPHY**
*Primary Sources*
Brucker, Jacob. *Historia Philosophia Doctrinae de Ideis*. Augsburg, 1723.
———. “De Reformatione Philosophiae Rationalis Recentiori Aetate Tentata.” In *Historia Critica Philosophiae*. 2nd ed. Leipzig, 1754. Reprint with English translations of Brucker’s Praefatio and definitions of Eclecticism and Syncretism, edited by Constance Blackwell. Bristol. Forthcoming.
Gassendi, Pierre. “De Logicae Origine et Varietate.” In *Opera Omnia*, vol. 1, pp. 35–66. Leiden, 1658. Reprint, Stuttgart-Bad, 1994. The English translation, *Pierre Gassendi’s “Institutio Logica”* (1658): *A Critical Edition and Introduction* by Howard Jones (Assen, 1981) does not include a translation of Gassendi’s history of logic.
LONDON. The most salient feature of London’s experience in the early modern period was the enormous growth of its population. From approximately 70,000 inhabitants in 1500, it grew to 200,000 by 1600, to 400,000 by 1650, to 575,000 by 1700, and had reached 900,000 by 1800. Its position in the tables of European urban centers rose from sixth place in 1500 to third in 1600 (after Naples and Paris), and it outstripped Paris to reach the top position soon after 1650. Whereas it contained about 2 percent of the English population in 1500, by 1700 it had reached around 10 percent, and this level was sustained through the eighteenth century. Mortality levels were extremely high in London: indeed they deteriorated after the disappearance of plague in the later seventeenth century because the capital acted as a reservoir of infections. For much of the eighteenth century tuberculosis, typhus, and smallpox were major killers. It was only from the 1760s that mortality conditions began to improve. This meant that the city’s growth could only be sustained by a constant flow of migrants who came from every corner of England and Wales (and increasingly from Scotland and Ireland and the European mainland, too). By 1700 London needed probably about 8,000 newcomers a year. Only something between 20 and 30 percent of Londoners had been born in the city. And because London acted as a revolving door, not only receiving people, but sending them back to the provinces, as many as one in six of the national population had experience of London life by 1700.
ECONOMIC CHANGE
The cities that grew most rapidly in early modern Europe were capitals or ports. London was both. In the early sixteenth century London already accounted for 75 percent of the country’s international trade, but it was dangerously dependent on the export of the key staple of woolen cloth to the Antwerp entrepôt in return for luxury goods. By 1600 the pattern of trade was already diversifying, as the disruptions to trade with the Low Countries encouraged London merchants to seek direct access to goods they had previously obtained there. The merchants of London returned to the Mediterranean in the 1570s, began voyaging to the East Indies in 1600, and began to develop trade with the Americas in the early seventeenth century. London entered a new phase of import-led growth, and re-exports, particularly of colonial products like tobacco, became increasingly important. By 1700 London handled 80 percent of the nation’s imports, 65 percent of its exports, and 85 percent of its re-exports.
As a capital city London benefited from the increasing centralization of government. As the royal court became more sedentary and also asserted its monopoly of patronage, the landed elites came to
see a London residence as essential to the maintenance of their power and influence, contributing to the beginning of the London winter season from 1600 onward. Likewise, the huge increase in the volume of litigation in the central law courts brought more people to the capital on legal business. This in turn contributed to the concentration of the professions in the capital: by 1730 London contained at least a quarter of the country’s solicitors and attorneys. The development of the fiscal military state from the 1690s onward brought about both an increase in the size of the government apparatus (as well as annual Parliaments) and a huge expansion in the financial services sector as London acquired the key banking and insurance institutions.
London’s role as capital city and port contributed to its role as center of manufacturing and shopping. The residence of the elites brought an immense demand for luxury goods in its wake, while the import trades spawned spin-off industries like sugar refining and silk weaving. Whereas in 1500 the economy had been dangerously dependent on the state of the cloth trade, the broadening of the manufacturing base contributed to the long-term resilience of the city economy. London’s manufactures became increasingly heavily capitalized, entailing a diminution in the role of the self-employed artisan and a growth in larger enterprises. London was not, however, to be the cradle of the industrial revolution, and in the later eighteenth century the proving ground of industrial innovation lay in the provinces. The high labor costs associated with the capital meant that London came to concentrate on the finishing of industrial goods and on the luxury trades, but it remained the largest manufacturing center in Europe at the end of the eighteenth century. Likewise, the enormous demand represented by the concentration of people in London encouraged the precocious development of specialist retailing facilities. Already in the 1490s foreign travelers marveled at the wealth of the goldsmiths’ shops in Cheapside; in the early sixteenth century moralists bemoaned the proliferation of haberdashers’ shops selling fripperies; in 1568 London acquired its first shopping mall in the galleried arcades of Sir Thomas Gresham’s Royal Exchange, a model for other purpose-built retailing emporia in the West End in the seventeenth century.
The concentration of the social elites in the capital for the London season contributed to the proliferation of entertainments and the increasing commercialization of leisure. One of the earliest manifestations of this was the amphitheater playhouses (three were built in 1576–1577) with capacities of upwards of 1,500. Although subject to the constant strictures of the moralists and the fitful regulation of a nervous government, the theaters became an established feature of the London social scene. Commercial concerts began in the 1670s; although aristocratic patronage was critical in attracting high-class composers and vocal and instrumental performers, there was enormous public interest in the performances, the rehearsal for Handel’s *Music for the Royal Fireworks* (1749) having an audience of twelve thousand. Citizens had long found recreation in the fields about the city, but physical expansion meant that it was necessary to create designated recreational promenades, beginning with Moorfields in 1608, but soon supplemented by the more fashionable Lincoln’s Inn Fields and St. James’ Park. By the eighteenth century the metropolitan area was studded with a variety of pleasure gardens, their differential pricing ensuring that the classes would not have to mingle too much. Much cultural and social exchange, of course, continued to take place in the city’s drinking establishments: by the 1730s London boasted at least 200 inns, 500 taverns, 6,000 alehouses, and 550 coffeehouses.
**SOCIETY AND GOVERNMENT**
The two foci of court and port affected the social geography of the city. The City proper, the area under the jurisdiction of the Lord Mayor and aldermen covering what is now known as the “square mile,” was, although not socially uniform in character, increasingly dominated by the commercial elites. This process was reinforced after the Great Fire of 1666, which destroyed 87 parish churches, 13,200 houses, and many public buildings. Although it proved impossible to realize the ambitions for a comprehensive redesign of the city’s layout, the post-Fire rebuilding changed its face, as brick replaced timber and lath, and many overcrowded
tenements were not rebuilt. Meanwhile the landed elites, many of whom had maintained residences in the City in the later Middle Ages, migrated westward toward Westminster, which constituted a separate focus for growth. The West End was characterized by a large number of speculative housing developments, usually regular terrace rows in wide streets and squares, many of them sponsored by the aristocracy themselves. By contrast, the eastern suburbs were dominated by the port, the miles of dockyards generating a huge demand for casual (and often seasonally unemployed) labor, and a variety of industrial activity, including shipbuilding, as well as the processing of imported raw materials. The northern and eastern suburbs were markedly poorer (with large numbers of subdivided properties and a high level of multiple occupancy) than the City and the West End, though it would be wrong to draw the distinctions too strongly. The presence of the elites in the West End generated an enormous demand for services and manufactures, meaning that within a few yards of the fashionable squares dominated by the aristocracy and gentry were alleys teeming with the poor. In the City the commercial core was centered on the key shopping thoroughfares like Cheapside and places of mercantile association like the Royal Exchange, but there were areas of marked poverty, particularly in the insalubrious riverside parishes.
The scale of growth meant that the traditional City was soon engulfed by the expanding suburbs. By the later seventeenth century three-quarters of the capital’s population resided in areas beyond the control of the Lord Mayor and aldermen. Unlike Paris, where there was a much stronger match between topographical and administrative boundaries, there was no attempt to integrate the suburbs with the governmental structures of the City. The suburbs, all of which experienced in various degrees the social problems of poverty and petty crime attendant on population growth, were governed by overlapping manorial and parochial authorities. Nevertheless the breakdown in order was by no means as great as one might think. London was a relatively well policed capital. From Recorder William Fleetwood in the Elizabethan period to Henry Fielding in the 1750s, chosen magistrates worked closely with the central government to coordinate suburban policing. Parish vestries, particularly in the western suburbs, elaborated the poor law into a bureaucratic mechanism for controlling the poor. Local communities increasingly turned to Parliament for the powers they needed to address local problems. From 1700 there was a proliferation of improvement commissions responsible for street improvement, lighting, and sewerage. A host of voluntary organizations supplemented the work of parish vestries in the relief and schooling of the poor.
Throughout the period London evoked contrasting responses from contemporaries. Protestants might celebrate it as a model godly commonwealth when contrasting the piety of its citizens with the state of rural religion, but they would alternately condemn it as a model of Babylonian depravity when considering its social problems and the greed of its leading citizens. Economic commentators might marvel at the wealth of the City and its increasing dominance over its Continental rivals, but they might also claim that it was strangling the provincial centers. The reality, however, seems to have been that London handled the problems of urban growth more successfully than comparable centers and developed a positive economic and cultural relationship with its hinterland.
See also Britain, Architecture in; Cities and Urban Life; England; English Literature and Language; Jones, Inigo; Shops and Shopkeeping; Wren, Christopher.
BIBLIOGRAPHY
Archer, Ian W. *The Pursuit of Stability: Social Relations in Elizabethan London*. Cambridge, U.K., and New York, 1991.
London. A late-eighteenth-century engraving shows Blackfriars Bridge with St. Paul’s Cathedral in the background. The Art Archive/Historisches Museum (Museum der Stadt Wein) Vienna/Dagli Orti
Clark, Peter, and Raymond Gillespie, eds. *Two Capitals: London and Dublin, 1500–1840*. Oxford and New York, 2001.
George, M. Dorothy. *London Life in the Eighteenth Century*. Harmondsworth, U.K., 1966.
Griffiths, Paul, and Mark S. R. Jenner, eds. *Londinopolis: Essays in the Cultural and Social History of Early Modern London*. Manchester, U.K., and New York, 2000.
Inwood, Stephen. *A History of London*. London, 1998.
Merritt, J. F., ed. *Imagining Early Modern London: Perceptions and Portrayals of the City from Stow to Strype, 1598–1720*. Cambridge, U.K., and New York, 2001.
Porter, Roy. *London: A Social History*. London, 1994.
Rappaport, Steve. *Worlds within Worlds: The Structures of Life in Sixteenth Century London*. Cambridge, U.K., and New York, 1988.
Spence, Craig. *London in the 1690s: A Social Atlas*. London, 2000.
Thrupp, Sylvia. *The Merchant Class of Medieval London, 1300–1500*. Chicago, 1948.
Ian W. Archer
LORRAINE, DUCHY OF. Nestled between France and the Holy Roman Empire, the Duchy of Lorraine experienced a turbulent existence during the early modern period. Lorraine was an irrational patchwork of different sovereignties and jurisdictions. The duke’s two largest territories were the Duchies of Bar and Lorraine; however, in the heart of ducal lands lay three sovereign bishoprics: Metz, Toul, and Verdun. Like other small states, Lorraine was vulnerable to outside forces and thus could not escape involvement in international
affairs. Trade was a positive aspect of this involvement. Straddling the Meuse and Moselle rivers, and stretching from the Vosges Mountains to Luxembourg, Lorraine sat astride two major trading axes, east to west and north to south, and thus goods, people, and ideas constantly flowed through the duchy. However, Lorraine lacked the power to keep larger rivals out of its affairs and its territories. This weakness led to Lorraine’s loss of independence.
The duchy’s approximately 800,000 inhabitants in 1600 occupied an overwhelmingly rural territory. Lorraine’s population was dominated by its natural environment, which ranged from mountains toward the southeast to rolling plains in the west. Dense forests blanketed the region. The largest urban center of the area, the sovereign bishopric of Metz, boasted a population of around 19,000. In contrast, at the beginning of the seventeenth century, the most important city under ducal control, the capital Nancy, only had about 8,000 residents. Agriculture formed the foundation of the duchy’s economy, with the majority of peasants engaged in the growing of various cereal crops. A crucial aspect of Lorraine’s economy was its industrial production, especially glass manufacturing and salt mining. These products as well as agricultural surpluses were sold throughout Europe and helped the duchy prosper in the sixteenth century. Although the ducal economy was devastated by mid-seventeenth-century crises, the eighteenth century witnessed gradual economic recovery.
At the beginning of the 1500s, Lorraine held the political status of an imperial fief. This situation changed in the mid-sixteenth century with two events that would define the parameters of Lorraine’s geopolitical situation until the 1730s. In August 1542, Duke Antoine (ruled 1508–1544) and Emperor Charles V (ruled 1519–1556) approved the Treaty of Nuremberg, which recognized Lorraine’s independence in exchange for the duke’s continuing liability for certain imperial taxes. Ten years later, French King Henry II (ruled 1547–1559), as part of his dynastic wars with the Habsburgs, occupied the three bishoprics. Henry placed them under French “protection” until 1648, when the Holy Roman Empire ceded complete sovereignty over the cities. From the 1550s onward, France enjoyed a physical presence in the middle of ducal lands, and exerted increasing pressure upon the dukes.
Despite the arrival of the French, the next seventy-five years saw relative peace and prosperity for Lorraine. Lorraine’s larger neighbors left the duchy alone because of their own internal crises. Close personal connections to France marked the reigns of Dukes Charles III (ruled 1545–1608) and his son Henry II (ruled 1608–1624). Lorraine elites, such as the Guise family, moved easily into positions of power within France. The period witnessed an artistic flowering, producing artists like Jacques Callot and Georges de la Tour. Because of its brilliance in comparison with what followed, the period has been called “Lorraine’s renaissance.”
Rebirth turned into chaos with the ascension of Charles IV (ruled 1624–1675) to the ducal throne. A strident Catholic like many of his countrymen, and more a warrior than a statesman, Charles actively opposed Cardinal Richelieu’s pro-Protestant policies during the Thirty Years’ War (1618–1648). This stance resulted in French occupation of Lorraine and ducal exile. Excepting the 1660s, French occupation lasted from 1634 until 1697. The dukes became imperial generals, fighting the French and the Ottoman Turks. Their greatest moment came in 1683, when Charles V (ruled 1675–1690) successfully defended Vienna against the Ottomans. Lorraine itself suffered terribly during these years. In addition to the horrors of military occupation, there was an epidemic of plague in 1635. As a consequence of these disasters, Lorraine lost nearly half of its prewar population.
In 1697, Louis XIV of France (1643–1715) restored Lorraine to its ruling dynasty. Upon his return, Duke Leopold I (ruled 1690–1729) found that although his lands were devastated, his personal power had been increased. Traditional limitations on ducal power had been eliminated; war and occupation had decimated Lorraine’s elites, and the French had destroyed institutions that previously limited sovereign power. Although Leopold’s predecessors had aspired to absolutism, he was able to institute it to a great extent and used his power to forward a program of internal reconstruction. Externally, he attempted to maintain good relations with both France and the Holy Roman Empire,
attaining recognition of Lorraine’s neutrality in the 1720s.
However, less than a decade after Leopold’s death in 1729, the duchy lost its independence. In 1731 Duke Francis III (ruled 1729–1737) married Maria Theresa of Austria, the heiress to the Holy Roman Empire. The French viewed this marriage as a threat because of the potential reunion of Lorraine with the empire. After lengthy negotiations, Francis agreed in 1737 to give Lorraine to Louis XV’s father-in-law Stanislaus Leszczynski, the deposed king of Poland, effectively ending Lorraine’s independence. Francis attained the imperial crown in 1745. Stanislaus ruled until his death in 1766, after which the duchy was incorporated into France. Interested more in Enlightenment culture than politics, he let a French chancellor run Lorraine and concentrated upon patronizing the arts and sciences and the founding of charitable institutions. In the process, Stanislaus became extremely popular and effectively prepared Lorraine for the transition from independent state to French province.
See also France; Guise Family; Thirty Years’ War (1618–1648).
BIBLIOGRAPHY
Briggs, Robin. *Communities of Belief: Cultural and Social Tension in Early Modern France*. Oxford, 1989.
Parisot, Robert. *Histoire de Lorraine (Duché de Lorraine, duché de Bar, Trois-Évêchés)*. 4 vols. Paris, 1919–1924.
Parisse, Michel, ed. *Histoire de Lorraine*. Toulouse, 1977.
CHARLES LIPP
LOTTERY. Although lotteries had been utilized as a means of redistributing goods and wealth since Roman times, they began to develop on a large scale in fifteenth-century Europe, where they were used by governments as a means of raising revenue. The first recorded lottery was held in 1420 in Burgundy, with the proceeds going toward the fortification of the town. The state of Germany established a national lottery in 1521; between 1520 and 1539, the French *loterie*, created by Francis I, enriched some individuals as well as the nation; and Florence’s *La Lotto di Firenze* was the first public lottery to pay money for prizes in 1528. In Britain, Queen Elizabeth I chartered a general lottery in 1569 to raise money for the building of harbors and other good works, and in 1612, its role was extended when the money it raised enabled the Virginia Company to establish the New World colony of Jamestown. Such funds were a lifeline to the struggling company and accounted for half its annual income by 1621. The utility of lotteries to emergent nation-states, most of which struggled to have sufficient revenues, was immense, and from the fifteenth century on, lotteries were enthusiastically exploited by the monarchs and politicians of Europe. These institutions played a crucial role in the creation of young states’ domestic and foreign policy, raising funds for public projects as well as financing their imperial adventures abroad.
Lotteries were also hugely popular throughout the population, although motivation to participate varied according to social position. While the poor were attracted by the chance of huge prizes for relatively small stakes, the wealthy regarded lotteries as a means of demonstrating patriotism and supporting the national cause by purchasing tickets.
However, like other forms of gambling, the position of lotteries became increasingly tenuous throughout the seventeenth century. Although attractive as a way of generating revenue, they were also regarded with suspicion by those who thought them antithetical to the Protestant work ethic. At the same time, practical problems involved in the running of lotteries began to emerge. Private operators intervened in drawings, buying tickets in bulk for excessive markups, and also offering side bets, or “insurance,” on the main lottery—practices that the state did not derive revenue from. Allegations of fraud and dishonesty were rife, and criticism that lotteries encouraged mass gambling, idleness, and greed in the populace increased.
On top of this, by the late seventeenth century, with the increasing development of their economic infrastructures and tax bases, the economic utility of lotteries to governments began to decline. Accordingly, legislation was drafted that began to limit participation in lotteries—at least for the poor. In 1710, ticket prices in Britain were increased to an expensive £10, and, in 1721, private lotteries, which had been popular because of their smaller stakes, were banned. Although many continued to operate illegally, such moves effectively outlawed the lottery.
for all but the wealthiest in society, destroying their popular base and ultimately demonstrating the patrician nature of legislation that had from the start been driven by political and economic expediency.
See also Gambling.
BIBLIOGRAPHY
Ashton, John. The History of Gambling in England. Montclair, N.J., 1969. Originally published London, 1898.
Reith, Gerda. The Age of Chance: Gambling in Western Culture. London and New York, 1999.
Sullivan, George. By Chance a Winner. New York, 1972.
GERDA REITH
LOUIS XII (FRANCE) (born 1462–1515; ruled 1498–1515), king of France. The only son of Charles of Orléans and Mary of Cleves, Louis was the great-grandson of Charles VI (ruled 1380–1422). As a youth, Louis did not expect to gain the throne since he was several degrees of blood distant from the ruling family. Louis XI (ruled 1461–1483) coerced him into marrying his deformed daughter Jeanne, who was probably incapable of bearing children. He spent his early adulthood seeking an annulment for the marriage. When Louis XI’s son became Charles VIII in 1483, Louis competed with Charles’s older sister Anne of Beaujeu to become regent for the underage king. His purpose was largely to gain a position of authority from which to secure an annulment. When the Estates-General of 1484 refused him the office, he led the “Fools’ War” against the monarchy. Defeated at the Battle of St-Aubin in Brittany in 1488, he was imprisoned for three years. He was released in time to join Charles in the first French invasion of Italy (1494), to make good the French claim to the kingdom of Naples.
Because Charles’s only child died at age three, Louis gained the throne when Charles died in April 1498. Those who had opposed him in the Fools’ War were fearful that he would exact revenge on them now that he was king, but Louis soothed them with his famous remark: “It is not honorable for the king of France to avenge the quarrels of a duke of Orléans.” After loading Pope Alexander VI’s (reigned 1492–1503) son Cesare Borgia with French titles and gold, he received an annulment from Jeanne of France and married Charles’s widow, Anne of Brittany, in January 1499. With her he had two daughters, Claude and Renée. Theologians of the University of Paris bitterly criticized the annulment, and when it led to unrest among the students, Louis cracked down on the university in 1499 and severely reduced its autonomy.
Louis had a claim to the duchy of Milan through his grandmother Valentina Visconti, and he sought to make good his Italian rights in the second French invasion of Italy (1499). Concentrating on winning Milan, which he achieved in 1500, he agreed to divide Naples with Ferdinand of Aragon (ruled 1468–1516), but Ferdinand expelled the French from the entire realm in 1503. For the next several years France was largely at peace. Louis dramatically reduced taxes, which, along with the era’s broad prosperity, prompted the Estates-General to name him “Father of the People” in 1506. Louis’s most prominent advisor was Cardinal Georges d’Amboise, whose influence and place in government were so vast that the saying “Let George do it!” is said to have referred to d’Amboise.
Although his tastes still were largely those of the Middle Ages, Louis took an interest in Renaissance culture, which he saw on several trips to Italy. He patronized the Italian humanists Lescaris and Aleandro, who taught Greek in France, and supported the classics advocate and humanist Guillaume Budé at the beginning of his career. In 1499 Louis brought Italian architects and artists to France to rebuild the château of Blois, although the principal architect was probably the French mason Colin de Briart. The rebuilt château introduced the concept that a king need not live in a gloomy, fortified stronghold but in a beautiful place with open spaces and pleasant gardens for gracious living.
Louis allowed Pope Julius II (reigned 1503–1513) to persuade him to join an anti-Venetian league, bringing him back into the thick of Italian politics. After defeating the Venetians at Agnadello in May 1509, he found that Julius had organized a league to drive him out of Italy. Louis attempted to counter Julius by convoking the schismatic Council of Pisa in 1511, but it drew only four cardinals and a
few French bishops. After Louis’s nephew Gaston de Foix defeated the papal-Spanish army at Ravenna in March 1512, the cardinals at Pisa declared Julius deposed and convoked the college of cardinals to elect a successor. De Foix’s death prevented the French army from marching on Rome to effect Julius’s deposition. The pope excommunicated Louis and promised parts of France to the Swiss, Aragón, England, and the Holy Roman Empire, which had joined his alliance. Ferdinand of Aragón seized southern Navarre, and Henry VIII invaded northern France. The French army retreated back to France, leaving Milan to the Swiss. The death of Julius in 1513 allowed Louis to make peace with the new pope, the Medici Leo X (reigned 1513–1521). When Anne died in January 1514, he secured peace with Henry VIII by marrying his sister Mary. The excitement of the wedding and his young bride probably hastened his death on 1 January 1515. His first cousin, Francis of Angoulême, who had married his daughter Claude in 1514, succeeded him as Francis I.
See also Cambrai, League of (1508); Charles VIII (France); France; Julius II (pope).
BIBLIOGRAPHY
Baumgartner, Frederic J. *Louis XII*. New York, 1994. A recent scholarly biography.
Bridge, John. *A History of France from the Death of Louis XI*. 5 vols. Oxford, 1921–1936. A detailed history of France for the era of Louis’s reign, it is especially strong on the French wars in Italy.
Quilliet, Bernard. *Louis XII: père du peuple*. Paris, 1986. Especially good on the cultural developments of Louis’s reign.
Frederic J. Baumgartner
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**LOUIS XIII (FRANCE)** (1601–1643; ruled 1610–1643), king of France. The historical reputation of Louis XIII has been overshadowed by two figures close to him—his chief minister, Cardinal Richelieu (1585–1642), and his son and successor, Louis XIV (ruled 1643–1715). Cardinal Richelieu stands as the personification of seventeenth-century statecraft, and his steely brilliance is generally credited for bringing France from its sorry state following the Wars of Religion to the verge of greatness. And history has enshrined Louis XIV as the French king par excellence, the very embodiment of royalty in all its grandeur and power. In comparison, the stammering Louis XIII—sickly, dependent on a series of favorites, beleaguered by a quarrelsome family and a factious court—seems a ruler of diminished stature indeed. This second of the Bourbon kings, however, deserves a more exalted place in history, if only because his reign witnessed the decisive consolidation of monarchical power and France’s rise to European prominence.
**RISE TO POWER**
Louis’s reign formally began upon the assassination of his father Henry IV (ruled 1589–1610) in 1610, but the government remained in the hands of his mother, Marie de Médicis (1573–1642), who ruled as regent until 1617. The regency was a turbulent time, marred by noble conspiracies and revolts, the ascendancy of Concino Concini, Marie’s Italian favorite, over the court, and the calling of the Estates-General in 1614. In 1617 Louis took power in a veritable coup d’état that ended with the ignominious execution of Concini and his wife. Historians looking to credit Louis with more initiative and political savvy than he is usually accorded have pointed to this decisive act by a fifteen-year-old. And in general it should be noted that Louis faced a series of daunting challenges, both at home and abroad, including near-permanent opposition, often rebellion, from his mother and brother and the growing crisis of the Thirty Years’ War (1618–1648), while still a teenager and a young man in his twenties.
**LOUIS AND RICHELIEU**
The coup d’état of 1617 was the first in a series of acts that served as turning points in Louis’s reign, demonstrating his deep and precocious appreciation of the craft of kingship. In fact, despite his sometime obsessive predilection for the hunt, Louis was, like his son, a dutiful ruler, fully cognizant of the demands of his position. His initiative was next displayed in 1624, when he appointed Richelieu to the royal council. This was a move fraught with potential difficulties, for Richelieu was his mother’s man, a figure of formidable and widely recognized talents yet still identified with the *dévot* (“devout”) position that saw alliance with the Habsburgs as France’s proper course. The choice, however, turned out to be a brilliant stroke of talent spotting. Richelieu
brought discipline, intellectual rigor, and an enormous capacity for work to the royal cabinet. He also made himself a student of Louis’s personality, taking pains to learn how to balance the delicate task of both coaxing and respecting his king’s will. Together they managed to concentrate royal power in a partnership that many great noblemen and especially the queen mother and the king’s brother Gaston (duc d’Orléans; 1608–1660) deeply resented. But it was a partnership that soon bore fruit in the successful siege of the Huguenot stronghold La Rochelle in 1627–1628, which not only demonstrated the royal resolve in the face of a Calvinist threat but also freed France to pursue an anti-Habsburg policy in Europe.
Despite the success of La Rochelle, the partnership of Louis and Richelieu and the foreign policy course they had set upon nearly foundered the following year. The so-called Day of Dupes was another crisis that illustrated Louis’s ability to act on his own. On the night of 10–11 November 1630 the queen mother demanded that Louis dismiss his minister, a move that would have altered both the king’s authority and France’s European alignments. To everyone’s surprise, including Marie’s, the king chose to keep Richelieu as his chief minister. Soon Marie de Médicis was in exile in Brussels, not to return to the realm for the rest of her life. Louis and Richelieu were free to pursue their anti-Habsburg foreign policy. In 1635 France formally entered the Thirty Years’ War.
Even before that, Louis was preoccupied with martial matters. He had to face down a series of revolts, rebellions, and conspiracies—from his mother, brother, great noblemen like Henry II de Montmorency, Huguenots, peasants, and even court favorites. Backed by Richelieu, he responded in most cases with what many considered as shocking severity: his reign was the most costly in terms of noble heads lost to the executioner’s axe. The notorious duelist François-Henri de Montmorency-Bouteville ended up on the block in 1627, as did his rebellious cousin Henri II de Montmorency in 1632, despite their family’s long history of royal service, their personal popularity and charm, and the pleas for clemency from the highest ranks of society. Louis’s last favorite, Henri Coeffier-Ruzé d’Effiat, marquis de Cinq-Mars, along with his supposed coconspirator François-Auguste de Thou, also died on the scaffold in 1642 for plotting with the Spanish. In war Louis displayed the same resolve. Well before France’s formal entry into the Thirty Years’ War, he engaged the Spanish and Habsburgs on several fronts, especially in northern Italy. He saw himself as a warrior-king, frequently exposing himself to great danger by personally leading his armies into battle.
Louis’s martial bent contrasted with other aspects of his personality. He was constantly ill and several times at death’s door. He abhorred ceremony and indeed cut a poor figure in public. He suffered from neglect, even abuse, as a child and received a poor education at court. (His childhood and youth were documented in extraordinary detail in a journal kept by his personal physician Jean Héroard, providing a remarkable, unequaled view of the upbringing of an early modern ruler.) Unlike his mother and Richelieu, Louis displayed little interest in the arts outside of the dance. He was a sincere Catholic, modeling himself on his saintly predecessor Louis IX (ruled 1226–1270), and in 1638 he placed himself under the personal protection of the Virgin. His marriage to Anne of Austria in 1615 took four years to consummate, and their
married life was marked by long periods of estrangement. Louis, however, seems to have remained faithful to his wife, despite a series of attachments to male and female courtiers alike. The birth of the dauphin in 1638, after years of inactivity in the marriage bed, was considered a minor miracle. Only five years later—and a year after the death of his cardinal-minister—Louis died at the age of forty-two. His legacy was a mixed one: on the one hand, a stronger France and a refurbished monarchy; on the other, deepening involvement in a costly European war that only fueled discontent at home.
See also Absolutism; Anne of Austria; France; La Rochelle; Louis XIV (France); Marie de Médicis; Richelieu, Armand-Jean Du Plessis, cardinal; Thirty Years’ War (1618–1648).
BIBLIOGRAPHY
Chevallier, Pierre. *Louis XIII, roi cornélien*. Paris, 1979.
Marvick, Elizabeth Wirth. *Louis XIII: The Making of a King*. New Haven, 1986.
Moote, A. Lloyd. *Louis XIII, the Just*. Berkeley, 1989.
ROBERT A. SCHNEIDER
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**LOUIS XIV (FRANCE)** (1638–1715; ruled 1643–1715), king of France. Hailed as *le Dieudonné*, ‘the God-given’, Louis XIV was the first child of Louis XIII (1601–1643) and Anne of Austria (1601–1661), born twenty-three years into their marriage.
**THE EARLY YEARS (1638–1661)**
Ascending the throne at the age of four, Louis XIV was educated under the tutelage of his godfather and chief minister, Jules Cardinal Mazarin (1602–1661), and under the day-to-day watch of his governor, Nicolas de Neufville, first marshal-duke de Villeroi (1644–1730). The young king received not a scholarly education in the classics, but a practical education in history, diplomacy, war, and the arts, while his preceptor Hardouin de Pérféixe guided his spiritual development under the direction of the Queen Mother Anne, imbuing in Louis a distaste for heterodoxy, and associated disorder, of any kind. His formative experiences came during the Fronde (1648–1653), when he was directly awakened to the potential instability lurking in the kingdom as other forces sought to share in the crown’s sovereign powers and remove Mazarin from the government and the kingdom. The events of these years, and Louis’s exposure to the wider social and economic problems of France during his military progresses, taught him to mistrust the ambitions of peers and of senior princes of the blood and bred an awareness in him of the need for far tighter regulation of the leading institutions of the kingdom. The declaration of the young king’s majority, two days after his thirteenth birthday on 7 September 1651, produced some rallying of support for the crown. But it was not until 1654, the year of the coronation (7 June), that the government reestablished military control over France. For the rest of the 1650s Mazarin led the government, while Henri de La Tour d’Auvergne, marshall-vicomte de Turenne (1611–1675), trained the king in the art of war. In these years Mazarin did not involve Louis in the details of administration but did seek to keep him informed of developments, particularly on diplomatic and strategic issues, while encouraging him to establish his chivalric leadership of the kingdom.
THE REFORM OF GOVERNMENT AND FINANCES
By the time of Mazarin’s death on 9 March 1661, Louis XIV had already shown himself to be an astute military commander, a skill that he would retain all the way up to his last personal campaign in 1693. He was also regarded as an excellent horseman, a noted conversationalist with an extraordinary memory for people, and, in the cultural sphere, a good musician and one of the very best dancers at court. Furthermore, he had been married to the Infanta Marie-Thérèse of Spain since June 1660 as part of the peace settlement of the Pyrenees, and she was now one month pregnant with the future dauphin (1661–1711). But Louis had little experience of governing, and it was expected that Mazarin would be succeeded as minister-favorite, most probably by Michel Le Tellier (1603–1685). What nobody anticipated was Louis’s decision to assume control of the reins of government himself and his determination to maintain a grip on affairs (albeit a fluctuating grip) for the rest of his reign. Between March and September 1661 there was a minor revolution in French government during which the person of the king assumed center stage: the inner council (*conseil d’en haut*) was reduced in size to include only a handful of senior ministers whose advice was given candidly and accepted with almost perennial good grace. After the fall of Nicolas Fouquet (1615–1680), the *surintendant* of finances, there was greater transparency in financial transactions, with the king reserving to himself the right to approve every financial decision of the central government, even if successive controllers general of finance continued to dominate financial business.
Louis XIV did not favor major overhauls of the system of government that would unsettle the kingdom, but he was willing to entertain considerable administrative reforms insofar as they diminished disorder, encouraged stability, and enhanced his own regal power. Indeed, it is fair to say that some very dramatic changes occurred during his reign not through any increase in state bureaucracy but through changes in regulations and financial arrangements. Using the provincial intendants as a tool for preventing abuses and malpractice by the venal officeholders, Jean-Baptiste Colbert (1619–1683), as senior intendant of finances from September 1661 and then controller general from 1665 until his death in 1683, managed to bring the chaotic fiscal system of taxation and borrowing to its optimum efficacy. However, when the demands of war grew in the 1690s and 1700s and net revenue as a proportion of gross revenue declined once again to the dismal levels of the 1640s, two major reforms had to be introduced that did challenge the social basis of the country, undermining the entire system of lay privileged exemption from direct taxation. In 1695–1698 the capitation imposed a graduated poll tax upon all French subjects from the dauphin down, and this was reintroduced permanently in 1701. And then in 1710 the *dixième*, a tax of one-tenth of personal income regardless of status, was brought in, lasting until 1721.
THE ARMED FORCES
In spite of setbacks in the 1700s, the reforms of finance in an era of economic stagnation enabled the crown to sustain stronger and larger armed forces than ever before during Louis XIV’s “personal rule.” France had almost no navy to speak of in 1661 (ten warships and twelve frigates), but Colbert was immediately given the task of working with the grand master of navigation, the duke de Beaufort, to increase the number of vessels; and by the end of 1663 he had brought the galley fleet in the Mediterranean within his own orbit. The great leap forward in the size of the fleet and in administrative and port infrastructure came in the years 1669 to 1673, and in spite of the belief that Louis XIV lacked personal interest in the navy, he gave considerable support both to Colbert and then his son Seignelay in their efforts to create and maintain by 1689 the largest battle fleet in Europe. Only during the final years of the War of the League of Augsburg (1688–1697) after 1695, and during the War of the Spanish Succession (1701–1714) after 1705, did it prove impossible to sustain such a navy. The crown was consequently forced to rely much more on privateering at sea.
Louis took a far stronger interest in the reforms of the army. With the king’s close involvement, Michel Le Tellier and particularly his son, the marquis de Louvois, gradually overhauled a highly complex system of regulations and financial structures to equip France with an army that, by 1693, stood at around 330,000 men. Their sheer attention to detail prevented on occasion what would otherwise have been a series of logistical breakdowns. That the
extreme difficulties of the War of the Spanish Succession did not produce a military collapse can be attributed to the earlier structural and administrative reforms that had transformed the ramshackle forces of Louis’s minority into, for all its defects, the most admired and feared army on the Continent.
**FOREIGN POLICY**
The developing army and navy of France were there essentially to enhance the interests of the Bourbon dynasty internationally, and French foreign policy was very much the king’s own, albeit based on advice from his inner ministers. Throughout his reign Louis XIV aimed at securing for himself the most senior status among European princes in an age when the concept of an equality of sovereign states did not exist, and when most rulers pushed claims that others found outrageous at one time or another. In the first part of the “personal rule,” between 1661 and 1674, Louis pursued a foreign policy of single-minded vainglory in a determined effort to facilitate further dismemberment of the Spanish Habsburg empire and, after 1668, reduce the United Provinces of the Netherlands to humble submission. But the failure to conquer the United Provinces, the entry of Emperor Leopold I (ruled 1658–1705) into the Dutch War in August 1673, a difficult winter in the Rhineland, and the subsequent French retreat into the southern Netherlands seems to have been a sobering experience for Louis, who after 1673–1674 sought to consolidate and strengthen his hold in and around Alsace while rebuilding and constructing anew a chain of fortifications on his northern and northeastern frontiers to defend against invasion. Such apparently defensive concerns were, however, not satisfied by the Treaty of Nijmegen in 1678, precipitating Louis over the following six years into highly aggressive seizures of strategically vital territory based on dubious legal title—the réunions—that antagonized German princes and drove them to seek support against France from the imperial Habsburg court in Vienna.
The growing influence of the Austrian Habsburgs within the Holy Roman Empire, both in Germany and northern Italy, in turn compelled Louis to engage from the early 1680s in heavy-handed political manipulation at smaller European courts to secure Bourbon influence and indirectly to protect the gains he had made and the status he now enjoyed as head of Europe’s leading dynasty. Failing to entrench his territorial gains in the brief War of the Réunions (1683–1684), Louis, encouraged by Louvois, became increasingly anxious about growing Habsburg strength. In a desperate attempt to secure greater security for Alsace, in September 1688 Louis seized the key Rhine fortress of Philippsburg in the hope that this would force the empire to negotiate a definitive settlement of Rhineland territorial issues. Instead it precipitated the greatest conflict of the reign thus far. Having subsequently forced the Dutch Republic, Spain, and Great Britain also to declare war upon him between November 1688 and May 1689, Louis’s insensitive attack on the interests of the duke of Savoy, Victor Amadeus II, a year later earned him another theater of operations he could ill afford. The pressure of the war by June 1693 forced Louis, under the influence of increasingly moderate and chastened advisors, to abandon his excessive demands and to consider returning most of the réunion territories to their owners; to negotiate with William III about his succession in Great Britain after the Glorious Revolution; and to make huge concessions to Savoy in order to neutralize Italy. Even so, over three more years of demanding and exhausting war were required, in the context of a catastrophic famine that pushed the French population down by perhaps 10 percent, before Savoy could be bought off in the Treaty of Turin (June 1696) and a general peace signed with France’s other enemies at Ryswick (September and October 1697).
All this left France ill equipped to deal with the looming issue of the Spanish succession, as the ailing Charles II moved toward his death in November 1700. To try to avert war, Louis XIV and William III signed two successive partition treaties for the Spanish empire in October 1698 and March 1700, but Charles II himself wanted instead to maintain the unity of his territories, so the dying Spanish king willed them all to the one power that might be able to hold them together: France, in the person of Philippe, duke d’Anjou, second grandson of Louis XIV. A conflict with the Austrian Habsburgs was inevitable, but the decisions to seize fortresses in the Spanish Netherlands and exclude the British from the lucrative Spanish slave trade in the early spring of 1701 ensured that any war would once again
include Britain and the United Provinces among the anti-French belligerents. France was pushed out of southern Germany and lost her Bavarian ally in 1704, and Philip V of Spain faced allied campaigning on the Iberian mainland from that year on. The Bourbons were expelled from northern Italy and Naples in 1706–1707 and from the southern Netherlands in 1708, while in 1709–1710 another somewhat less disastrous but still severe famine struck France. But the tide turned in 1710–1711 with Bourbon successes in Spain, and with changes of regime in Britain and Austria that affected the geostrategic considerations of the various powers. The War of the Spanish Succession consequently ended in 1713–1714 with France securing Spain itself and her overseas colonies for Philip V, while the Austrians received most of the rest of the Spanish European possessions, and Savoy was temporarily awarded Sicily.
Territorially, France emerged considerably larger and more secure from Louis XIV’s reign, acquiring most notably Roussillon (1659), Franche-Comté (1674), and Alsace (1648 and 1678), as well as establishing serious colonies and trading posts in the Americas and western Africa. It is true that Louis XIV’s foreign policies had brought hundreds of thousands of deaths, but this cannot be put down to a callous disregard for the fate of his own or foreign subjects. In fact, Louis was genuinely anxious to minimize casualties in warfare. But he was the most assertive and best-resourced individual in an international and cultural system that had an inbuilt tendency to resolve differences through arms, and in which its sovereign players could not afford to show too much understanding for the legitimate economic or dynastic interests of their rivals.
**THE REGULATION OF A STATUS-BASED SOCIETY**
A similar problem afflicted domestic state management during the mid- to late-seventeenth century. The rivalries of families and the personal ambitions of individuals, articulated in social and legal terms at all levels of the propertied hierarchy, militated against an easy resolution of disputes. Colbert’s determined campaign in the 1660s to emphasize that all privileges and rights stemmed from the will of the king (and could be just as easily revoked) certainly helped to encourage a sense of strong royal authority in the legal sphere. This was aided by the 1665 *Grands Jours* investigations into lawless nobles and bandits in the Auvergne in tandem with the Parlement of Paris, and it was carried forward after 1679 by repeated edicts against dueling and in favor of litigation before royal officials to settle disputes. But Louis XIV had come to realize full well by 1661 that the instability of France was rooted primarily in her political culture. The Fronde was not the last gasp of a feudal noble class but a struggle for political and military precedence within the upper noble elites who, in the context of a breakdown in state finances during a royal minority, had no other choice but to assert their own status claims—backed up, if necessary, by military force.
Removing the exposed figure of a chief minister after 1661 was but a partial solution to the difficulties. Louis remained well aware that his ministers had their own private interests to further, and this was as much the case with court appointments, or military commands, as it was with architectural projects, so the active balancing of ministers and great nobility required considerable effort that this king was prepared to make. Far more likely to entrench political quiescence in the long run was a remodeling of the system of patronage and clientage and a concerted effort to break the automatic link between service and expectation of reward. Even if he still relied on other people’s recommendations, by 1672 Louis insisted that virtually all military, naval, and ecclesiastical commissions come from his own person. Furthermore, by maintaining multiple channels of access to his person at court for different groups, families, and individuals, he ensured that no one faction or person (including ministers) could dominate his decisions over patronage. On top of this, he expanded the amount of largesse, both monetary and honorific, disbursed by the crown, while widening the pool of potential recipients. All this contributed to a serious dilution of the patronage power of individual grandees. With the partial exception of his own brother Orléans, for the most part the dukes, peers, and senior military officers now became patronage brokers for the crown rather than direct providers of opportunities for the lesser nobility. Always concerned for the future of the monarchy, Louis allied this policy of supervising patronage distribution with closely managing the upbringing of his offspring and descendants to an
extreme extent in controlling their households. And if he made extensive military use of illegitimate princes (of his own body and those of his ancestors), he was loath to trust the erstwhile Frondeur branches of the Bourbon, the Condé and Conti, whose interests he encouraged only so far as was commensurate with the interests of the wider Bourbon dynasty. The aim in all this was to prevent another Fronde from ever happening again. Only at the very end of the reign, in 1714, when he had lost his son, two of his three grandsons (the dukes of Burgundy and Berry), and one of his great-grandsons to smallpox, did Louis XIV depart from the established dynastic rules when he wrote the bastard lines of the House of France into the succession. Although there was some sense in trying to avoid future succession wars by laying down an order of precedence in the event of the disappearance of all the legitimate Bourbon branches, this was bitterly resented by the great nobility and was overturned by the regent Philippe II, duc d’Orléans, in 1717.
**HIGH CULTURE AND THE ARTS**
The royal urge to preserve and impose order in the political field was also manifested in the arena of high culture. The growing presence of royal patronage in the arts and sciences after 1661 is better attributed to Colbert than the king himself, with the most notable advances being the foundation of the Academy of Inscriptions and Belle-Lettres in 1663 and the reform of the Academy of Painting and Sculpture the same year, followed by the foundation of the Academy of Sciences in 1666, and three years later that of the Royal Academy of Music. Moreover, between 1667 and 1672 Colbert oversaw the building of the Paris Observatory. Yet, if Colbert was the driving instrument who encouraged intellectuals and artists to view the crown as the foremost patron, it was Louis who set the tone and the taste and was the leading collector of objets d’art of his age. The king also took a very close interest in architectural projects, in particular the transformation of Versailles after 1669 from a relatively small hunting retreat to the largest palace complex in Europe by the mid-1680s. By and large Louis favored the classical over the baroque, in sculpture, architecture, and garden design, and in spite of the growing vogue for portraits of all manner of people, the king himself set great store by religious art.
**RELIGION AND PUBLIC MORALITY**
Louis XIV’s preference for religious art was hardly surprising, for he was a devout Catholic, in spite of his several mistresses (most notably Louise de La Vallière [1644–1710] and Françoise, marquise de Montespan [1641–1707]) and the numerous bastards he fathered before 1680. Louis was sincere about protecting his subjects’ souls and throughout his reign encouraged charitable giving. In 1693–1694, at the height of the famine, Pontchartrain, the controller general of finance, was ordered to organize grain imports from abroad and facilitate food transport within the country on a scale never previously attempted by France. But Louis was not just a charitable Christian prince. He was also instinctively hostile to anything that smacked of the heterodox, in particular Jansenism, which, under strong Jesuit influence, he equated with rebellion. By the early 1680s the king’s increasingly devout attitude to personal morality and worship, encouraged by his second wife, Françoise d’Aubigné, marquise de Maintenon (1635–1719), whom he married in 1683, had become allied to his fear of religious disorder as manifested by Jansenism and the Huguenots. This combination of attitudes flowed together with a desire to live up to his title of “Eldest Son of the Church” at a time when Emperor Leopold I was pushing the Turks back in the Balkans and when relations between France and the papacy were in tatters over the *régale* dispute (when Louis extended the royal right to gather the revenues of vacant episcopal sees to areas of the kingdom that had previously been immune). Despite attempts by Colbert and Louvois to restrain persecution of Protestants by some intendants, Louis became increasingly convinced that forced conversions were effectual, an approach that culminated in the Edict of Fontainebleau in September 1685, which revoked all rights for Huguenots. Even when it became clear to ministers and generals by 1689 that this revocation had created a potentially dangerous fifth column inside France (which erupted in the vicious revolt of the Camisards in 1702–1705), the king’s religious conscience would not allow him to restore Huguenot rights. Thus far, Louis XIV’s religious policies were coherently Catholic and Gallican, zealous in defense of the temporal independence of the French church from Rome. But the repair of relations with the papacy in the 1690s, plus the resurfacing of the Jansenist controversy after
1703, pushed him into accepting ultramontane, pro-papal positions held by the Sorbonne. Eventually he solicited and accepted the 1713 papal bull *Unigenitus*, which condemned Jansenism but simultaneously mounted a full-scale attack on Gallican liberties, a move that did immense long-term damage to the Bourbon monarchy’s image as the defender of France and French interests.
If order could be consciously pursued through state policies, Louis XIV was nevertheless also the beneficiary of changing attitudes to social and political life in the mid-seventeenth century, and in particular a growing distaste for personal violence. The need to display *bonnête* behavior was not merely restricted to domestic social situations, but applied equally to public social behavior. The need for restraint, politeness, and self-discipline in deportment as well as language was emerging as the cornerstone of an ethical order to which one simply had to subscribe if one wished to remain a sociable being. What is more, the disorderly and chaotic Fronde, erupting just as such ideals were entering French cultural life, had the effect of reinforcing enthusiasm for obedience and decorum in both the social and the political fields. Louis XIV personally encouraged stronger discipline and self-control at court, in his armies and fleets, and in the church, so that such nostrums percolated through noble society and contributed to growing domestic stability in this period.
**CONCLUSION**
Throughout his reign, Louis XIV had placed the Bourbon dynasty, the Catholic faith, and the royal court at the center of his existence, and he had been highly mindful of the interests and outlooks of his propertied subjects. Nevertheless, compromise and cooperation had its limits, and it would be a misleading oversimplification to see this as a monarchy engaged in the revivification of feudalism in conjunction with a landed noble “class.” In the first instance, the French nobility was in no sense a coherent class, and society as a whole was pervaded by myriad corporate and familial loyalties and interests. Moreover, for all the king’s skill in trying to harmonize his own interests with those of his propertied subjects, Louis’s reign was marked with a highly authoritarian stamp that pressed the imposition of firmer discipline in the armed forces, the curtailment of judicial independence and privileges, and a demand for religious conformity and subordination that aroused hostility across Europe. On his death, on 1 September 1715, Louis XIV left a kingdom in an unprecedented state of domestic tranquillity that was to last throughout the regency for his five-year-old great-grandson, Louis XV; this can in large part be attributed to firm royal control of the military, more sophisticated poor relief strategies, and a general ethos of political obedience. But the destabilization of the credit markets wrought by the previous thirty years of unprecedented military mobilization, the unresolved issue of tax privileges, the example of baroque kingship that Louis XIV brought to its apogee as a model for rule, and the legacy of Jansenism were to bedevil his successors’ governments for the rest of the eighteenth century.
*See also* Bourbon Dynasty (France); Camisard Revolt; Colbert, Jean-Baptiste; France; Fronde; Gallicanism; Habsburg Dynasty; Jansenism; League of Augsburg, War of the; Louvois, François-Michel Le Tellier, marquis de; Mazarin, Jules; Poisons, Affair of the; Spanish Succession, War of the; Versailles.
**BIBLIOGRAPHY**
Black, Jeremy. *From Louis XIV to Napoleon: The Fate of a Great Power*. London, 1999. Chapter 2 gives a clear and accurate survey of French foreign policy in this period.
Bluche, François. *Louis XIV*. Oxford, 1990. Translated by Mark Greengrass. A highly conservative biographical interpretation by a French scholar.
Sturdy, David J. *Louis XIV*. New York, 1998. A clear, thematic survey of the reign and of the problems faced by the king.
Wolf, John B. *Louis XIV*. New York, 1968. The best biography in any language.
Guy Rowlands
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**LOUIS XV (FRANCE)** (1710–1774; ruled 1715–1774), king of France. Louis, duc d’Anjou, was the second surviving son of Louis, duke of Burgundy, and Marie-Adélaïde, daughter of Duke Victor-Amadeus II of Savoy, and great-grandson of Louis XIV (ruled 1643–1715). When Louis XIV’s eldest son Louis (the Grand Dauphin) died in 1711, the little duc d’Anjou’s father became heir to the throne. But less than a year later his father, mother, and elder brother were killed by smallpox, leaving him the sole direct descendant and heir to the old
Sun King. During Louis’s boyhood, France was ruled in practice by his distant cousin the regent, Philippe, duke of Orléans, even after the boy came officially of age in 1723. When Orléans died unexpectedly later that year, the unpopular duke of Bourbon took over as principal minister, to be succeeded by Louis’s tutor, Cardinal André Hercule de Fleury, in 1726. Louis can hardly be said to have been in command during the turbulent first decade of his reign, which was marked by two bankruptcies and the dizzying stock-market and currency bubble of John Law, but his strong loyalty and affection for his tutor were the reasons the cardinal got power and kept it for so long. Louis only began to take a significant independent role in the early 1740s, when he was already in his thirties, at which time he became known as *le bien-aimé*, ‘the well-beloved’.
Fleury had taken over as tutor when Louis was six years old, and he supervised the king’s education by a splendid team of instructors, including some of the most learned men of letters, scientists, and mathematicians of the day. The king developed a special interest in geography, the natural sciences, and medicine, which he kept all his life. For hobbies, he enjoyed learning to operate a printing press and a lathe. Hunting was his first obsession; women came later. From the age of ten, Louis sat on the Regency council, as his great-grandfather had prescribed in his will, and he seems to have taken an active interest in proceedings; Orléans and the successive prime ministers tutored him in the political issues of the day. But, deprived of parents from an early age, Louis was secretive and often incommunicative. These traits remained with him through his life. He could play the royal part, but he did not revel in public life like the Sun King, and he lacked his great-grandfather’s self-confidence.
Overturning an ephemeral engagement to the four-year-old daughter of Philip V of Spain, the duc de Bourbon persuaded Louis to marry Marie, the 22-year-old daughter of Stanislas Lesczynski, the ousted king of Poland. By 1737 the queen had borne Louis an heir, the Old Dauphin (father of Louis XVI), a second son who died in childhood, and eight daughters. Marie’s social limitations and colorless personality eventually took their toll. In 1733, Louis began a series of affairs with the three aristocratic Nesle sisters, Madame de Mailly, Madame de Vintimille, and Madame de la Tournelle, countess of Châteauroux. Then, around 1743, he began a more lasting liaison with Madame de Pompadour, the wife of a tax-farmer; the physical relationship ended by 1750, but she remained the official mistress until her death in 1764. Louis prized her because she understood him and could put him at ease. His more basic needs were taken care of by several dispensable young women whom she provided for the purpose, and then, after the death of the queen (1768), by a permanent relationship with Jeanne Bécu. Bécu, who became the comtesse du Barry (1743–1793), was said to be the most beautiful woman of the eighteenth century, but she had a dubious background. Madame de Pompadour is the only woman who played a significant political role in Louis’s life, principally as dispenser of royal largesse and jobs, a task in which, unfortunately, she seldom excelled.
In foreign policy, Louis was successful until the Peace of Aix-la-Chapelle (1748), when his diplomats were unable to parlay military wins in the Low Countries into territorial gains. France played a reactive rather than active role in the Diplomatic Revolution of 1756, when she lost her Prussian ally and aligned with Austria, and in the start of the Seven Years’ War on the Continent. There was little choice here, but the decision to commit further to the Austrian cause in 1757, when the effort should have been concentrated on the maritime war against Britain, was a choice—a bad one. France’s disastrous losses at the Treaty of Paris of 1763 (Canada, most of India, etc.) are well known. Louis did not make the same mistake again in 1770, when he restrained his bellicose foreign secretary, Étienne François, the duke of Choiseul (1719–1785) from taking an unprepared country to war with Britain to defend Spanish rights in the Falkland Islands.
Domestic policy was to a large extent conditioned by these outcomes: the end of each war in this period caused a domestic crisis because the state had to raise new revenue or carry over some wartime taxes into peacetime, in order to retire unpaid war debts. In 1748–1749, controller general Jean-Baptiste de Machault d’Arnouville (1701–1794) attempted this with a vast reform program, including a new peacetime income tax, the *vingtième*, a package of laissez-faire economic reforms, the expansion of the money market, and attempts to limit “unproductive” church acquisition of land. This
Louis XV (France). Portrait by Charles van Loo, c. 1748. Getty Images
program touched off violent conflicts with privileged groups, notably the church and the remaining provincial estates; the church and the parlements seized on the perceived weakness of the crown to fight their own wars over Jansenism and clerical control of lay society and crown control over taxation. As French rulers commonly did, Louis sought an equilibrium between the contending groups in society and within his own ministry, but through the 1740s and 1750s he came down on balance against the conservative forces to which Fleury had previously appealed—the church hierarchy, which was firmly anti-Jansenist, and the landed elites, who hated land taxes—and he tried hard to mollify the parlements, the Jansenists, and the men of letters. These tensions formed the background to a failed assassination attempt on the king in 1757 by Damiens, a domestic servant obsessed by the current religious quarrels. Louis stuck with his policy, however, going so far as to permit the suppression of the Jesuit order in 1764 and to appoint several leading members of the Parlement of Paris to ministries in order to neutralize the powerful court.
After the defeat of 1763, the controllers general, Henri Léonard Jean-Baptiste Bertin (1720–1792) and Clément Charles François de Laverdy de Nizeret (1724–1793), resorted to a version of the 1749 program to solve the post-war financial crisis, but they did so in dire financial straits, without the confidence that a diplomatic victory would have inspired in the investing classes. The result was seven years of bankruptcy on the installment plan. Choiseul’s position had been weakened by the death of his ally Madame de Pompadour in 1764 and his failure to quell the notorious Brittany Affair, an interminable quarrel between the Parlement of Brittany and the duc d’Aiguillon, the military commander in that province. So, in late 1770, when Choiseul pushed recklessly for war with Britain in defense of Spain’s claim to the Falkland Islands, Louis dismissed him and allowed his chancellor, René Nicolas de Maupeou, to virtually destroy the parlements’ powers of remonstrance and to restructure the judicial system, and his controller-general, Abbé Terray, to complete the partial bankruptcy that had begun in 1759. It was a total political reversal of the policy and personnel of the previous period. The reforms of 1770–1774 gave the monarchy a new lease on life but also created much antagonism; if Louis had lived longer, perhaps he would have ridden out the storm, but he was suddenly carried off by smallpox on 10 May 1774. Louis XV was a ruler with considerable natural gifts who had to rule in difficult times; his choices in 1749 and again in 1770 showed the lucidity and the necessary ruthlessness that are the marks of a leader, but his belated start in personally ruling the country, his indolence, and the introversion he inherited from his lonely childhood prevented him from developing into a first-rate politician.
See also Austrian Succession, War of the (1740–1748); Bourbon Dynasty (France); France; Louis XIV (France); Polish Succession, War of the (1733–1738); Pompadour, Jeanne-Antoinette Poisson; Seven Years’ War (1756–1763).
BIBLIOGRAPHY
Primary Sources
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Croix, Emmanuel, duc de. *Journal inédit, 1718–1785*. Paris, 1906–1907.
Luynes, Charles Philippe d’Albert, duc de. *Mémoires du duc de Luynes sur la cour de Louis XV (1735–1758)*. Paris, 1860–1865.
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———. *Le gouvernement et l’administration sous Louis XV: Dictionnaire biographique*. Paris, 1978.
———. *Louis XV*. Paris, 1989. Best recent treatment; good bibliography.
Bernier, Olivier. *Louis the Beloved: The Life of Louis XV*. Garden City, N.Y., 1984.
Bluche, François. *Louis XV*. Paris, 2000.
Butler, Rohan. *Choiseul*. Vol. I, *Father and Son, 1719–1754*. Oxford, 1980.
Campbell, Peter R. *Power and Politics in Old Regime France, 1720–1745*. London, 1996.
Egret, Jean. *Louis XV et l’opposition parlementaire, 1715–1774*. Paris, 1970.
Gooch, G. P. *Louis XV: The Monarchy in Decline*. London, 1956.
Jones, Colin. *Madame de Pompadour: Images of a Mistress*. London, 2002.
LOUIS XVI (FRANCE) (1754–1793; ruled 1774–1792), king of France. Louis-Auguste, duc de Berry was the second surviving son of the heir to the throne (dauphin) Louis-Ferdinand and his second wife, Marie-Thérèse-Antoinette-Raphaëlle, daughter of Augustus III, elector of Saxony and king of Poland. Louis’s elder brother, the duc de Bourgogne, died in 1761, so when their father died in 1765, he became eldest male heir to his grandfather, Louis XV. Once thought a dull child, recent research has shown that he was a well-taught, reflective, and intelligent student, particularly interested in the sciences (mathematics, physics, geography) and history. He was raised and remained a convinced, but intellectually curious, Catholic; he had a taste for empirical facts, and brevity in expressing them, which, together with natural taciturnity and the secretiveness he inherited from his grandfather, often made him frustrating to work with. His political principles, which became settled in his adolescence, combined the moral politics of François de Salignac de La Mothe Fénelon with a firm belief in his traditional rights as an absolute king. In 1770, he married Marie-Antoinette, youngest daughter of Maria Theresa, the ruler of Austria, but it was not until 1776 that the marriage was consummated; Derek Beales has conclusively demonstrated that the delay was caused not by a physical impediment but rather by sexual ignorance, finally rectified by advice from the queen’s brother, Emperor Joseph II, who subsequently received heartfelt written thanks from the royal pair.
Louis’s marriage had been designed to cement the alliance with Austria that had been concluded in 1756 and was supported by the dominant party at Louis XV’s court, led by the duke of Choiseul and Madame de Pompadour. The young dauphin approved Louis XV’s decision to drop Choiseul, as well as his reassertion of royal authority against the parlements in 1771, so when the old king died in 1774, it was thought that the new ruler would continue on this course. But, worried by his own youth and inexperience, he chose as close advisor and informal prime minister Jean Frédéric Phélypeaux, count of Maurepas, a veteran minister who had been disgraced in 1749 but was close to the royal family. Maurepas wanted to rebuild confidence in the monarchy, whose image had suffered from the coup of 1770–1771. He persuaded Louis to recall the old parlements, impose restrictions on their rights of judicial review of legislation through remonstrance, and choose a ministry that included the fashionable liberals Chrétien de Malesherbes and Anne Robert Jacques Turgot. The new ministry proved politically inept (for example, in their insistence on bringing back free trade in foodstuffs during the crisis year 1774–1775). Maurepas and Louis replaced them with a team that included, by late 1776, the Genevan banker and reputed financial wizard Jacques Necker as financial counsellor and the veteran diplomat Charles Gravier, the count of Vergennes, as foreign secretary.
Louis XVI, along with a large body of public opinion, enthusiastically supported France’s alliance with the rebellious American colonists against Britain; he and Vergennes managed to keep the other European powers out of the conflict and avoid engagement on Austria’s side in Joseph II’s various adventures. The outcome in 1783 was diplomatic and military success: freedom of the seas and the restoration of France’s position in Europe, although trade with the new republic did not develop as quickly as expected. Necker had hoped to finance the war on life-annuity loans serviced by economies and recovered revenue as earlier state loans were amortised, but the war went on too long, taxes had to be increased, and the usual flood of postwar claims on the government created a potential crisis. In the meantime, the political scene had changed.
Calonne, whose reforms threatened them and their like through the country, got caught in a stock-market scandal, and had to be dismissed; he was replaced by Étienne Charles Loménie de Brienne, a partisan of Necker. John Hardman has argued that this constituted a turning point in Louis’s life, leading to prolonged bouts of depression, cynicism, and dependency that dogged his behavior thereafter. Brienne attempted to ram reforms somewhat similar to Calonne’s through the notables and, when that failed, through the Parlement of Paris; finally he tried to rule without them. But Louis was forced by a credit crisis to drop Brienne and bring back Necker in 1788, and, in 1789, to call the Estates-General.
Though willing to admit constitutional reform, Louis and Necker proved indecisive over the method of representation in the Estates, thus setting the stage for the successful refusal by the deputies of the Third Estate, when they met in Versailles in May 1789, to meet except as a National Assembly with one vote for each deputy. Louis’s instincts told him to go along with the Third Estate in the ensuing crisis, but, pressured by his advisors, he tried to slow or reverse the process of change. He put his wide-ranging reform plans, too late, to the Séance Royale (Royal Session) on 23 June as if nothing had happened. He consented to bring up troops to maintain order in Paris, but dismissed Necker, thus provoking the Parisian revolt in which the Bastille was stormed on 14 July; and he refused to withdraw from Versailles before the Parisian women and the national guard captured the royal family and forced them to return to Paris. Confined to the Tuileries, the king became in effect a prisoner and politically little more than a figurehead; he now secretly sent a message to his cousin Charles IV of Spain, disavowing any future actions he might take as being under duress. When matters settled down, however, he appears to have been willing to make an accommodation with the Revolution as long as the monarchy could play an active role in initiating legislation; Louis rightly refused to be a martyr to the diehard policies of the reactionary nobility, Marie-Antoinette, and his émigré brothers, the counts of Provence and Artois. That was the nub of his program in the Royal Session, and also of the manifesto he left behind when he fled eastward and was captured at Varennes with his family on 20–25
June 1791. The king seems to have viewed his flight not as a plan to invade France with the help of foreign troops, but as a demonstration of force to make the Constituent Assembly renegotiate his place in the monarchy. Forced to return, Louis made a deal with the assembly, who were frightened to dismiss him, fearing to open the way to a democratic republic. Basically, Louis intended to bide his time until the contradictions inherent in the new regime brought about its downfall, a policy of passive resistance well-suited to his character. He sanctioned the declaration of war against Austria and Prussia in April 1792, the better to demonstrate these contradictions. This strategy was clever—there was much royalist support in the country and even in Paris—but he never thought through how to translate it into constitutional change. In the meantime, popular militants in Paris and radical volunteers from the provincial National Guards stormed the Tuileries palace in a coup d'état on 10 August 1792, driving the royal family to take refuge in the Legislative Assembly. As in the crises of 1789, Louis once again drew back from using his troops in a way that would cause major bloodshed. The rump of the assembly, from which the moderate deputies had fled, convoked a new Constitutional Convention; the Convention proclaimed a democratic Republic on 22 September, put the king on trial, and found him guilty of “conspiracy against public freedom and attacks on general state security.” Louis died bravely on 21 January 1793.
See also American Independence, War of (1775–1783); Bourbon Dynasty (France); Estates-General, French; France; Louis XV (France); Marie-Antoinette; Revolutions, Age of.
BIBLIOGRAPHY
Primary Sources
Bombelles, Marc, marquis de. *Journal*. Geneva, 1977–.
Louis XVI. *Louis XVI and the comte de Vergennes: Correspondence, 1774–1787*. Edited and with an introduction by John Hardman and Munro Price. Oxford, 1998.
Maria Theresa. *Marie-Antoinette: Correspondance secrète entre Marie-Thérèse et le comte de Mercy-Argenteau*. Edited by Alfred d’Arneth. Paris, 1874–1875.
Mercy-Argenteau, Florimond de. *Correspondance secrète du comte de Mercy-Argenteau avec l’empereur Joseph II et le prince de Kaunitz*. Edited by Alfred d’Arneth and Jules Flammermont. Paris, 1889–1891.
Véri, Joseph Alphonse de. *Journal de l’abbé de Véri*. Paris, 1933.
Secondary Sources
Beales, Derek. *Joseph II*. Vol. 1, *In the Shadow of Maria Theresa*. Cambridge, U.K., 1987.
Girault de Coursac, Pierrette. *L’éducation d’un roi: Louis XVI*. Paris, 1972.
Hardman, John. *French Politics from the Accession of Louis XVI to the Bastille*. London, 1995.
———. *Louis XVI*. New Haven, 1993.
Jordan, David P. *The King’s Trial: The French Revolution vs. Louis XVI*. Berkeley and Los Angeles, 1979.
Lever, Evelyne. *Louis XVI*. Paris, 1985.
Lewis-Beck, M. S., A. Hildreth, and A. Spitzer. “Was There a Girondist Faction in the National Convention, 1792–1793?” *French Historical Studies* 15, no. 3 (1988): 519–536. Analyzes voting in Louis XVI’s trial.
Murphy, Orville T. *Charles Gravier Comte de Vergennes, French Diplomacy in the Age of Revolution, 1719–1787*. Albany, N.Y., 1982.
Price, Munro. *Preserving the Monarchy: The Comte de Vergennes, 1774–1787*. Cambridge, U.K., 1995.
———. *The Road from Versailles: Louis XVI, Marie Antoinette and the Fall of the French Monarchy*. New York, 2002.
T. J. A. Le Goff
LOUVOIS, FRANÇOIS LE TELLIER, MARQUIS DE (1641–1691), secretary of state for war under Louis XIV of France. Louvois was the third and eldest surviving son of Michel Le Tellier, who was intendant of the French army of Italy at the time of Louvois’s birth, and subsequently became secretary of state for war between 1643 and 1677, and then chancellor of France until his death in 1685. Louvois was educated at the Jesuit-run Collège de Clermont in Paris, and was brought into the War Ministry by his father in 1658 to prepare him for eventual management of the king’s armies. Louvois had already been guaranteed the succession to his father as secretary of state for war back in 1655, but had to wait until 1664 for his father to secure for him joint control of the War Ministry. He assumed sole control of its direction in 1677. In addition, Louvois picked up a number of other offices that he also held until his death, most notably superintendent general of the Post from 1668, and superintendent of Arts, Buildings, and Manufactures from 1683, on the death of Jean-Baptiste Colbert. These and other posts brought an
accumulation of responsibilities never to be exceeded by another secretary of state during the *ancien régime*. Indeed, by virtue of this set of responsibilities and through his allies, between 1683 and 1689 Louvois dominated government, though Louis XIV never allowed him to exercise a monopoly of patronage or to control access to his person.
Louvois’s reputation rests upon his work as secretary of state for war, where he presided over a massive expansion of the peacetime standing army from around 55,000 men to 150,000, while even larger increases in the forces were generated during wartime. By the time of his death, the French army stood at around 300,000 men (allowing for inaccurate figures, fraud, and desertion). From the surviving documentation it is difficult to apportion credit accurately for the many improvements not only in the size of the army but also in its quality, as Louvois surrounded himself with a highly efficient group of administrators whom he had largely inherited from his father. But under Louvois’s stewardship, complex financial and disciplinary rules evolved that made it far more worthwhile for the French nobility to enlist as army officers. By the 1680s the officers could sustain themselves in service for far longer than in the pre-1659 era, and collapses in morale and logistical support in the armies had become far less likely. Indeed, one of Louvois’s greatest achievements was to establish more closely integrated systems for paying and feeding the expanding armies. Furthermore, he gave considerable support to the engineer Sébastien Le Prestre de Vauban’s (1633–1707) fortification program to defend the frontiers, and many such fortresses became central to Louvois’s logistical system.
In large part Louvois’s success in equipping France with such a well-ordered army by contemporary standards can be attributed to his extraordinary grasp of the minutiae of military administration and to his remarkable stamina for business. In particular he paid unusual attention to the labyrinthine accounts of treasurers and entrepreneurs who supplied the logistical needs of the armies. He was also a strict disciplinarian who imprisoned two of his own sons, who were serving in the army, for insubordination, and he had a firm belief in the need to encourage godly behavior by officers. Louvois’s power, however, also rested upon the support of the monarch. Louis XIV appreciated the need to integrate the Le Tellier family into the court and the upper reaches of French society if they were to be able to deal successfully with the great nobility and the high command. Through promoting a succession of prestigious marriages from 1660, and by endowing Louvois’s cousins and sons with offices in the royal household, Louis XIV gave the family social respectability. By the time of his death on 16 July 1691 from a heart attack, Louvois had succeeded in entrenching his family at the apex of French society, and for another ten years they also held on to the War Ministry: he was succeeded as secretary of state for war by his twenty-three-year-old third son, Louis-François-Marie, marquis de Barbezieux, whom he had been preparing for the role since November 1685.
Louvois was possibly the most divisive figure of Louis XIV’s reign and still remains controversial, not least for presiding over the persecution of Protestants and the 1689 devastation of the Palatinate. He was highly partisan, driving good officers out of
service on grounds of divergent personal interests, and depriving people of the full exercise of their offices. His reputation for ill-mannered brusqueness, and even occasional insolence to the king, was well established. He also encouraged Louis XIV in the pursuit of an aggressive foreign policy and, fatally for the king, he personally found it difficult to appreciate the interests of other powers, especially German princes and the duke of Savoy. Moreover, Louvois had a relatively weak grasp of grand strategy, and his operational directions to commanders were sometimes sufficiently out of touch as to provoke open protests to the king from the generals in the field. In 1691 he was even sidelined by the king from operational discussions during the siege of Mons. Yet, for all this, Louvois was fiercely loyal to the ideal of a strong monarchy, and he was immensely efficient at transacting state business. Just as important, Louvois was highly successful in the one thing that united all ministers and nobles of this era—securing the elevation of his dynasty.
See also Colbert, Jean-Baptiste; France; Louis XIV (France).
BIBLIOGRAPHY
Corvisier, André. *Louvois*. Paris, 1983. Easily the best biography.
Rousset, Camille. *Histoire de Louvois et de son administration politiques et militaire*. 4 vols. Paris, 1862–1864. Exhaustive, but hagiographic.
Rowlands, Guy. *The Dynastic State and the Army under Louis XIV: Royal Service and Private Interest, 1661–1701*. Cambridge, U.K., and New York, 2002. See Part One.
GUY ROWLANDS
LOYOLA, IGNATIUS. See Ignatius of Loyola.
LÜBECK. With a population of 25,000 at the end of the Middle Ages, Lübeck was one of the great cities of northern Germany, located at the crossroads between the Baltic and the North Sea. It lived from international trade, and its central position had brought it leadership of the Hanseatic League. By the end of the eighteenth century, its population was still at the same level, its international trade was dwarfed by foreign competition, and its regional position was overshadowed by Hamburg. Lübeck’s decline was comparatively gentle. At times, its merchants reached the Mediterranean, the Iberian Peninsula, and the eastern Baltic, particularly in the later sixteenth and seventeenth centuries. Lübeck’s decline was accompanied by the slow dissolution of the Hansa itself as contrasting commercial interests drove a wedge between its members, and the once favorable trading conditions offered to Hanseatic merchants by foreign rulers were withdrawn. Meetings of the Hansetag still took place frequently in the city, and its burghers occupied many of the organization’s most senior posts.
The Reformation came comparatively late to the city, in 1531. From then on, Lübeck was strictly Lutheran. Religious change was accompanied by political upheaval in the early 1530s, when a reform group, led by Jürgen Wullenwever, responded to Lübeck’s growing political and economic weakness by unsuccessfully making war on Denmark in order to restore the city’s former position.
The importance of long-distance trade throughout the period was reflected in the strong presence of seagoing merchants among the city’s elite. Sharing power first with a small group of landowners and later with lawyers and other professionals, they ran the city’s affairs, occupied the central quarter around the Rathaus (Town Hall), St. Mary’s Church, and the marketplace, and maintained a close-knit network of relatives and business associates around the shores of the Baltic. Among the most famous of mercantile aristocrats was Thomas Fredenhagen (1627–1709), whose ships sailed into the Mediterranean and the West Indies. Commercial decline in the sixteenth century was accompanied by artistic decline. Lübeck’s earlier reputation as a printing center was sustained during the Reformation but faded as Low German became less popular. A strong tradition of painting and wood carving (especially of altarpieces) made famous by Berndt Notke (1435–1509) also lost its wider importance. There was little continuing patronage of foreign artists. Only the organ music of Dieterich Buxtehude (1637–1707) and Franz Tunder (1614–1667) reached a wider audience.
Lübeck retained its medieval street plan. There was little rebuilding of town houses and public buildings until the eighteenth century, with the noted exception of the Rathaus, which was given a new Renaissance facade incorporating an impressive outside staircase during the sixteenth century. Instead, the appearance of the city was transformed from the outside. New and more extensive fortifications were constructed during the sixteenth and seventeenth centuries in response to the increase in military threats. These included the renewal and redecoration of Lübeck’s main gates. While financial constraints prevented a complete overhaul of the city’s fortifications, they proved to be a major deterrent to passing armies. Lübeck paid a high price for its neutrality during the Thirty Years’ War, however. Gustavus II Adolphus levied a large sum of money as his price for leaving the city alone.
The ideas of the Enlightenment were first brought to eighteenth-century Lübeck from the universities of Jena and Göttingen. The literary society established in 1788 went on to develop into an organization for reform, bringing together men of many different interests and backgrounds.
See also Buxtehude, Dieterich; Hamburg; Hansa.
BIBLIOGRAPHY
Cowan, Alexander Francis. *The Urban Patriciate: Lübeck and Venice, 1580–1700*. Cologne and Vienna, 1986.
Grassmann, Antjekathrin, ed. *Lübeckische Geschichte*. 2nd ed. Lübeck, 1989.
ALEXANDER COWAN
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**LUBLIN, UNION OF (1569).** Poland’s union with the Grand Duchy of Lithuania, signed in Lublin on 1 July 1569, was the final stage of the process begun at Krewo on 14 August 1385, by which the grand duke of Lithuania, Jogaila (who became King Władysław II Jagiełło of Poland), pledged to associate (*applicare* in Latin) the territories of Lithuania and Ruthenia with the Polish Kingdom in a permanent union. Until the Union of Lublin, two conflicting conceptions of the union existed: the Polish side strove for a full incorporation of the Grand Duchy, while the Lithuanians wanted to retain their statehood in a looser union. The act of union was renewed and amended several times, the most important being the treaty signed at Horodło on 2 October 1413, which preserved the position of grand duke in Lithuania, envisaged joint Polish-Lithuanian congresses, and gave Lithuanian Catholics the same rights to land ownership as the Polish nobility. The forty-seven most important Lithuanian clans were also allowed to use the coats of arms of the Polish noble families.
Stormy debates over the union began in Lublin in January 1569; the Polish side tried to force through the incorporation of Lithuania into Poland, while the Lithuanians sought a federation in which Lithuania would retain separate central authorities and a separate parliament. As no agreement was reached, the Lithuanian negotiators left Lublin, and the Polish side, taking advantage of their absence, announced the incorporation of Lithuania’s Ruthenian territories (Podlasia, Volhynia, the Kiev region, and the eastern part of Podolia) into Poland. Under pressure from the Lithuanian nobility, the Lithuanian magnates returned to Lublin, and a compromise act of union was signed on 1 July 1569.
Lithuania retained her political identity within the Commonwealth. The king and the grand duke would always be jointly elected, and parliament was to be held jointly. Lithuanian dignitaries holding posts that entitled their Polish counterparts to sit in the Senate became senators for life. The Chamber of Deputies was to include Lithuanians elected at twenty-four district diets (*sejmiki*). The Grand Duchy retained its own armed forces, currency, treasury, and laws. The Union guaranteed freedom of settlement and land ownership throughout the Commonwealth. It created a federation of the two states, called the Commonwealth of Both Nations. A far-reaching cultural Polonization of the nobility of the Grand Duchy followed, but the Lithuanian noblemen preserved a consciousness of distinct political identity and retained their laws and traditions, as expressed in the Third Lithuanian Statute (1588; in force until 1840). A supplement to the Constitution of 3 May, adopted on 20 October 1791, stressed the federal character of the Commonwealth and the Grand Duchy’s equal status with the Polish kingdom.
See also Jadwiga (Poland); Jagiellon Dynasty (Poland-Lithuania); Lithuania, Grand Duchy of, to 1569; Poland to 1569; Poland-Lithuania, Commonwealth
LULLY, JEAN-BAPTISTE (1632–1687), French composer and founder of the French operatic tradition. Lully was born Giovanni Battista Lulli in Florence, the son of a miller. Despite his humble origins, he was selected at the age of thirteen to teach Italian in Paris to Louis XIV’s cousin Anne-Marie-Louise d’Orléans, known as the “Grande Mademoiselle,” and he completed his education while serving in her household, mastering harpsichord, violin, and dancing. Lully became familiar with the ballet style of the royal court and by 1652 had so risen in musical status that he composed some of the music for a ballet that was given in the Grande Mademoiselle’s palace. She became a partisan of the Fronde (a rebellion against the authority of the monarchy) later in the same year and was banished from Paris, freeing Lully to accept a post in 1653 as composer of instrumental music at the court of Louis XIV, functioning at first as both dancer and composer. The king, six years younger than Lully, befriended the composer, and the stage was set for Lully’s extraordinary rise to musical power in France. By 1656 he had his own royal orchestra (the “petits violons”) and began to compose all of the music for ballets, rather than collaborating with other composers. In the early 1660s he was understood to be the principal composer of ballets at court.
At this time, opera was understood to be exclusively an Italian phenomenon, and the considerable Italian presence at the court of Louis XIV (his first minister, Cardinal Jules Mazarin, was Italian) resulted in the importation of much opera. In 1664, Lully began to move in the direction of dramatic music in French, first by collaborating with Molière (1622–1673) in *comédies-ballets* (plays with much dance music). Louis XIV was in the process of extending his power in all aspects of French life, and in 1669 he added an Académie Royale de Musique to the “academies” he had established to control the artistic and intellectual life of the country; the new academy’s stated purpose was to promote operas in French. Lully soon saw his opportunity and became its director in 1672, a position he held and aggrandized until his death, at the age of fifty-four. According to one contemporary source (Jean-Laurant Le Cerf de La Viéville), he died of gangrene after banging his foot while conducting with a cane.
Lully and librettist Philippe Quinault (1635–1688) created a noble new genre that signaled the beginning of a French style of opera. It was first termed simply tragédie, then tragédie en musique; later, the genre was labeled tragédie lyrique. Lully completed thirteen of these, approximately one a year, eleven to librettos by Quinault and two to librettos by Pierre Corneille (1606–1684): Cadmus et Hermione (1673), Alceste (1674), Thésée (1675), Atys (1676), Isis (1677), Psyché (1678, libretto by Corneille), Bellerophon (1679, Corneille), Proserpine (1680), Persée (1682), Phaëton (1683), Amadis (1684), Roland (1685), and Armide (1686). Because Lully held royal privileges that gave him a complete monopoly on musical stage works, his operas dominated the musical life of the court and of Paris, and they held the stage well into the eighteenth century. Stylistically, they eschewed the rapid speechlike declamation typical of Italian recitatives. Rather, Lully created a fluid and expressive style of melodic line based on the declamation used in spoken French drama. Airs are usually dance-songs, and there are many dances interspersed with the vocal music, including full-fledged divertissements (entertainments that interrupt the plot). The five-act structure of the tragédie en musique was adopted from the spoken dramas of Corneille, and the prologue that either directly or allegorically praises Louis XIV came from the ballet tradition. Lully established a form for his overtures that was widely imitated elsewhere in Europe, and came to be known as the “French overture,” consisting of a stately chordal section characterized by dotted-note rhythms, followed by a lively contrapuntal section.
Lully also composed a small but influential body of church music, particularly grands motets and petits motets. While he did not compose much independent instrumental music, the large amount of dance music in his stage works circulated separately, was gathered into suites, and was transcribed for other instruments. There is, for example, more harpsichord music derived from Lully’s operatic dances than original music by any seventeenth-century French harpsichordist. Outside France, his influence was particularly strong in the Netherlands and Germany, and also in England. After the middle of the eighteenth century, his music was regarded for the most part as historical artifact until a revival of Atys in 1987 generated a new wave of appreciation for his operas.
See also Corneille, Pierre; Dance; Louis XIV (France); Mazarin, Jules; Molière; Music; Opera.
BIBLIOGRAPHY
Heyer, John Hajdu, ed. Jean-Baptiste Lully and the Music of the French Baroque: Essays in Honor of James R. Anthony. Cambridge, U.K., and New York, 1989.
Isherwood, Robert. Music in the Service of the King: France in the Seventeenth Century. Ithaca, N.Y., 1973.
LUTHER, MARTIN (1483–1546), German theologian and author. Martin Luther came to be easily the most well-known public figure—and the most published author—of his time. He was born on 10 November 1483 to Hans and Margarethe Luther in the town of Eisleben and went to school in Mansfeld and Magdeburg and then in Eisenach. His father was in the copper mining business, and wanted Martin to become a lawyer. He entered the University of Erfurt in 1501 and completed the studies necessary for a master’s degree four years later. By that time, however, he was suffering from doubts about the meaning of his life and from fears of death, and in the summer of 1505, against his father’s wishes, he became a friar of the Observant Augustinians at Erfurt; he took monastic vows in 1506 and was ordained a priest in 1507. On a trip to Rome for the order in 1510–1511, he was disturbed by the corruption he found there, typified by the sale of indulgences to raise money for the rebuilding of St. Peter’s. He returned to Saxony, earned his doctorate in 1512, and became professor of biblical exegesis at the University of Wittenberg, a post he held until 1546; he was also the preacher at the church in Wittenberg.
In his lectures on the Psalms and on Paul’s Epistles, Luther began to preach the doctrine of salvation by faith rather than by works. Meanwhile, the popular Dominican preacher and papal fundraiser Johann Tetzel appeared in the area to proclaim that the pope had authorized the sale of St. Peter’s indulgences; Luther was infuriated to the point of composing a letter of protest to the archbishop of Mainz and posting his *Ninety-Five Theses on the Sale of Indulgences* on the church door at Wittenberg on 31 October 1517. By the end of the year, the theses had been printed and, a short while later, translated into German and spread throughout the Holy Roman Empire. The archbishop sent the theses to Pope Leo X, who summoned Luther to Rome to answer charges of heresy in 1518. Frederick III (Frederick the Wise; ruled 1486–1525) of Saxony intervened and arranged for Luther to have a formal hearing at Augsburg before the papal legate Cajetan rather than being sent to Rome. Luther refused to retract the views expressed in his theses, maintaining that there was no biblical justification for indulgences, and appealed to a papal council. There followed in 1519 a widely publicized debate at Leipzig between Luther and Johann Eck, a professor from Ingolstadt, on the subject of church authority. Luther’s publication of three treatises in 1520 that called for revolutionary changes in late medieval German political, social, and religious life led to a papal bull excommunicating him in 1521; Luther publicly burnt the bull along with a copy of canon law and was called to the Diet of Worms for the purpose of recanting his teachings. He refused and was placed under the ban of the empire, which designated him an “outlaw” whom anyone could kill without legally committing murder.
His protector Frederick III of Saxony sent his soldiers to take Luther to the castle at Wartburg, where he spent a year writing pamphlets, preparing sermons on the Epistles and the Gospels, and translating the New Testament from Greek into German. He returned to Wittenberg in 1522 and resumed teaching and preaching. He urged the establishment of schools for all children (including girls), opposed the German Peasants’ War, began the organization of the Saxon church, wrote hymns, a Small Catechism, and a Large Catechism, as well as numerous commentaries and treatises.
In 1525 Luther married Katharina von Bora, a former Cistercian nun who had fled her convent two years earlier under the influence of the Reformation. The couple moved into the former Augustinian monastery where Luther had lived as a monk; they had six children, three boys and three girls, and they also took in the six children of Luther’s sister after her death; visitors reported that their home was always filled with students, guests, and boarders. Luther died at Eisleben on 18 February 1546 and was buried in the castle church at Wittenberg. In his funeral oration to faculty and students at Wittenberg, his long-time colleague and friend Philipp Melanchthon observed that in Luther “God gave this last age a sharp physician on account of its great sickness.”
those he taught and to whom he preached should be assured of their salvation both in the here and now and in the world to come. His fundamental concern was for the “care of souls,” first his own and then the souls of those he served. In and of itself, this single-minded focus marks him as a pre-modern religious figure.
By the same token, the essential consequences of Luther’s life and career are that, willy-nilly, the content of his personal spiritual quest, and the one he taught his students, changed dramatically. This change was so fundamental that, in combination with the circumstances of the early sixteenth century, it affected both the internal and public lives of many others. They too, unintentionally and perhaps even unconsciously, found themselves leaving the Middle Ages and moving into the early modern period.
The special indulgence sale of 1517, to which Luther objected in the *Theses*, has generally made indulgences the best known of the religious practices of the time. In fact, for the average believer, the sacrament of confession and penance was a far more common encounter with the medieval confrontation of sin, death, guilt, and wounded consciences. Above all, ever since the Fourth Lateran Council (1215) the faithful were obligated to go to confession at least annually, and most commonly during Lent or in preparation for partaking of Holy Communion at Easter. By contrast, going on a pilgrimage, venerating relics, and the like were all further and optional ways of strengthening and demonstrating one’s faith.
For his part, Luther confessed his sins to another person and frequently on a more than daily basis. It remains impossible, of course, to learn exactly what happened within the confines of the confessional. The late medieval manuals suggest a certain rigor. Frequently enough, for example, someone would come and be unable to think of any particular sin that he or she had committed. At this point, the confessor had recourse to a printed list of questions that might be asked, such as, “Have you ever had sexual relations with your spouse for reasons other than procreation?” “Did you or your spouse enjoy the encounter?” Answering yes to either of both questions produced two sins for which penance must be done. Being first a novice and then
a friar of the Observant Augustinians in Erfurt, the questions that Luther was asked and was taught to ask himself naturally turned to the internal status of his soul and in particular to the strength and commitment of his personal faith. From the posting of the theses forward, he never ceased in fact to inveigh against this practice of “inquiring about secret sins.”
In the preface to the Latin works, which he completed in 1545, one year before his death, Luther eloquently and accurately described the changes that overcame his thinking, indeed his personal faith. There, he detailed rejecting the theology he had been taught, that the righteousness of God was a divine quality with which God judged humanity, and how he realized that it was rather the gift that God bestowed for Christ’s sake on unrighteous people, and to which they cleaved in this life by faith alone. The basics of his more developed position appeared publicly in the Theses for the Heidelberg Disputation (spring 1518), in his lecture hall at the University of Wittenberg (1515–1519), and definitively in *Von der Freiheit eines Christenmenschen* (1520; On the freedom of a Christian). They lay beneath his insistence at Leipzig (1519) that “a simple layman armed with the Scriptures is mightier than pope and councils without them.” Their consequences for Christianity and for Christendom became undeniable in *An den christlichen Adel deutschter Nation* (Address to the Christian nobility) and *De captivitate Babylonica ecclesiae praeludium* (On the Babylonian captivity of the church), both of 1520.
Each struck fundamental and telling blows against the medieval ideal of Latin Christendom. Each had politically, institutionally, and religiously revolutionary consequences. Many at the time regarded the *Address* as a call to arms against everything Roman, a call that—to the likes of Ulrich von Hutten, for example—included the political arrangements of the Holy Roman Empire. Luther cast his treatise as an appeal to the “Christian nobility” (or “ruling class” as some prefer to translate), the *Christlichen Adel*, to proceed with the reforms that the papacy refused to consider. The problem he faced was that common opinion held overwhelmingly that actually reforming the church was far beyond the competence of secular rulers, no matter how very Christian and upstanding they might be. Only those who had been ordained as priests, at a minimum, had the right to intervene in the affairs of the church in favor of or against any of its practices. There were many places in which local practice decreed that, if there were a property dispute between a clerical and a civil foundation, the case would be heard in an ecclesiastical court, and its outcome would be in little doubt.
This public and sanctioned conviction Luther called “the first wall” behind which papal prerogative protected itself. It was also the first one that he attacked. He did it with his famous teaching on the “priesthood of all believers,” which grew directly from the proclamation that all Christians lived by the same grace through faith in the same Christ without distinctions between them. The only differences turned on the principal office or calling that a particular person had, regardless of whether he or she served in the temporal or spiritual spheres. Any baptized Christian was eligible to be called by the believers to preach, to baptize, and to administer the sacrament of the Lord’s Supper on either a short- or long-term basis. With one stroke, Luther at least theoretically destroyed the very social class that helped constitute the social and political—as well as religious—reality of late medieval Christendom.
Luther’s treatise *The Babylonian Captivity of the Church* performed much the same function with respect to specifically religious activities. Erasmus thought this the most radical of his treatises, for in a few pages, published initially in Latin, Luther attacked the medieval sacramental system at its core, reducing the number of sacraments from seven to first three and then (on the final pages) two. Two consequences followed. In the first place, if one accepted Luther’s argument, then the Church of Rome no longer had anything to offer the laity that was essential to salvation. As then constituted, its raison d’être had ceased to exist. From pope to priest, they were all useless.
But there was an even more important aspect to what Luther had wrought. As he was working his way through one sacrament after another, he developed a consistent standard for what constituted a sacrament. It required biblical evidence that Christ had founded the practice and that it consisted of a promise added to a physical object.
Thus, the central sacrament—confession and penance—disappeared and with it went any semblance of religious authority that the clergy might hold over the laity as a matter of principle.
Yet, Luther should not be called a “reformer” without qualification. He made no effort to replace what he tore down with a “better” edifice. Instead, he and his colleagues proceeded to construct a new institution chiefly through ad hoc measures such as visitations that had the sole objective of securing the preaching of the Word of forgiveness through Christ and in the sacraments of baptism and the Lord’s Supper. All else they relegated to the world in which Christians carried out their vocations. Thus, to understand Luther requires grasping the contradictory theses with which he began *On the Freedom of a Christian*, published in 1520: “A Christian is a perfectly free lord of all, subject to none. A Christian is a perfectly dutiful servant of all, subject to all.” As time passed and the cause fell to less perceptive figures, this distinction metamorphosed into what became the dichotomy between church and state. In this regard and with these changes, the transition from the medieval world of Latin Christendom into early modern Europe was complete, whereas by contrast the old tensions, polarities, and rivalries persisted in France, Italy, Spain, and Catholic portions of the Holy Roman Empire until the French Revolution.
*See also* Bible: Translations and Editions; German Literature and Language; Lutheranism; Melanchthon, Philipp; Peasants’ War, German; Reformation, Protestant; Saxony.
**BIBLIOGRAPHY**
*Primary Sources*
Luther, Martin. *D. Martin Luthers Werke: Kritische Gesamtausgabe*. Weimar, 1883–. The standard critical edition, the unsurpassed work of generations of scholars, which now consists of more than 100 volumes. Comprises Luther’s published works, correspondence, the German Bible, and table talks. Commonly referred to as “the Weimar edition” or simply “WA.”
———. *Luther’s Works*. Translated and edited by Jaroslav Pelikan, Helmut Lehmann, et al. 55 vols. St. Louis and Philadelphia, 1955–1986. The standard English translation, which is not completely reliable for a number of reasons.
*Secondary Sources*
Brecht, Martin. *Martin Luther*. Translated by James Schaaf. 3 vols. Philadelphia and Minneapolis, 1985–1993.
With three large volumes, thorough attention to detail, and the German apparatus by and large intact, these are the volumes for the serious beginner.
Edwards, Mark U. *Printing, Propaganda, and Martin Luther*. Berkeley, 1994.
Kittelson, James M. *Luther the Reformer: The Story of the Man and His Career*. Minneapolis, 1986.
Kolb, Robert. *Martin Luther as Prophet, Teacher, Hero: Images of the Reformer, 1520–1620*. Grand Rapids, Mich., 1999.
McGrath, Alister E. *Luther’s Theology of the Cross: Martin Luther’s Theological Breakthrough*. Oxford, 1985.
Oberman, Heiko. *Luther: Man between God and the Devil*. Translated by Eileen Walliser-Schwarzbart. New Haven, 1989.
JAMES M. KITTELSON
**LUTHERANISM.** Among all the major individual varieties of Latin Christianity to emerge from the Reformation, Lutheranism stands alone for two reasons. In the first place, it bears the name of an individual. Secondly, its hallmark, more vital even than the reference to Martin Luther (1483–1546), consists of its formal, agreed-upon confessions of faith, in particular the Unaltered Augsburg Confession (1530), but also (save in Scandinavia) the Formula of Concord (1577) and the other documents contained in the Book of Concord (1580), which claim faithfulness to both the Scriptures and Luther’s teachings. To answer the question, “What is Lutheranism?” therefore requires, at least in principle, no more than a careful reading of these theological sources with the understanding that conduct flowed from conviction. It can be no surprise, then, that Lutherans have traditionally relegated all other religious matters—liturgy, polity, hymnody, spirituality, and the like—to the realm of *adiaphora* or “things indifferent.” The teachings were at the time of the Reformation, and remain now, the heartbeat of Lutheranism.
By contrast, even the finest of Lutheran scholarship has little to say about its distinctive characteristics, if any, with respect to its political, social, intellectual, artistic, and cultural preferences over time. Thus, even its hymnody and its vibrant traditions in choral music were put in service to its teachings. For the unengaged student, Lutheranism presents the unavoidable impression that all matters which make
it a distinct variety of Christianity have rightly had a theological, as well as musical, standard applied to them. To the uninitiated and the veteran alike, it may well appear that once one has gotten the teachings of the Lutherans correct and arranged them in their proper relationships to one another, one has grasped all that is essential when it comes to understanding Lutheranism in almost any place and time. One is reminded of nothing so much as the words on the back of a coin struck in Württemberg on the fiftieth anniversary of the posting of the Ninety-Five Theses: “God’s Word and Luther’s Teachings are Never to be Forgotten!”
Luther had been in his grave for more than twenty years when this medal was struck. The Formula of Concord, to say nothing of the period of Lutheran Orthodoxy, did not yet exist. But the conviction that true doctrine was the equivalent of true religion did. Indeed, this very characteristic is not a caricature and, no matter how obvious it is, it must be underlined whenever one seeks to penetrate to the core of Lutheranism. Luther himself reportedly declared, “Others before me have contested practice, but to contest doctrine, that is to grab the goose by the neck!”
Even when one rightly approaches the core of Lutheranism by way of its teachings, there remain more and less enlightening ways to do so. One can, as noted above, and rather in the manner of Lutheran Orthodoxy in the seventeenth and eighteenth centuries, turn the exercise into an utterly misleading game of theological pick-up sticks. If, however, the objective is to render an image of Lutheranism that encompasses its whole as well as its many parts, one further and rather subtler characteristic must be given its due. Luther was indeed a theologian, and Lutheranism does indeed remain a highly theological version of even Latin Christianity. But, both Luther and the movement that sprang from him had almost no inclinations to systematic theology in a manner that might be recognized by, for example, Thomas Aquinas.
Neither Luther nor Lutherans in general have sought to create a *Summa Theologica* in which everything from the creation *ex nihilo* to human procreation has its own perfectly consistent theological understanding. This is not to say that Lutheran religious thought consisted merely of random insights on one unrelated topic after another in the manner of some types of mysticism. Instead, the consistency or univocality of Lutheran theology derived from its genesis over time from a single, unitary point of departure. Thus it began, by Luther’s own testimony, with his personal search for a gracious God. He had been taught that the righteousness of God was a quality of God against which this divine judge measured all humans and found them wanting. On the bases of his lectures and writings from late 1518 through mid-1519, it is now a matter of nearly absolute certainty that he consciously rejected what he had been taught and then gradually came to understand God’s righteousness as a gift that God bestowed on humanity and by which he reconciled mankind to himself. Thus, the famous passage, “The righteous (*iustus*, ‘made righteous’) shall live by faith” applied directly not only to the theology he taught as a professor at Wittenberg but also to his personal religious life. “Faith” itself was no longer an attribute that played a role in moving the sinner toward salvation but the central, unwilled response to having been made righteous by the benefits of Christ. By comparison with *sola gratia*, Luther did not even use the terms *sola fide* and *sola scriptura* with much frequency. They did not do more than indicate the principal source for and the manner by which the Christian received and held grace.
The theology that marked Lutheranism was therefore intensely practical and rarely, before Kant, speculative or philosophical in the least. Two examples will illustrate the point. The first concerns the subject of predestination, which came under dispute during the 1560s in a few places that were, for the most part, south of the Main River and along the Rhine—most notably in Strasbourg. Those who introduced the issue were commonly Italian converts to Calvinism such as Girolamo Zanchi (1516–1590) and Peter Martyr Vermigli (1500–1562). The issue, certainly related theologically to Luther’s position in *De servo arbitrio* (1525; On the bondage of the will), nonetheless never caught fire among the German Lutherans. In its eleventh article, the Formula of Concord observed that the subject had not been an issue “among the theologians of the Augsburg Confession” and then addressed it anyway. Taking the approach and even borrowing some of the language that was used at Strasbourg in
1561–1563, the formulators declared that there were good biblical grounds in support of both the doctrine of election and the assertion that Christ came for all. But, because God’s predestining belonged to his hidden will and Christ’s coming for all to his revealed will, Lutherans would henceforth ignore predestination and preach only what God had revealed to all. For the most part, Lutherans to this day have carefully observed this self-denying ordinance. They were single-minded about the original insight regarding justification and remained tenaciously within it.
A second illustration from Luther himself may also be revealing. It concerns the subject of “hiddenness” and a similar, related principle of self-denial in general. Luther observed, for example, that everyone of sound mind could know that God existed, that he created all things, that he was omnipotent, and so forth. What humans could not know were God’s intentions toward them because God had hidden and continued to hide this knowledge in the folly of Christ. Moreover, this keen awareness of what God has revealed and what he has hidden guided even Luther’s exegetical practices. Consequently, his biblical lectures often contained the declaration regarding a particular passage, “It is too dark there. I cannot go there because all is hidden.” Indeed, his first reaction to Johann Agricola of Eisleben’s (c. 1494–1566) insistence that the Law should not be preached to the saved (the fundamental issue at stake in Lutheranism’s first Antinomian Controversy, which involved the notion that a saved Christian was free from the dictates of the Law) was not to press on to the truth of the matter but—in part because he was one of Luther’s favorite students—that Agricola should stop talking about the matter.
Nonetheless, little more than a generation had passed before Luther’s followers had fallen into so many internecine theological quarrels that Jakob Andreae of Württemberg (1528–1590) and others took up the work that led to the Formula of Concord. In addition to predestination, Andreae and his colleagues addressed ten such controversies that threatened to undo the unity implied in the name “theologians of the Augsburg Confession.” To modern ears, some of these issues were truly frivolous and may have derived more from some individuals’ vanity than serious theological considerations. Georg Major’s (1469–1550) tactic of expressing Luther’s views of the place of works in the economy of salvation may be a case in point. Somehow, his declaration that “Good works are dangerous to salvation” seems intended more to enrage than to enlighten. It is easy to understand Philipp Melanchthon’s (1497–1560) giving thanks at the point of death for at last being released from the *rabies theologorum* (‘the madness of the theologians’).
With this much granted to the merely human, the emphasis should fall here on two related practical, political realities that forced theological reflection. The first was Emperor Charles V’s (ruled 1519–1556) victory over the Schmalkaldic League in 1547–1548 and his determination to establish religious peace within the empire by force if necessary. Thus, the Augsburg Interim required of the Lutheran rulers that they reinstitute the Mass in their territories, provide for an unmarried clergy, and cease secularizing religious foundations, among other, more local, arrangements. In addition, by putting the free imperial city of Constance under siege, the emperor demonstrated that he was more than willing to employ force during this interim before the calling of a general council. Consequently, in order to meet these terms, Strasbourg found itself compelled to negotiate a treaty with its long-time non-resident bishop, while Magdeburg to the northeast resisted imperial pressure successfully by holding firm behind its outlying marshes to defend its choice of resistance. At the same time, Maurice, called on account of his political behavior the “Judas of Meissen,” now enjoying the title elector of Saxony (1547–1553), found so much resistance to the new order in his territories that he felt compelled to negotiate a somewhat milder version, called the Leipzig Interim, whose intent was to defend Lutheran doctrine, albeit without much regard for contrary practices, in the face of these temporary practical concessions.
A genuine theological problem lay at what became an internecine pamphlet war among the theologians of the Augsburg Confession. Mathias Flaccius Illyricus (1520–1575) led the defenders of Magdeburg’s policy on the grounds that the Leipzig Interim violated the spirit, if not the letter, of true Lutheranism. In this instance, there was no authoritative text to which the parties could turn, if only because the Augsburg Confession’s seventh
article was silent with respect to any of the specifics regarding what actions (or lack thereof) fell under the umbrella of “things indifferent.” According to the Magdeburgers with Matthias Flaccius Illyricus, the “Genesio” or Original Lutherans (as they were now called) insisted that while some practices, such as the celebration of the Mass, might be indifferent in themselves, they were intolerable in a Lutheran territory, because they in fact promoted a false gospel. The outrage was so great that there are present-day Lutherans who still call themselves Genesios. During the late 1570s, its simple existence forced the inclusion of Section X in the Formula of Concord, which basically endorsed the Genesios’ position.
The decade from the mid-1540s to the mid-1550s also called for greater theological precision in imperial politics. The Religious Peace of Augsburg (1555) inserted the Augsburg Confession (1530) into the imperial constitution by declaring that adherents to it would be guaranteed a modicum of religious freedom, depending on the confession of the town or principality that was their home. This is the famous provision that is summarized with the anachronistic term *cuius regio eius religio*, according to which the ruler’s confession determined the religion of the town or principality. Some try incorrectly to draw from this provision the beginnings of state-dominated religion. Instead, this provision merely stated that the prevailing religion in any territory or city was to be the one that existed there before the Schmalkaldic War.
There was a problem, however, lurking beneath the easy reference to the Augsburg Confession as the imperial confessional standard. Which Augsburg Confession? In 1540 Melanchthon had been given the task of revising the version that was submitted at Augsburg in 1530 in light of the Wittenberg Concord of 1536. Specifically, he had used the language, approved expressly by Luther, *cum pane et vino* (“with bread and wine”) rather than *in pane et vino* (“in bread and wine”) as a way to describe just how the consecrated elements in the Lord’s Supper were presented as the body and blood of Christ. One change of preposition provided certain Reformed theologians, notably those active at the court of the elector palatine, just enough room to assert that their understanding of the spiritual presence of the body and the blood came under the umbrella of “the Augsburg Confession” and therefore of the Peace of Augsburg.
At last an assembly of evangelical princes, meeting at the request of the elector palatine at Naumburg in January 1561, declared that the standard was the *invariata* (the version of 1530), but that the *variata* (Melanchthon’s version of 1540) might be used to explain its teaching on contentious issues. No sooner had they returned home than they were confronted with a round-robin inquiry from Emperor Ferdinand I (ruled 1558–1564), in which he asked whether the elector palatine was or was not in harmony with the Unaltered Augsburg Confession of 1530. They replied that, while perhaps technically he was not, the emperor should not presume to take any actions against him.
These festering disagreements and Reformed aggressiveness in northern Germany go much of the way to explaining why, about seventy-five years later, in the aftermath of the Battle of White Mountain, the Lutheran princes decided to sit on their hands when General Albrecht Wenzel Eusebius von Wallenstein attacked the Electoral Palatinate, deposed the elector, reduced parts of Heidelberg to ashes, shipped the contents of the university library, the Palatinum, off to the pope as a gift, and inaugurated the Thirty Years’ War (1618–1648). Certain developments within Lutheranism contributed to this decision not to intervene in defense of a generous interpretation of the Peace of Augsburg. Perhaps it was the price the Reformed were called upon to pay for their aggressive attempts over the past seventy years to convert Lutheran princes. In the event, it was Germany, and in particular northern, Lutheran Germany that paid the price by becoming the playground for armies from all over Europe, while the south had the burden of paying for it all.
The reference above to “certain developments within Lutheranism” points to the two paths between which Lutherans chose beginning in the early seventeenth century and continuing on through the mid-eighteenth century. They persist to this day under the terms “Pietism” and “Lutheran Orthodoxy.” Both had deep roots. As should be evident, Orthodoxy can claim parentage in the heavily doctrinal character of Lutheranism from the outset, through the Genesio Lutherans, the Formula of Concord, Martin Chemnitz with his monumental
Examination of the Council of Trent (1565–1573), and into the professorial life of seventeenth-century Lutheran theological faculties. Pietism, on the other hand, can claim its origins with Martin Bucer (1491–1551) of Strasbourg and a tradition that produced such luminaries in the movement toward a more “heartfelt” religion, as evident in two later products of Strasbourg, Johannes Arndt (1555–1621) and his Vier Bücher vom wahren Christentum (1606; Four books on true Christianity), and Philipp Jakob Spener (1635–1705), the collegia pietatis, and his Pia Desideria (1675), which is still read and cherished by many. That the two parties did not think well of one another is evident from the story about Johann Sebastian Bach (1685–1750), who was frustrated by a powerful Pietist preacher at the Church of St. Thomas in Leipzig. It was said that whenever he encountered the preacher on the street, Bach would “compose and throw another fugue” at him.
One may legitimately wonder whether Voltaire’s Dr. Pangloss, despite the evident reference to followers of Gottfried Wilhelm von Leibniz, was a parody of Lutheran theologians he had met. Research has only begun on these theologians, but two matters are presently apparent. In the first place, they were indeed extremely learned men who brought to their tasks Aristotle, both of the Metaphysics and the Posterior Analytics, the ancient authority whose very dominance of Wittenberg’s theological faculty Luther once celebrated. Secondly, it was the Orthodox who turned the substance of Lutheranism into a laundry list of virtually self-standing doctrines that the theologian needed only to memorize. While so doing, they no longer studied Luther himself nor did they cite him in their general histories of doctrine or their works on specific theological topics. Finally, their influence lasted long past the eighteenth century and can be said to have peaked in the nineteenth century. This is not to say that no one read Luther any longer. The Finnish “Luther Readers” both in Finland and in the Upper Peninsula of Michigan read him regularly, but more for the sake of spiritual enrichment than of theological learning. It was left to the Swedish Luther Renaissance of the late nineteenth and twentieth centuries to return to a genuinely theological-critical study of Luther himself.
Save in a few synodical groupings and a handful of individuals, notably in North America, Lutheran Orthodoxy is no longer particularly influential. Pietism in both vibrant and decadent forms is a different matter. Beginning with Bucer, who was truthfully more a religious thinker and churchman than a theologian, those with Pietist proclivities have downplayed the theological character of Lutheranism as a distortion that drew the believer’s attention away from the inclination of the heart, moral behavior, and the amendment of life that must follow the hearing of the Gospel.
To take but two examples, one at the beginning and the other near the end of the story, in the mid-1530s Bucer wrote a book called The True Care of Souls. In it (among other concerns) he listed Christians by type according to the extent to which they approximated the ideal and then prescribed different forms of pastoral care that would help them advance on the classification table. He did bow toward the central teaching from Luther that a Christian remained simul iustus et peccator (“at the same time righteous and a sinner”). But this was for him merely a background principle to the main task of creating more genuine believers and moral members of the church on earth. Still, Bucer’s list of exercises remained some distance from Luther’s insistence that true pastoral care occurred in the preaching of God’s Word, which did all that could be done to create true people of God.
Spener differed from Bucer first in that he openly criticized the theologians and churchmen of his day for their self-serving lack of attention to improving the tenor of Christian life. Secondly, he favored the establishment where possible of collegia pietatis (“colleges of piety”) in which the truly repentant and committed would withdraw to increase their search for true piety and their willingness to perform good works. Bucer, too, had engaged himself in similar work, known as the Christliche Gemeinschaften or ecclesiolae in ecclesia (“little churches within the church”), shortly before being forced as a condition of the Interim to leave Strasbourg for England while under a storm of criticism from both the government and many of his fellow pastors for the tendencies of these small fellowships to split the existing parishes and churches. It should be noted that these efforts were not strictly antidogmatic but simply did not evidence much interest
in public teachings. The Pietist movement reached its apogee in August Hermann Francke (1663–1727) with his school and later university at Halle, institutions that came to specialize in the training of servants for the Prussian bureaucracy.
Lutheranism in the main experienced the same fate as most other branches of Christianity during the early modern period. By the end of the eighteenth century, true religion had retreated from the public sphere into the private. Whereas the “two kingdoms” through which God ruled his creation—the world of daily affairs in politics, society, and business, and the world of faith—had once served one another, by the end of early modern times, the kingdom of the world had come to dominate. Lutheranism in both its Orthodox and Pietist forms thus abandoned the public sphere to a heretofore-unknown realm of religious indeterminacy, and it did so well before the First Amendment to the United States Constitution. By their own doing, Lutherans turned true religion into a private matter that was by and large excluded from the “real world” of politics, business, and society. Christendom had died. Europe was born.
See also Luther, Martin; Melanchthon, Philipp; Pietism; Reformation, Protestant; Schmalkaldic War.
BIBLIOGRAPHY
Primary Sources
The Book of Concord: The Confessions of the Evangelical Lutheran Church. Translated by Charles Arand, et al. Edited by Robert Kolb and Timothy J. Wengert. Minneapolis, 2000.
Luther, Martin. D. Martin Luthers Werke: Kritische Gesamtausgabe. Weimar, 1883–. Comprises Luther’s published works, correspondence, the German Bible, and table talks. Commonly referred to as “the Weimar edition” or simply “WA.”
———. Luther’s Works. Translated and edited by Jaroslav Pelikan, Helmut Lehmann, et al. 55 vols. St. Louis and Philadelphia, 1955–1986.
———. Sources and Contexts of The Book of Concord. Edited by Robert Kolb and James A. Nestingen. Minneapolis, 2001.
Secondary Sources
Brecht, Martin. Martin Luther. Translated by James Schaaf. 3 vols. Philadelphia and Minneapolis, 1985–1993.
Elert, Werner. The Structure of Lutheranism. Vol. 1, The Theology and Philosophy of Life of Lutheranism Especially in the Sixteenth and Seventeenth Centuries. Translated by Walter A. Hansen. St. Louis, 1962. Informative but filtered through a neo-Kantian framework.
Kittelson, James M. Luther the Reformer: The Story of the Man and His Career. Minneapolis, 1986.
———. Toward an Established Church: Strasbourg from 1500 to the Dawn of the Seventeenth Century. Veröffentlichungen des Instituts für Europäische Geschichte Mainz 182. Mainz, 2000.
Maurer, Wilhelm. Historical Commentary on the Augsburg Confession. Translated by H. G. Anderson. Philadelphia, 1986.
Nischan, Bodo. Princes, People and Confession: The Second Reformation in Brandenburg. Philadelphia, 1994.
James M. Kittelson
LVIV (Polish, Lwów; German, Lemberg; Russian, Lvov; Latin, Leopolis). First mentioned in 1256, Lviv arose at the intersection of important trade routes linking the Baltic with the Black Sea and Cracow with Kiev. It was named for Leo, son of Daniel, prince of Galician-Volhynian Rus’, who founded the city in the mid-thirteenth century. In 1349 the principality was incorporated into the Polish crown under Casimir III the Great. Lviv became the capital of the Ruthenian palatinate in 1434.
Casimir granted the city the Magdeburg law for municipal self-government in 1356, opening the door to considerable immigration, especially from German-speaking lands. Lviv was thus highly mixed from the beginnings of the Polish period. In addition to the autochthonous Ruthenians (ancestors of Ukrainians) there were numbers of Polish, German, Armenian, and Jewish immigrants. A Roman Catholic archbishopric was established in 1412, an Orthodox bishopric in 1539 (it received the Union of Brest with Rome in 1700), and an Armenian bishopric from 1626. The burghers were largely German until the beginning of the sixteenth century, from which point they and the Armenians underwent Polonization. Rights of citizenship in Lviv under the Magdeburg law applied only to Catholics. The Orthodox Ruthenian commonality found itself in social and confessional conflicts with the Polish or Polonized nobility, patriciate, and burghers.
Lviv was a cultural center. It was home to Catholic poets working in neo-Latin and Polish—Szymon Szymonowic (Simon Simonides, 1558–1629, son of the city councillor Szymon of
Brzeziny) and the brothers Zimorowic, Szymon (c. 1609–1629) and Józef Bartłomiej (1597–1677), who served several times as Lviv’s burgo-master—all of whom reflected local Ruthenian re-alia in their works. The Lviv Orthodox Dormition Brotherhood was an important Orthodox cultural center (its right of stauropegion, whereby it was placed directly under the patriarch’s control and made independent of the local bishop, was granted by the patriarch of Antioch, Joachim V, in 1586). It established a school (1585) and printing house (first printing 1591), and it played an important role in the lives of local Ruthenians, serving also, with Vilnius, as an early center for a broader Orthodox revival in the late fifteenth and early sixteenth centuries before yielding that role to Kiev in the 1630s. The city’s first printing house was that of the Belarusian printer Ivan Fedorov, recently expelled from Moscow, who issued Lviv’s first Church Slavonic book in 1574. Latin and Polish printings began to appear in 1581.
By the early seventeenth century, over five hundred craftsmen worked in some thirty guilds, among which producers of metalware, jewelry, and weapons enjoyed respect abroad. Lviv’s artisans and architects joined western and eastern styles. Armenian artisans produced belts, caparisons, weapons, jewelry, and embroidery. Lviv’s Jews and Armenians played important roles in trade between western Europe and the Orient and offered competition to the rest of Lviv’s merchants and artisans.
The first Jews may have arrived from Byzantium, but the greatest immigration came after 1349 from Germany and Bohemia. The newcomers established two Ashkenazic settlements, an older, extramural congregation (in 1550, 559 Jews lived in 52 houses) and a newer, intramural congregation (352 Jews in 29 houses), with separate synagogues, mikva’ot, and charitable institutions, but one common cemetery.
Lviv declined together with the Polish-Lithuanian Commonwealth, beginning in the middle of the seventeenth century. It was under frequent attack: by Bohdan Khmelnytsky’s Cossack armies in 1648 and 1655 and by Turkish and Tatar forces in 1672, 1675, 1691, and 1695. The greatest depredations came at the hands of the Swedes in 1704 during the Great Northern War. Incorporated by the Habsburgs after the first partition of Poland in 1772, Lviv became the administrative capital of the Austrian Kingdom of Galicia and Lodomeria.
See also Orthodoxy, Russian; Poland-Lithuania, Commonwealth of, 1569–1795; Poland to 1569; Polish Literature and Language; Ukraine.
BIBLIOGRAPHY
Aleksandrovych, Volodymyr et al. *Lviv: Istorichnyi narysy*. Lviv, 1996.
Balaban, Majer. *Żydzi lwowscy na przełomie XVI i XVII wieku*. Lviv, 1909.
Czaplicka, John, ed. *Lviv: A City in the Crosscurrents of Culture*. Vol. 24. *Harvard Ukrainian Studies*. Cambridge, Mass., 2000.
DAVID FRICK
LYON. Founded by the Romans as a provincial capital, Lyon maintained its prominence during the medieval period as the seat of a bishopric and an important law court (the *Sénéchaussée*). Its location at the confluence of two important rivers (the Rhône and the Saône) made it a commercial center as well, allowing it to act as a transportation and financial hub between the Renaissance Italian cities to the south and the French and Flemish cities to the north. From the sixteenth century, silk and other textile production combined with banking to propel the city’s economy, and its four annual trade fairs emerged as among the most important in Europe. Merchant dynasties (both French and Italian) came to dominate the city’s governing council, or consulate, and continued to rule the city up to the Revolution.
The Reformation came to Lyon from nearby Geneva in the sixteenth century, and religious conflict temporarily damaged the city’s economic dominance. Largely an elite phenomenon, Protestantism faded during the seventeenth century although economic and family contacts with Geneva continued. Prompted in part by Genevan and Italian models, Lyonnais merchants developed several new forms of poor relief during this period, including a publicly owned general hospital that took in foundlings and orphans, training them for work in the textile trades and supplying dowries to young women. The city’s governing elite also created public institutions to supply food during grain shortages, including an urban administration to purchase grain at city expense, public ovens to bake bread, and an organized rationing system. Lyon thus served as a model in France for poor relief and administrative innovation in times of famine.
While textile production (especially silks) continued to expand through the seventeenth and eighteenth centuries, the four fairs became principally important as financial markets. Their regularity, and the supervision over them by a powerful judicial court (the *Conservation des foires*) made them attractive to merchants from Italy, Switzerland, and France who wished to make, pay, and exchange loans while minimizing the dangerous transfer of coin. During the latter years of the reign of Louis XIV, royal bankers such as Samuel Bernard manipulated these markets, burdening them with the royal debt and nearly bankrupting them. Though the fairs contracted and became less internationally important as a result, they survived and continued to function on a smaller scale for the remainder of the eighteenth century. Unlike other cities, Lyon maintained a remarkable degree of independence from other royal exactions because the merchants of Lyon successfully manipulated royal patronage and the system of venal offices to preserve a degree of autonomy. As France’s “second” city, Lyon enjoyed a tradition of independence and resistance to central authority that continued through the Revolution and into the modern era.
*See also France.*
**BIBLIOGRAPHY**
Davis, Natalie Zemon. *Society and Culture in Early Modern France*. Stanford, 1975.
Gascon, Richard. *Grand commerce et vie urbaine au XVIe siècle: Lyon et ses marchands*. 2 vols. Paris, 1971.
Monahan, W. Gregory. *Year of Sorrows: The Great Famine of 1709 in Lyon*. Columbus, Ohio, 1993.
W. GREGORY MONAHAN
Thomas Gainsborough. Cornard Wood, c. 1746-1747. Although he made his living as a portrait painter, Gainsborough was devoted to the landscape genre. Of this early masterpiece, he wrote: “It is in some respects a little in the schoolboy stile — but I do not reflect on this without a secret gratification; for as an early instance how strong my inclination stood for Landskip.” ©National Gallery Collection; By kind permission of the Trustees of the National Gallery, London
RIGHT: Artemisia Gentileschi, *Saint Catherine*. Taught by her father, Orazio, Gentileschi absorbed the naturalistic tenets of Caravaggism and became renowned for her large-scale paintings on biblical themes. She is widely praised for her sensitive presentation of female protagonists, both in the dramatic biblical paintings and in later, more personal scenes. ©SCALA/ART RESOURCE, N.Y.
BELOW: Gambling. *The Cheat with the Ace of Clubs* by Georges de la Tour, late 1620s. This painting presents a moral lesson on the perils of gambling; the well-dressed young man on the right is being cheated by a trio of cardsharps. THE ART ARCHIVE/MUSÉE DU LOUVRE PARIS/DAGLI ORTI
LEFT: Francisco de Goya y Lucientes. *The Straw Mannikin*, tapestry cartoon, 1792. In this cartoon, one of a series Goya created for the Spanish royal tapestry factory, the artist presents a comment on the power of women in his society. *The Art Archive/Museo del Prado Madrid*
BELOW: Giorgione. *Portrait of a Young Woman (Laura)*, 1506. The subtle eroticism of this work was unprecedented in Renaissance art and is just one of the many innovations that distinguished the career of the renowned Giorgone. ©Erich Lessing/Art Resource, N.Y.
Portrait of a Woman in a Black Dress with a White Lace Collar
This portrait depicts a woman dressed in a black dress adorned with intricate white lace details, including a prominent collar and cuffs. She is seated and holds a gold chain in her hands, which hangs from a pendant. The background is dark, drawing attention to the subject's attire and the delicate lacework. The painting style suggests a focus on realism and attention to detail, characteristic of the Baroque period.
OPPOSITE PAGE: Frans Hals. Portrait of a Woman, c. 1640. Of Hals, the historian Theodorus Schrevelius wrote in 1648, “His paintings are imbued with such force and vitality that he seems to surpass nature herself with his brush. This is seen in all his portraits…which are colored in such a way that they seem to live and breathe.” ©National Gallery Collection; By kind permission of the Trustees of the National Gallery, London /Corbis
TOP: Jean-Baptiste Greuze. Broken Eggs, 1757. In his many skillful genre paintings, Greuze helped popularize the use of that medium as a source of moral instruction. Here, the broken eggs clearly symbolize the loss of purity of the young woman. ©Francis G. Mayer/Corbis
CENTER: Harem. The harem sitting room in Topkapi Palace. ©Craig Lovell/Corbis
BOTTOM: William Hogarth. The Countess’s Morning Levee, scene 4 from Marriage à la mode, 1745. Hogarth’s satirical commentaries on urban life exerted great influence in the development of print culture in the eighteenth century. Here, the newlywed countess entertains a group of fawning hangers-on. ©National Gallery Collection; By kind permission of the Trustees of the National Gallery, London/Corbis
TOP: **Inigo Jones**. A 1760 view of Covent Garden Market painted by an unknown artist shows Jones’s St. Paul’s Church, center, before the 1795 fire and restoration. *The Art Archive/London Museum/Sally Chappel*
CENTER: **Angelica Kauffmann**. *The Sellers of Love (Cupids)*. Kauffmann was one of the first artists to paint in a neoclassical style and one of few women to gain fame from historical paintings. ©Giraudon/Art Resource, N.Y.
BOTTOM: **Charles Le Brun**. *Louis XIV, 1638–1715, King of France, Armed on Land and Sea*, 1671, sketch for the ceiling of the Hall of Mirrors at the Château of Versailles. *The Art Archive/Musée d’Art et d’Histoire Auxerre/Dagli Orti*
OPPOSITE PAGE: **Leonardo da Vinci**. *Ginevra de Benci*, c. 1474. In this relatively early portrait, the artist’s skill is most evident in the detail of the curls that surround the subject’s face. *The Art Archive/National Gallery of Art Washington/Album/Joseph Martin*
Leonardo da Vinci, *Portrait of Ginevra Benci*, c. 1474-80, oil on panel, 39 x 29 cm, National Gallery, London.
Louis XIV. *Louis XIV, King of France, with His Family in Olympia*, by Jean Nocret. Louis’s reign represented the zenith of French monarchical power; in this painting by one of his official court painters, he and his extended family are depicted as classical deities. The Art Archive/Musée du Château de Versailles/Dagli Orti | 77f2eb66-3616-4069-b4a7-9737ec6576c6 | CC-MAIN-2019-47 | https://cdn.preterhuman.net/texts/history/europe/Gale%20-%20Europe%201450%20to%201789%20Volume%203.pdf | 2019-11-14T11:35:52 | crawl-data/CC-MAIN-2019-47/segments/1573496668416.11/warc/CC-MAIN-20191114104329-20191114132329-00453.warc.gz | 348,213,198 | 499,594 | eng_Latn | eng_Latn | 0.966743 | eng_Latn | 0.909824 | [
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The Issue
The Great Barrier Reef World Heritage Area (GBRWHA) stretches along approximately 2000km of the Queensland coastline, extending from inshore mangrove forests and beaches to offshore reefs and islands. The Great Barrier Reef (GBR) is renowned for its coral reef habitat, but is composed of a mosaic of interconnected ecosystems including both seagrass meadows and mangrove forests that are vital for the overall health of the Reef\(^1\). Degraded water quality from local catchment runoff, in addition to broadscale climate impacts including heat-waves and cyclones, threaten the health of the mosaic of GBR ecosystems.\(^1\)
In 2019 the Great Barrier Reef Marine Park Authority launched the Reef 2050 Integrated Monitoring and Reporting Program (RIMReP) recognising the logistical challenges of monitoring and managing such a large and diverse ecosystem as the GBR (348,000 km\(^2\)). It highlighted the need to expand spatial monitoring across the GBR’s multiple habitats to provide managers with information that spanned the various ecosystems throughout the different regions (Figure 2).
Previous monitoring on the GBR focused on tracking temporal change at sentinel sites (approx. 1 site every 7,000 km\(^2\)). While this provides high resolution of temporal impacts at specific sites, many reefs and seagrass meadows
How the Program Addresses Resilience Based Management?
Figure 1: The citizen science monitoring program contributes to the community and governance components of resilience based management.
The data collected by the project provides the spatially diverse information required by managers to effectively implement adaptive management frameworks on the Great Barrier Reef. The rapid assessment method provides a spatial representation of coral and seagrass habitats that complements the intensive temporal monitoring of sentinel sites linking spatial and temporal responses. Utilising citizen scientists and students to collect this valuable data also supports ecosystem resilience through education and engagement. By working with schools, the project was able to engage with a broad cross section of the community, as students from households with different backgrounds, occupations, and opinions about how to care for the GBR participated. First Nations peoples were also involved in the monitoring, fostering relationships, and developing skills to facilitate collaborative management. By providing a pathway for ‘young adults’ to become personally acquainted with the GBR and the challenges it faces, the project helps build community embracement of the behavioural and management changes that will be required to protect the GBR into the future.
have little or no data on their condition or the species present. The limited spatial coverage of information on coral and seagrass condition, and relative impact of different stressors on these ecosystems, makes resilience-based management of these critical habitats across the GBRWHA challenging.
Citizen-science provides a means for the collection of large quantities of data across a wide geographic area. It also fosters conservation efforts through relationship building and hands-on engagement. The wellbeing of local communities and the GBR is inextricably linked. By involving communities in monitoring the health of the GBR’s varied ecosystems, understanding and support for future management actions can be fostered and local and traditional knowledge held by the community can be integrated into the management of the Reef system.
**Actions Taken**
In 2019 a citizen science project was established to undertake rapid assessments of coral and seagrass communities throughout the Great Barrier Reef. This project had two objectives:
1) fill the knowledge gap identified by RIMReP, by establishing a cost-effective monitoring project capable of collecting information on the condition of seagrass and coral across many reefs and habitats within the GBRWHA.
2) build a stronger connection between the communities that live in GBRWHA catchments and their adjacent reef ecosystems.
The Science Under Sail Australia (SUSA) citizen science project was designed to complement the existing Marine Monitoring Program that focuses on water quality, coral, and seagrass condition of inshore reefs (managed by the Great Barrier Reef Marine Park Authority). The MMP provides long term temporal sampling at 37 coral reefs and 47 seagrass meadows within the GBRWHA, focusing on near shore reefs and intertidal seagrass meadows. SUSA’s project provided an opportunity to access and survey many additional locations (approx. 800 p.a.) using standard rapid assessment methods to classify habitats. These methods are designed to be easily learned by citizen scientists and undertaken from a small or large research vessel. The flexibility provided by a live aboard vessel has enabled more subtidal sites.
Figure 3. The project engaged students, First Nations people and citizen scientists in monitoring the health of seagrass and coral habitats throughout the Great Barrier Reef World Heritage Area.
Benthic Habitats of the GBR
- Seagrass/Coral
- Seagrass
- Coral
- Absence
NPSR, Esri, HERE, Garmin, USGS, NGA, Earthstar Geographics.
GDA 2020 Australian Albers
13th April 2024
Rebecca Penna
Figure 4. Map of survey sites and the habitat types observed. Zoom in examples to display spatial resolution in specific locations, with example photos of the habitat types observed.
to be surveyed and expanded the spatial extent of monitoring further from urban centres. Monitoring trips ranged in length from single-day school excursions to multi-day live aboard surveys. During the single-day school excursions all students participated in data collection and assessment of benthic habitats, experiencing the change in habitats at different locations and learning about the various pressures on GBR ecosystems. The multi-day trips allowed participants to become competent and confident research assistants, performing benthic surveys as well as data entry and management tasks. The varied length of field trips enabled surveys to be conducted across many areas of the GBR that had previously not been surveyed or had limited historical data.
This project also provided opportunities for First Nations people to connect with Sea Country through an indigenous boarding school excursion, community engagement days, and a survey methodology training day with Gidarjil rangers that equipped participants with the skills to carry on further monitoring when opportunities arise.
**How Successful Has it Been?**
The project demonstrated that a coordinated citizen science project working collaboratively with schools and First Nations peoples along the Queensland coast could fill the seagrass distribution knowledge gap identified in 2019 by the Seagrass Monitoring Expert Panel.\(^2\) During the project, over 100 days of fieldwork were conducted (averaging 25 days p.a.), collecting habitat survey data from approx. 35 sites /day. The project has provided managers with seagrass abundance, coral health, and other habitat information from a spatially diverse range of sites between Cairns and the southern boundary of the GBRWHA (Figure 4). 453 participants engaged directly with the project, including senior high school and university students, First Nations people, teachers, and other community members. Through engaging local schools in experiential learning, the project was able to inspire local understanding and promote actions beneficial to their adjacent sections of the GBR. Participants often shared their experience and passion gained for the GBR during the SUSA program through social media, school newsletters/assemblies or other community networks (e.g. community environmental groups, church groups). This has helped to grow local capacity, as these participants become the next generation of community leaders, GBR managers, and advocates for the GBR.
The project trialled the use of video content, video conferencing and social media to engage a much wider audience than could participate in the field-work. Throughout this project SUSA:
1) Developed a virtual GBR excursion for high school students unable to visit the GBR.
2) Ran professional development days for teachers and developed course plans to help teachers incorporate this real-world data into the curriculum.
3) Had students video conference with their peers to explain what they were learning during the field trip.
4) Used social media posts to engage with a larger audience, reaching over 73,000 people with social media content in a single year (photos & videos).
*Figure 5. The project provided hands on and virtual learning experiences*
Lessons Learnt
Getting students out of the classroom and providing hands on learning opportunities has evoked student passion for the GBR and inspired participants to be part of the solution to protect it. The combination of a supervised citizen science activity working in collaboration with established educational organisations (Education Queensland or private schools) enriches students’ learning experiences by fulfilling and building upon educational syllabi and providing a cost-effective way for managers to obtain new data on the condition of the GBR’s critical habitats.
Parents and teachers of participants have regularly commented that involvement in a SUSA live aboard experience has led to students becoming more interested in environmental issues in their community and becoming more engaged in learning opportunities at school.
Successful delivery of this project was dependant on having teachers within schools that were passionate about providing students with a real-world experience of the GBR. This opportunity enabled students to link their classroom learnings with an understanding of how their own actions influence the long-term health of the GBR.
Lead Organisations
Science Under Sail Australia
Acknowledgments
The SUSA Citizen Science Project is funded by the partnership between the Australian Government’s Reef Trust and the Great Barrier Reef Foundation.
References
1 Waycott M, Collier C, McMahon K, Ralph P, McKenzie LJ, Udy J, Grech A (2007) Vulnerability of seagrasses in the Great Barrier Reef to climate change. In *Climate Change and the Great Barrier Reef: a vulnerability assessment*. Great Barrier Reef Marine Park Authority
2 Udy J, Waycott M, Carter A, Collier C, Kilminster K, Rasheed M, McKenzie L, McMahon K, Maxwell P, Lawrence E, Honchin C (2019) Monitoring seagrass within the Reef 2050 Integrated Monitoring and Reporting Program: Final Report of the Seagrass Expert Group, Great Barrier Reef Marine Park Authority, Townsville. | 1db2aa50-c0a1-4727-9eb5-c0247eaf5527 | CC-MAIN-2024-42 | https://icriforum.org/wp-content/uploads/2024/08/01-Citizen-science-monitoring_case-study_FINAL.pdf | 2024-10-16T01:11:32+00:00 | crawl-data/CC-MAIN-2024-42/segments/1727944592142.94/warc/CC-MAIN-20241015235640-20241016025640-00838.warc.gz | 271,870,554 | 2,029 | eng_Latn | eng_Latn | 0.982916 | eng_Latn | 0.994082 | [
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WHAT ARE SIMPLE MACHINES?
Facts for Students
Machines are all around us. A machine is something that makes it easier for us to do work such as moving heavy objects.
There are generally two types of machines: simple and compound. Simple machines are ones which have only one part to do the work (e.g. the lever in Diagram 1) and compound machines are those that have two or more simple machines working together to do the work (e.g. the wheel barrow in Diagram 2).
Simple machines help us by giving us a ‘mechanical advantage’. This means that we can do things with less effort if we use a simple machine. Imagine that you need to move a large, heavy load (e.g. a rock). You could try and do this alone, but that would take a lot of strength and effort. However, if we use a simple machine we gain a mechanical advantage. In Diagram 1 you can see how a crowbar acts as a lever to help us move the large load (the rock).
Keep reading to find out about a number of different simple machines.
Inclined planes
An inclined plane is a flat surface that is at an angle to the load. This type of 'machine' has no parts that move.
An example of an inclined plane is a ramp. In Diagram 3, the ramp makes it easier for the person in the wheelchair (the load) to move up into a building. The steeper the slope of the inclined plane, the more effort it takes to move the load up the slope. Along with ramps, stairs are also an example of an inclined place.
WHAT ARE SIMPLE MACHINES?
You would agree that it is much easier to walk up a ramp or a staircase than a ladder. The inclined plane gives us a mechanical advantage.
Some other examples of inclined planes include:
- roads leading up slopes
- ramps in car parks
- slides in playgrounds.
Levers
A lever is a rigid bar that rotates around a fixed point. This balancing point is called the fulcrum. A lever uses a force (or effort) to make a load move.
There are different types of levers, depending on where the load, the effort, and the fulcrum (balancing point) are positioned. For this reason, levers are classified into 3 separate groups: Class 1, Class 2, and Class 3.
Class 1 lever: This is where the fulcrum is between the load and the effort.
An example of a class 1 lever is using a screwdriver to open a can of paint (Diagram 4). Here the screwdriver is the lever and pushing down on it raises the load (the paint can lid). Imagine how much harder it would be if you had to lift the lid with just your fingers.
Other examples of Class 1 levers include:
- bottle openers – to open a bottle of drink
- claw hammers – to pull out nails.
Class 2 lever: This is where the fulcrum is at one end of the lever, the effort is at the other end, and the load is in between.
An example of a class 2 lever is a wheelbarrow (see Diagram 5). In this case the wheelbarrow and its handles are the lever, the load is the weight in the wheelbarrow, the fulcrum is the axle and the effort is the force applied by the person lifting the handles.
Other examples of Class 2 levers include:
- staplers
- nutcrackers that have the hinge at the end of the machine.
Class 3 lever: This is where the fulcrum is at one end of the lever, the load is at the other end, and the effort is in between. These levers involve using a large effort to move a small load a long distance.
An example of a class 3 lever is a person playing golf (see Diagram 6). In this case the lever is the golf club plus the person’s arms, the fulcrum is the golfer’s shoulder, the effort is the force being applied to the golf club by the golfer’s hands and the load is the weight of the golf ball.
Other examples of Class 3 levers include:
- using a cricket bat, tennis racquet or a hockey stick to hit a ball
- using a fishing rod to cast a fishing line.
Levers in balance
A see-saw is actually a lever with a fulcrum (balancing point) in the middle (see Diagram 7). Think about a see-saw with two people sitting at different distances from the fulcrum. If one person is twice as heavy as the other, the lighter person must sit further away from the fulcrum than the heavier person for the see-saw to be balanced. Once balanced, it requires very little force for each person to push the see-saw up and down with their legs.
Wheels and axles
A wheel and axle is a simple machine that is made up of a smaller cylinder (the axle) joined to a larger cylinder (the wheel). Often a wheel and axle is used to make it much easier to move a load. An example of this is a trolley, or any other wheeled vehicle (see Diagram 8). You will agree that it is much easier to move a heavy load across the ground with a wheeled vehicle.
Pulleys
A pulley consists of a rope (or a belt or chain) that passes around a wheel.
Fixed pulleys
An example of a fixed pulley would be the ones we see at the top of flagpoles (see Diagram 9). The pulley at the top allows the person standing on the ground to hoist the flag by pulling on the rope. This is much easier than having to climb the flagpole!
Other examples of fixed pulleys include:
- the pulley at the top of a yacht mast which allows the sail to be raised up the mast by pulling down on the rope
- the pulley at the end of the boom of a crane which works by pulling upwards to lift the load.
**Moving pulleys**
Diagram 10 shows one moving pulley attached to the engine (the load), and one fixed pulley attached to the support above. This type of pulley system is called a 'block and tackle', where 'block' refers to the pulleys and 'tackle' is the chain that the person is pulling to lift the engine.
**Wedges**
A wedge is a simple machine that looks like two inclined planes joined together.
A good example of a wedge is an axe, where the head of the axe is made up of two inclined planes which do the work. Think about an axe being used to chop and split a piece of firewood (see Diagram 11). The axe is actually being used to change the direction of the force. The force of the axe blow is downwards, but the wedge changes this downward force into two sideways forces, causing the wood to split apart.
Other examples of wedges include:
- a knife blade
- a chisel
- the point at the end of a nail
- a doorstop that is wedged under a door to prevent it from moving.
Screws
A screw is an inclined plane that is coiled around a shaft (see Diagram 12). They usually have one flat end and one pointed end.
Examples of screws include:
- wood screws
- the screw in a car jack
- the screw on the lid of a jar
- the blades of a fan
- the blades of an aeroplane propeller.
Gears
Gears are toothed wheels that fit together so that when one gear turns it also turns the other gear. Sometimes the gears fit directly together, but other times they work together through a chain or a belt (see Diagram 13).
Some examples of the use of gears include:
- mechanical clocks
- car gearbox and drive systems
- electric drills. | <urn:uuid:b571c35a-dd8c-4d73-b243-64f72a6a1f5f> | CC-MAIN-2019-22 | https://www.forteachersforstudents.com.au/site/wp-content/uploads/KidsMedia/SimpleMachines/pdfs/simplemachines-facts.pdf | 2019-05-23T13:40:38Z | crawl-data/CC-MAIN-2019-22/segments/1558232257244.16/warc/CC-MAIN-20190523123835-20190523145835-00110.warc.gz | 801,921,822 | 1,637 | eng_Latn | eng_Latn | 0.998902 | eng_Latn | 0.999336 | [
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Normal Distributions
OBJECTIVES:
- Summarize, represent, and interpret data on a single count or measurement variable
- Use the mean and standard deviation of a data set to fit it to a normal distribution and to estimate population percentages.
- Recognize that there are data sets for which such a procedure is not appropriate.
- Estimate areas under the normal curve.
Collect Data. How many people have you kissed? Please write your true number without a name on the post-it note given to you.
VOCABULARY:
Histogram separates the data into intervals of equal width called “Bins” and then counts how many observations fell within each interval.
How is the data for our class kisses distributed?? skewed right
Density Curves
Things to know about density curves:
1) always on or above x-axis
2) area under curve is always = 1. b/c 100% of observations
3) since the curve is an approx. are within the curve. of the overall pattern → outliers are not seen.
Standard Deviation ($s_x$):
*** Standard deviation is the typical distance of the values in the data set from the mean
Write this out twice!!
The Idea of a Standard deviation (Represents spread of data)
Draw dot plot and then the dot plot re-drawn with distance from the mean averaged out.
The solid taller curve has a standard deviation of 7, the dashed shorter curve has a standard deviation of 12.
They both have the same mean and an area of 1 under the curve
**SD by hand**
\[ S_x = \sqrt{\frac{(x_1 - \bar{x})^2 + (x_2 - \bar{x})^2 + \cdots + (x_n - \bar{x})^2}{n - 1}} \]
\( x_1 = \) first data value
\( \bar{x} = \) mean of the data set
\( n = \) number of values in the data set
**STEPS**
1. Subtract mean from each pt.
2. Square each difference \( \leftarrow \text{gives us positives} \)
3. Sum up all squared differences
4. Divide by \( n-1 \)
5. Take the square root
**STATS**
-> Edit
> L\(_1\) enter in Data
-> Calc
-> 1-Var Statistics
-> L\(_1\) (2nd 1)
-> enter
**Find the standard deviation of the heights of five starters on a basketball team: 67, 72, 76, 76, 84.**
\[ \bar{x} = 75 \]
\[ S_x = \sqrt{\frac{(67-75)^2 + (72-75)^2 + (76-75)^2 + (76-75)^2 + (84-75)^2}{5-1}} \]
\[ = \sqrt{\frac{64+9+1+1+81}{4}} = \sqrt{\frac{150}{4}} = 6.245 \]
**Find the standard deviation of the heights of five starters on a basketball team: 67, 72, 76, 76, 84.**
\[ S_x = 6.245 \]
**A Specific type of distribution - NORMAL DISTRIBUTIONS.**
Discovered by multiple mathematicians, but Gauss is generally noted to have made the discovery around 1809.
He noticed that many natural phenomenon follow at least an approximately normal distribution and derived the formulas, properties and behaviors of them.
**EX.** Hair length, height, error in measurements, blood pressure and many more.
- **A Normal Distribution** is a probability distribution that has ALL of the following specific characteristics:
- The distribution is “bell” shaped
- It has one peak (called unimodal)
- It is symmetric with the left half being a mirror image of the right half
- **FOLLOWS THE 68-95-99.7 RULE (EMPIRICAL RULE)**
- If you go \( \pm \) one standard deviation above and below the mean it will contain 68% of the data
- If you go \( \pm \) two standard deviations above and below the mean it will contain 95% of the data
- If you go \( \pm \) three standard deviations above and below the mean it contains 99.7% of the data
\[ N(\text{mean}, \text{Standard deviation}) \]
Example: Here is a Normal curve for the distribution of batting averages. The mean and the points one, two, and three standard deviations from the mean are labeled.
**Normal or Not with Projector**
**Fitting a normal distribution**
Example: Tiger on the Range
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Birding on DoD Lands: Eglin Air Force Base, Florida
by Lori Blanc and Chris Eberly
The southeastern United States was once dominated by vast expanses of longleaf pine savanna, a fire-adapted ecosystem thought to have encompassed as many as 92 million acres from southeastern Virginia to eastern Texas. Conversion of longleaf pine forest for agriculture, timber plantations, and urban development have left only about three percent of this extensive ecosystem; fire suppression has degraded most of this remainder. Longleaf pine ecosystems are among the most species-rich plant communities in the temperate world. But due to loss and alteration of this habitat, approximately 190 taxa of vascular plants and 56 animal species have become increasingly rare, threatened, or endangered.
Some of the best remaining longleaf pine forests and associated avian and plant diversity can be found in the Florida panhandle. Located in Okaloosa, Santa Rosa and Walton Counties, **Eglin Air Force Base** (AFB) is the largest forested military reservation in North America and one of the largest conservation areas in Florida. As little as 0.5 percent of old-growth (150-300 years old or more) longleaf pine forest remains globally, and Eglin’s sandhills contain more than ninety percent of it. The Nature Conservancy has recognized Eglin as an area of global significance for biodiversity; Eglin has also been named an Important Bird Area by both the American Bird Conservancy and Audubon of Florida.
The Florida panhandle ranks among the top areas in the U.S. for number of limited-range species, and Eglin itself contains one of the highest concentrations of rare species in the region: 93 rare or listed plants and animals of conservation concern, 63 of which are considered globally rare. It should come as no surprise, then, that Eglin also ranks among the most significant areas for bird conservation in the Southeast. Although not a major neotropical migrant stopover site, Eglin boasts a checklist of 335 native species of birds, second in Florida only to the Everglades. It has 121 confirmed breeding species and 14 federally or state-listed ones, including the endangered Red-cockaded Woodpecker (Eglin features 309 active breeding clusters and more than 6,000 cavity trees used by this species). On the recently released U.S. Fish and Wildlife Service list, “Birds of Conservation Concern 2002”, 34 of the 45 species of concern in the Southeastern Coastal Plain occur at Eglin.
**History**
At the beginning of the twentieth century, approximately one-third of what is now Eglin AFB was privately owned. By 1908, much of this land had been acquired by the U.S. Forest Service as Choctawhatchee National Forest, to be used for the production of naval stores, turpentine, and timber. Eglin Field was established in the 1930s as an armaments testing facility for the Army Air Corps. In 1940, Choctawhatchee National Forest was transferred to the military for use as an Air Force base. Today, the Air Arma-
(continued on next page)
Eglin’s Integrated Natural Resources Management Plan contains four principle goals: (1) Support and enhance military mission flexibility and success through sound stewardship practices; (2) In a manner consistent with the military mission, conserve native biodiversity by restoring and maintaining Eglin’s ecosystems with particular emphasis on prescribed fire and water quality; (3) Provide a variety of uses, values, products, and services to present and future generations while maintaining sustainable ecosystems; and (4) Engage in collaborative stewardship with a greater diversity of people both on and off Eglin Air Force Base. The last goal has led to partnerships with 12 universities, 11 local fire departments, and at least 35 other partners, including state and federal agencies and non-governmental organizations.
The Gulf Coastal Plain Ecosystem Partnership (GCPEP) is Eglin’s most important conservation partnership. Its members operate under a 1996 memorandum of understanding affecting more than 850,000 acres in northwestern Florida and southern Alabama. Known for its longleaf pine forests, the Partnership area is also one of the most critical freshwater sites in the United States, encompassing outstanding examples of wetland, riverine, and estuarine systems. The successful initial GCPEP project developed cooperative conservation strategies to protect upland longleaf pine ecosystems, increasing use of prescribed fire to stabilize populations of Red-cockaded Woodpecker and advance restoration of thousands of acres of longleaf pine habitat.
The Nature Conservancy (TNC) has been one of Eglin’s most important conservation partners since 1990, assisting with collection of biological data, management of planning workshops, and oversight of biological research including the Longleaf Pine Restoration Project. TNC also played a leading role in forming the Gulf Coastal Plains Ecosystem Partnership. Eglin AFB maintains an active association with Choctawhatchee Audubon Society, which assists with survey and monitoring projects, including the annual Christmas Bird Count and single-species surveys for Snowy and...
Piping Plover, Wild Turkey, and others. Don Ware, Bird Count Coordinator for Choctawhatchee Audubon, can be reached at 850/862-6582 when his travel schedule permits for information on birding the Eglin area, and on Audubon count activities. The Audubon chapter also leads field trips in and around Eglin. Eglin’s Bald Eagle and Burrowing Owl monitoring programs are staffed, free of charge, primarily by Choctawhatchee Audubon Society. Another volunteer maintains a 32-box bluebird trail on Hurlburt Field (not open to the public), which fledged 97 bluebirds in 2003.
**Birding Eglin**
Outdoor recreation at Eglin, including birding, requires a recreational permit from Jackson Guard. Permits, which cost $5, are valid from 1 October–30 September and require that you watch a brief educational/safety video. You will be provided with a detailed Outdoors Recreation Map showing the road system, providing current regulations, and delineating areas that are open and closed to the public. Eglin reservation is closed from two hours after sunset until two hours before sunrise. Vehicles may be operated in open areas only on numbered or established roads. **Please respect locked gates and closed areas.**
Jackson Guard is located at 107 Route 85 North, just north of John Sims Parkway in Niceville, and is open Monday through Thursday from 7 a.m. to 4:30 p.m., Friday from 7 a.m. to 6 p.m., and Saturday from 7:30 a.m. to 12:30 p.m. It is closed on Sundays and Federal holidays. More information may be obtained by calling Jackson Guard at (850) 882-4164. A bird checklist for the base is on the web at <www.basinnalliance.org/bird-checklist.htm>. We present birding opportunities more in terms of habitats than of specific locations. Because of the large acreage available for birding, the quality of habitat types throughout the site, and the extensive road network, chances of viewing a specific species are roughly equal in any appropriate habitat.
**Upland forests**
About three-quarters of Eglin exemplifies the Sandhills Ecological Association, characterized by scattered to dense longleaf pine, an open to light midstory of mostly turkey oak, and a groundcover of various fire-adapted forbs and grasses. Much of the sandhills habitat, historically timbered, has been modified by turpentine production and fire suppression. Restoration activities have been conducted at Eglin since the 1980s, including management with prescribed burning. On average, 40,000 acres are burned annually, largely during the growing season.
At Eglin, dead trees are not salvaged as part of the forest management practice. Snags are abundant in some parts of the base; as a result, cavity-nesting birds, many of them of interest to birders or conservationists, represent a major component of the woodland bird community at Eglin. Thirteen resident cavity-nesting species include seven woodpeckers (Downy, Hairy, Pileated, Red-bellied, Red-cockaded, and Red-headed Woodpeckers, and Northern Flicker). The Southeastern American Kestrel (*Falco sparverius paulus*) has declined by 82 percent since the early 1940s and is listed as threatened in the state of Florida, but occurs at Eglin in very high densities. Red-headed Woodpecker, a Partners in Flight priority species, is a common resident breeder at Eglin. In the past two years, an ongoing study of cavity-nesting birds at Eglin documented 91 kestrel nests and 160 Red-headed Woodpecker nests, each reflecting only a small sample of what likely exists on the Eglin reservation. Bachman’s Sparrow and Brown-headed Nuthatch, declining longleaf pine specialties, are also easily found among the sandhills of Eglin, beneficiaries of the base’s ecosystem management program. Other species likely among the sandhills include Mississippi Kite, Common Ground-Dove, Yellow-billed Cuckoo, Chuck-will’s-widow, Loggerhead Shrike, White-eyed Vireo, Blue-gray Gnatcatcher, Brown Thrasher, Pine Warbler, Yellow-breasted Chat, Summer Tanager, and Indigo Bunting.
The Patterson Natural Area, one of thirteen “Special Natural Areas” at Eglin AFB, contains the largest remaining contiguous stands of old-growth longleaf pine forests—approximately 4,500 acres of old-growth longleaf pine averaging 130 years old. Only the southeastern portion of the Patterson Natural Area is open to the public, and access may occasionally be denied due to mission conflicts. These accessible 190 acres are located east of Range Road 678 and west of Range Road 253. If you are unable to gain access to the Patterson Natural Area, many other options are available. Because the majority of Eglin consists of sandhills habitat, one can easily see most of the sandhill bird species in almost any of the open areas on base. The best qualWetlands and Coastal habitats
Nearly 62,000 acres of wetlands and riparian forests include Atlantic White Cedar swamp, floodplain wetlands, depression wetlands, and seepage slopes. Riparian forests along Eglin’s 1,158 miles of streams combine with surrounding upland forests to attract 35 species of warblers (including breeding Swainson’s, Kentucky, Prothonotary, Hooded, and Yellow-throated), six vireos, and Swallow-tailed and Mississippi Kites. Starting from Highway 98 just west of Hurlburt Field, good birding can be found heading north on Range Road 253 to the Patterson Natural Area and on to Range Road 234. In the area where the road crosses Turtle Creek, Mississippi Kites are often seen during spring migration, and Barred Owl is resident. Another good riparian area is along Yellow River, between areas 13 and 14 in the northwestern part of the base. Swallow-tailed Kites probably nest in this stretch of floodplain forest. Vantage points where roads cross the larger forested streams merit special attention from birders.
Eglin’s seventeen miles of barrier island beach and dune habitat on Santa Rosa and Okaloosa Islands provide nesting habitat for Snowy Plovers, Least Terns, and sea turtles (and roosting habitat for the occasional nudist encroaching from the western end of the beach). A good birding spot is at the eastern end of Okaloosa Island, where Route 98 crosses the channel into Destin. The ponds and surrounding grasses by west Destin jetty can yield Clapper Rail and wintering Nelson’s Sharp-tailed Sparrow. Look for Least Tern, Snowy Plover, and Black Skimmer in summer. In winter, scan the Gulf of Mexico for sea ducks and Northern Gannet.
Spray fields
Some of the best birding at Eglin can be found at a municipal landfill, holding ponds, and wastewater-treatment spray fields in an area leased to Okaloosa County. During one four-month fall migration season, 194 species were recorded here. Spring migration can be equally productive.
Although these sites do not require an Eglin permit for entrance, a permit facilitates moving among the areas. To reach the Fort Walton Beach spray field, head north on Route 189 (Beal Parkway) from Route 98 in Fort Walton Beach, then take the Beal Street Extension (the first left north of Green Acres Road) to its end. The spray fields are on the right. Check in at the office and ask permission to drive the perimeter road; a log book lists rare bird sightings. Black-necked Stilts breed in the area, shorebirds frequent the site during migration, and wintering sparrows like Grasshopper, Le Conte’s, Nelson’s Sharp-tailed, White-crowned, and Lark can be found in the weedy fields. Mississippi Kites, which nest nearby, are regular in spring and summer.
Just northwest of the spray fields is an old landfill. The pond here hosts nesting Common Moorhens and Pied-billed Grebes. King Rails may winter here and nest in the swamps to the west. Also check the mulch area, where retained water can attract birds. Henslow’s and Le Conte’s Sparrows may be found here in winter, and Black Rail has been recorded. To reach the Okaloosa County holding ponds, return to Route 189, turn left, and turn left again after 0.8 mile onto Roberts Boulevard. The holding ponds, about 0.5 mile ahead, attract migrant shorebirds such as Baird’s, White-rumped, Stilt, and Pectoral Sandpipers, and both dowitchers. Sharp-tailed Sandpiper and Ruff have been recorded here, along with at least sixteen species of waterfowl.
Return to Route 189 and proceed east. In about two miles, turn left onto Range Road 234 (Timberlake Road—have your Eglin permit with you). The Okaloosa spray fields are about one mile ahead on the left. You must stay on the road, but scan these ponds even though drought has made them almost nonexistent during the past few years. Continue to Range Road 250 and turn left. You can park at the dead end, in about 0.5 mile, and continue south on foot on the “Vagrant Trail” (which eventually runs into the landfill and county spray fields). The Vagrant Trail is a good place for, well, vagrants, especially in fall and winter. Ash-throated Flycatcher is a regular in winter, Harris’s Sparrow has been observed here, and Vermilion Flycatcher has been found here each of the last four winters.
The authors thank Carl Petrick and Bruce Hagedorn for their years of excellent land stewardship at Eglin. The following people graciously provided input and comments in preparation and review of this article: Bill Davis, Lenny Fenimore, Melissa Grigione, Justin Johnson, Lt. James Madeiros, and Don Ware.
Lori Blanc is a Ph.D. student in Avian Ecology at Virginia Tech University. Her research on cavity-nesting birds is conducted at Eglin Air Force Base. Chris Eberly is Program Manager for the DoD Partners in Flight program and series editor for “Birding on DoD Lands”. | d1a63820-b8f0-4c1d-9137-71f7e87f0446 | CC-MAIN-2022-27 | https://www.denix.osd.mil/dodpif/installations-bird-checklists-articles-and-information/southeast/birding-on-eglin/WingingIt_Eglin_Oct2003.pdf | 2022-07-03T17:41:11+00:00 | crawl-data/CC-MAIN-2022-27/segments/1656104248623.69/warc/CC-MAIN-20220703164826-20220703194826-00039.warc.gz | 788,688,418 | 3,246 | eng_Latn | eng_Latn | 0.994645 | eng_Latn | 0.996184 | [
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Harry’s Hard Choices: Mine Refuge Chamber Training
Trainee’s Problem Booklet
Information Circular 9511
Harry’s Hard Choices:
Mine Refuge Chamber Training
Trainee’s Problem Booklet
By Charles Vaught, Ph.D., Erica E. Hall, and Katherine A. Klein, Ph.D.
DEPARTMENT OF HEALTH AND HUMAN SERVICES
Centers for Disease Control and Prevention
National Institute for Occupational Safety and Health
Pittsburgh Research Laboratory
Pittsburgh, PA
March 2009
Disclaimer
Mention of any company or product does not constitute endorsement by the National Institute for Occupational Safety and Health (NIOSH). In addition, citations to Web sites external to NIOSH do not constitute NIOSH endorsement of the sponsoring organizations or their programs or products. Furthermore, NIOSH is not responsible for the content of these Web sites. All web addresses referenced in this document were accessible as of the publication date.
Ordering Information
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Telephone: 1–800–CDC–INFO (1–800–232–4636)
TTY: 1–888–232–6348
e-mail: firstname.lastname@example.org
or visit the NIOSH Web site at www.cdc.gov/niosh.
For a monthly update on news at NIOSH, subscribe to NIOSH eNews by visiting www.cdc.gov/niosh/eNews.
DHHS (NIOSH) Publication No. 2009–122
March 2009
SAFER • HEALTHIER • PEOPLE™
ACKNOWLEDGMENTS
The authors thank the following individuals for their contributions to the development of this simulation: Launa G. Mallett, Ph.D., Lead Research Scientist; Jacqueline H. Jansky, CPG, Research Scientist; and Kathleen M. Kowalski-Trakofler, Ph.D., Lead Research Scientist. All are with the National Institute for Occupational Safety and Health’s Pittsburgh Research Laboratory.
ACRONYMS AND ABBREVIATIONS USED IN THIS REPORT
| Acronym | Description |
|---------|------------------------------|
| CO | carbon monoxide |
| CO2 | carbon dioxide |
| NIOSH | National Institute for Occupational Safety and Health |
| SCSR | self-contained self-rescuer |
UNIT OF MEASURE ABBREVIATIONS USED IN THIS REPORT
- ft = foot
- ppm = part per million
HARRY’S HARD CHOICES:
MINE REFUGE CHAMBER TRAINING
TRAINEE’S PROBLEM BOOKLET
This is a story about Harry Hamilton, a section foreman on a longwall setup section, who must decide what to do when he learns there is a fire in his mine. As time goes along, Harry must face a series of choices about how best to increase his and his crew’s chances for survival. The story is taken in part from real-life incidents.
Instructions
Get together with two or three of your coworkers. Then read the story and address the statements that appear in the story. After you have decided whether or not you agree with each statement, discuss them with the people working with you. Then continue reading the story and address and discuss the statements.
It is important to note that Harry may not always take the actions that you would take. You should nevertheless continue the story to the end. The answer key gives the reasons why a particular choice is considered a good one or not.
When you finish the story, look at the copy of the answer key. Compare your answers to the answer key, but don’t change your answers. Discuss the story and answers with the class and your instructor. Give the booklet with your answers to the instructor. Your answers will provide feedback to be used to improve the teaching points and the clarity of future presentations.
Thanks, and enjoy working through the problem.
Harry Hamilton is the section foreman on a longwall setup section. He is 37 years old and is in good physical condition. He has been a community volunteer fireman for more than 15 years. Before taking a management position, he was a fire boss for 5 years. He knows the mine well. There are eight persons, besides Harry, working on this section. Five of them are under age 40, and three are over 50.
Here are some characteristics of the mine:
**REFUGE ALTERNATIVES:**
- **REFUGE CHAMBER:** Inflatable chamber that can hold 16 people, provides them with 96 hours of oxygen, and uses a scrubber system to maintain CO\textsubscript{2} levels below 5,000 ppm. The chamber has just been moved; it is located three crosscuts from the face.
- **IN-PLACE SHELTERS:** These can hold 16 people, provide them with 96 hours of oxygen, and use lithium hydroxide curtains to maintain CO\textsubscript{2} levels below 5,000 ppm. They are located at every other SCSR cache (every 8,800 ft).
During training, the miners have been told that refuge alternatives are to be used only as a last resort—when escape is **absolutely** not possible.
**MINE LAYOUT:**
- The coal seam is 54 inches, but top has been taken in the track entry to allow movement of supplies and equipment.
- This is a longwall development section that has been driven 10,000 ft from the mains.
- The 60-inch belt is located in #1 entry. Belt air moves inby from the dumping point at the mouth of the section to the tailpiece.
- Crosscuts are on 100-ft centers.
- The primary escapeway is the #3 entry, the main intake. The alternate escapeway is the #2 track entry.
**RESOURCES:**
- Each miner wears a chemical-oxygen SCSR on his/her belt. There are 10 SCRSRs stored at the power center and 12 on the portal bus.
- Harry has a handheld multigas detector that detects methane, oxygen, and carbon monoxide (CO).
- A 25-ft tether is kept at the SCSR cache at the power center.
- The mine uses trolley haulage for moving supplies and personnel.
- The mine uses a carbon monoxide monitoring system (“CO monitor”).
- Communications are by pager phones, trolley phones, and leaky feeder. The latter is a system with mobile radio transceivers that allow personnel to communicate with each other underground.
- At this mine, man doors are located at every fifth crosscut when possible.
Problem
Harry and Bill, the utility man, are checking materials at the supply car. At 10:15 a.m., Clem, one of the buggy men, hustles up to Harry and says, “The alarm went off. It looks like smoke is coming up the belt.” Harry replies, “Go get the crew and bring them to the power center while I call the CO Room.”
The operator confirms the CO monitor has alarmed along the 3 Northeast main belt. They have sent someone to check it out. Harry says, “We’ve got smoke. We’re coming out.”
Look at Tables 1 and 2 and Figure 1 below.
Then turn to Question A and begin.
Work one page at a time.
Don’t jump ahead, but you can look back anytime you want.
Table 1.—Miners who have key roles in the story
| Name | Occupation | Age | Years worked in mine | Physical condition |
|--------|------------------|-----|----------------------|-------------------------------------|
| Harry | Section foreman | 37 | 10 | Good physical condition |
| Bill | Utility man | 23 | 2 | Good physical condition |
| Clem | Buggy man | 56 | 38 | Poor physical condition, heart problems |
| Charlie| Bolter operator | 39 | 15 | Mediocre physical condition |
Table 2.—Other miners on the crew
| Name | Occupation | Age | Years worked in mine | Physical condition |
|--------|------------------|-----|----------------------|-------------------------------------|
| Joe | Miner operator | 51 | 18 | Diabetic |
| Larry | Mechanic | 38 | 5 | Mediocre physical condition |
| Dave | Buggy man | 28 | 7 | Good physical condition |
| Susan | Miner helper | 40 | 15 | Good physical condition |
| Tom | Bolter operator | 62 | 44 | Poor physical condition, experiences shortness of breath |
Figure 1.—Schematic of the mine working section.
While Harry is talking to the CO Room, he sees light smoke coming up the track entry. He sends Bill to check #3 entry, the primary escapeway, and heads to the power center. Harry tells everyone to take an SCSR from the cache. Bill comes back from checking #3 entry and reports that it is “pretty clear.”
The smoke is getting heavier in the track entry and is beginning to smell like coal. Visibility is still fairly good—about 100 ft. It is time to move. What actions should Harry take at this point? (Read each statement. Select YES if you agree with the statement or NO if you disagree.)
1. YES NO Make a note of the time.
2. YES NO Lead the crew to the refuge chamber and prepare to activate it.
3. YES NO Tell the CO Room the crew will be coming out on the portal bus.
4. YES NO Wait another 10 minutes to see if they can get more information on where the fire is before they head out.
5. YES NO Tell the crew to grab the tether, don an SCSR, and check each other to make sure the devices are working correctly.
6. YES NO Lead the crew to the portal bus to get a spare SCSR, and prepare to walk out the primary escapeway.
7. YES NO Check the CO level in the track entry.
Question B
The crew members have donned their SCSR and assembled by the portal bus. Harry instructs the crew to grab a spare SCSR. He then checks the CO level. It is only 35 ppm. At 10:30 a.m., the crew heads out on the bus. Harry tells the operator not to travel too fast. The smoke is getting thicker, visibility is poor.
The crew travels outby for 10 crosscuts when the bus hits a low rail joint in a soft spot in the bottom. The bus travels across the spot where the rail dips and derails. As the crew members are climbing off the bus to assess the situation, Charlie, one of the bolter operators, steps on a piece of coal and twists an ankle. He says to Harry, “I don’t know that I can walk out. Maybe we should go back to the refuge chamber.” What should Harry do at this point? (Read each statement. Select YES if you agree with the statement or NO if you disagree.)
8. **YES** **NO** Walk inby three crosscuts where the man door is located and check the air in the primary escapeway (#3 entry) for smoke. If the visibility is better, signal the crew to follow him.
9. **YES** **NO** Get the tether, fasten it to each crew member, and head out the track entry following the lifeline.
10. **YES** **NO** Take a deep breath on his SCSR, remove the mouthpiece, and call the CO Room on the trolley phone to report the crew’s location, the smoke, inform her of the route they are walking out because the bus has derailed, and ask for information on the fire.
11. **YES** **NO** With Charlie injured and over 7,000 feet to walk just to get to the in-place shelter, it is now time to go back to the refuge chamber.
12. **YES** **NO** Tell Charlie to go to the refuge chamber and continue to evacuate out the track entry with the crew.
13. **YES** **NO** Walk outby to the next man door to check the air in the primary escapeway (#3 entry) for smoke. If the visibility is better, signal the crew to follow him.
14. **YES** **NO** Signal Charlie and the rest of the crew to keep their mouthpieces in.
15. **YES** **NO** Jack the portal bus back on the track and keep going.
Harry walks a couple crosscuts outby and checks #3 entry. Visibility is much better; there is very little smoke. Using his multigas detector, Harry finds the CO level is only 15 ppm. Even though the seam height is just 54 inches, Harry has the crew tether themselves together. Charlie doesn’t want to go into the refuge chamber by himself, so he decides to limp along with the others. Harry starts to lead the crew out the primary escapeway.
Harry sets a moderate and steady pace so that he and the crew don’t “outbreathe” their SCSRs. Even so, some of the miners’ breathing is labored. Harry checks his watch and notes that the crew has been under apparatus for about 10 minutes. He wonders how much longer the crew will hold up walking hunched over. Nevertheless, Harry stays in the primary because the visibility is good and the CO level is low (15–20 ppm). Almost all at once, however, the smoke starts to get dense, and Harry signals the crew to grab the lifeline. It is not too much farther to the SCSR cache.
Fifteen minutes later, Harry’s hand encounters a bell that has been suspended from the lifeline. This tells him he has reached the SCSR cache. He stops to collect his thoughts and checks the time. It is now 11:02 a.m., and the miners have been wearing their SCSRs for over 40 minutes. He checks the CO level; it is only 40 ppm. What should Harry do at this point? (Read each statement. Select YES if you agree with the statement or NO if you disagree.)
16. **YES** **NO** Switch over SCSRs and lead the crew back to the refuge chamber because Harry does not know how far they will have to travel to reach fresh air.
17. **YES** **NO** Switch over SCSRs here where there are spares available in case somebody gets one that he/she thinks isn’t working.
18. **YES** **NO** Have each miner grab another SCSR so they have two spares, and hold off on the switchover so there will be plenty of time to reach the in-place shelter before the crew has to switch again.
19. **YES** **NO** Proceed to the in-place shelter before switching over, since it is only another 20 minutes and SCSRs are designed to provide an hour’s supply of oxygen.
20. **YES** **NO** Untether and go to the man door and check the CO level in the track entry. If it is also low there, get the crew and switch over to the track entry.
Question D
As the crew goes through the switchover procedure, some of them seem confused, some are talking, and most have taken one or two breaths before they manage to get their lungs isolated. With Harry’s help, the miners finally get their SCSRs swapped out, but not before several of them have inhaled some smoke and CO.
Harry checks the CO level. There is little difference in the two entries: 40 in the primary and 45 in the track. Harry decides to lead the crew across to the track entry so they can walk upright and pick up the pace. They aim for the next cache, with everyone holding onto the lifeline. They go as fast as practical for 38 more crosscuts. Then Charlie says, “I can’t keep up with you, my ankle is swelling up!” At that point, Clem spits his mouthpiece out and says, “I can’t go any farther. You guys just leave me and go on.” Harry has been counting the crosscuts; he knows the in-place shelter is just a little farther. What should Harry do now? (Read each statement. Select YES if you agree with the statement or NO if you disagree.)
21. YES NO Go back to Clem and Charlie and try to get them to reinsert their mouthpiece.
22. YES NO He should leave Clem and Charlie.
23. YES NO Motion for volunteers to help Clem and Charlie get as far as the in-place shelter.
24. YES NO Since Harry does not know where the fire is and the smoke is so thick, he should lead his crew back to the refuge chamber.
Question E
Harry, with the help of other crew members, assists Clem and Charlie toward the in-place shelter. The miners have been wearing their SCSRs for 40–45 minutes. Harry checks for CO in the crosscut near the chamber. CO is building up. His multigas detector reads 280 ppm.
The miners activate and enter the in-place shelter and Harry calls outside. The CO Room tells him the fire is at the head drive in 3 Northwest mains, and it is not yet under control. Harry knows the crew will have to travel another 55 crosscuts through smoke to get out by the fire. What does he do now? (Read each statement. Select YES if you agree with the statement or NO if you disagree.)
25. **YES** **NO** Ask the crew what they prefer to do at this point: stay in the in-place shelter or continue to walk out.
26. **YES** **NO** Remind everyone that he was a fire boss, knows the mine well, and that they will be walking through smoke, but he can lead them past the fire.
27. **YES** **NO** Tell the crew that their best option is to remain inside the in-place shelter until a mine rescue team can reach them.
28. **YES** **NO** Check on Clem and Charlie’s condition and ask them if they can manage to walk the rest of the way out.
29. **YES** **NO** Tell everyone before they leave the in-place shelter that it is time to switch over their SCSRs, and lead them through the procedure.
30. **YES** **NO** Ask the crew members if they want to rest for a few minutes before they don fresh SCSRs and then walk the rest of the way out.
31. **YES** **NO** Encourage anyone who might want to stay in the in-place shelter to attempt to walk out.
Charlie says his ankle is in too bad a condition to go farther; he’ll just wait for the rescue team. Clem says he is in no shape to continue and decides to stay with Charlie. Everyone else is anxious to get going. Harry tells the crew members they must travel 12 more crosscuts to the mains and another 43 crosscuts to make it out by the fire. He states that they won’t need to do anymore switchovers; it should take only somewhere between 30 and 45 minutes to get out.
Harry leads the crew out the track entry to the mains holding onto the lifeline and walking until they are out by the fire. There, they see the shift foreman and some other miners. There is a portal bus waiting to take them outside.
At 1:15 p.m., the crew arrives outside, two crew members are transported to a local hospital for smoke inhalation. Everyone else is all right except for being exhausted.
The Responsible Person is busy establishing a command center. He tells Harry that no mine rescue teams will be sent underground because the fire is still not under control. The Responsible Person has contacted Clem and Charlie and advised them to remain in the in-place shelter until the fire is brought under control, which he estimates will take several hours. Both men are afraid that the mine rescue teams won’t be able to come into the mine at all. They begin discussing trying to make it out now that they know the rescue teams are, at the very least, not coming right away. They are nevertheless advised by the Responsible Person to stay put. What should they do? (Read each statement. Select YES if you agree with the statement or NO if you disagree.)
32. YES NO Stay put.
33. YES NO Leave.
In Hindsight
Given the circumstances, Harry may be tempted to second-guess himself. After all, though he got six miners and himself to safety, he left two men to an uncertain fate. Beginning with Harry’s decision to start walking out after derailing instead of returning to the section and entering the refuge chamber, which decisions might you have made differently than Harry (if any) and why? Use the space below to give us your thoughts.
TRAINEE’S ANSWER KEY
Instructions
Compare your answers and ideas to those listed in this key. Discuss the answers and any differences of opinion with your coworkers and the instructor.
Your ideas are important and can help improve this exercise. Therefore, please do not mark additional answers on your problem booklet or change your answers. Your answers will provide feedback to be used to improve the teaching points and the clarity of future presentations.
Question A
1. YES Harry will need to know how long the crew members have had their SCSRs on since they supply only about an hour of oxygen.
2. NO The problem with having a refuge chamber so close to the face is that Harry must decide almost immediately whether to enter it or not. At this time, there is little information available. There are no indications that Harry will not be able to evacuate the mine. At this point, they should evacuate.
3. YES There is some debate whether a portal bus should be operated in a fire because of the possibility of an explosion. Generally, however, it is thought best to ride through smoke as far as possible because there will be less strain on the miners, who will be stressed as it is. Harry has a multigas detector with which he can check for methane.
4. NO In a mine fire, time is not your friend because mine fires double in size every 15 minutes. In addition, the miners are likely to be under stress and want to take action now. It is best to ask for information when possible on the way out.
5. YES Even if there is little CO present at this point, it can build up quickly when there is little or no smoke. Harry has a multigas detector so he will know when CO starts to build up, but the miners should still keep their SCSRs on. Regarding checking each other out when donning the SCSRs, it is known that some people have problems in getting them on properly and can use help. It is also known that some individuals think their apparatus is malfunctioning when it is working properly. Donning the device correctly may give an individual confidence that the SCSR is working correctly.
6. NO It is probably better to ride as far as possible because, among other things, breathing from an SCSR is a real problem for some people. Better to let them be at ease as long as possible. In addition, the primary escapeway is only 54 inches high. It would tire the crew out, especially if they have SCSRs on. For the time being, the better option is to ride out.
7. YES Harry should make CO checks as often as possible.
Question B
8. NO Harry needs to check the primary escapeway, but the crew would probably feel better if he went ahead rather than getting behind them. Harry is the leader, so he should keep himself in a position to lead.
9. NO It is much more difficult to walk through smoke, so if there is little or no smoke in the primary escapeway, Harry should take that route. It won’t be an easy decision, however, because he will have to make a tradeoff between having his crew possibly panicking in smoke or walking stooped over while wearing SCSRs.
10. YES Mine rescue rules require that an atmosphere containing more than 50 ppm of CO be treated as irrespirable. At 35 ppm Harry may talk, but he runs the risk of inhaling some smoke with other contaminants that a multigas detector might not detect. Harry really needs to communicate with the outside, however, so it’s a tradeoff.
11. NO This is a hard choice. The idea of self-rescue, however, means that you should get yourself out of the mine. Harry has seven other people to think about. He does not, at this time, have any information to make him believe the escapeways are impassible.
12. NO There is a possibility that Charlie might not know how to activate the chamber or might not be able to for some other reason. If he can walk, he should stay with the crew. Besides, evacuation is always the first choice.
13. YES Harry needs to stay ahead of the crew. In fact, he may decide to take them with him to the next man door rather than leave them at the portal bus.
14. YES Even if it seems absolutely necessary for Harry to have limited communication, there is no reason for anyone else to take his/her mouthpiece out. Besides, Harry is the only one with a multigas detector.
15. NO If the bottom is soft, it probably wouldn’t support the jack unless a cap board or something similar could be found to provide a larger base. That would take time and might be a futile effort. There is also the problem of smoke. Since much smoke would be stressful, the crew would want to get out of it if possible.
Question C
16. NO Harry is halfway between the refuge chamber and the in-place shelter. Therefore, he should continue forward with the crew to the in-place shelter so they will be closer to the portal for the rescue teams to find them.
17. YES It is a good idea to switch over SCSRs here where there are spares available in case somebody gets one that he/she thinks isn’t working. By switching SCSRs out here, the crew is also maximizing their amount of oxygen time between here and the next SCSR cache (i.e., between the SCSR they are wearing and the one they are carrying, they now have 120 minutes. If they didn’t switch over here, they would only have about 90 minutes of oxygen).
18. NO Although Harry might want each miner to take a spare, he should go ahead and switch over the SCSRs at the cache because that would maximize their amount of oxygen.
19. NO Even though they have 20 minutes left on the SCSR, the breathing resistance is building up and the more resistance, the harder it is to breathe. Switching over now also gives them added oxygen time in case it takes longer than anticipated to reach the in-place shelter.
20. YES Harry untethers so as not to stress the crew by dragging them with him every time he makes a move. Since the man door is straight behind the cache, Harry will be able to keep his hand on the rib, minimizing his risk of getting disoriented. If the CO level is low in the track entry, then the conditions are comparable in both entries. However, the track entry’s top has been taken out, so the crew can walk upright instead of hunched over. Harry would want to switch over from the primary entry to the track entry.
Question D
21. YES Harry would want them to reinsert their mouthpiece for two reasons: (1) they never know when the CO is going to build up, as it can rise quickly; and (2) they can be overcome with smoke inhalation even when CO levels are low. Besides, Harry is the only one with a multigas detector.
22. NO When evacuating in mine emergencies, miners are trained to self-rescue. However, in this situation they are so close to the in-place shelter that they should assist the two miners in trouble. Also, it does not increase the risk of danger for the rest of the crew.
23. YES By assisting the two miners to the in-place shelter it does not increase the risk of danger for the fellow crew members very much, but it dramatically increases the probability of survival for the two.
24. NO Smoke should not impede the evacuation, since they have adequate sources of oxygen. They should continue to evacuate until they are in fresh air.
Question E
25. NO Evacuation training teaches them to walk out. Since six of the miners are able-bodied, they can still walk out. Harry should not bring up the option of staying in the in-place shelter.
26. YES As leader of the group, Harry should remind the crew of his knowledge of the layout of the mine and remind them of their goal: **to get out of the mine.**
27. NO For the miners able to travel, a decision to stay in the in-place shelter based on the notion that a rescue team can reach them is probably not the best decision. Mine rescue teams may not be allowed into the mine until the fire is under control. There is no guarantee that they will be able to get the fire under control.
28. YES Harry should make every effort to encourage both Clem and Charlie to evacuate the mine. If they absolutely refuse, then Harry has no choice but to lead the rest of the crew out.
29. YES Since they are in the activated in-place shelter with oxygen flowing, they should take the time to switch over their SCSRs there. They only had 15 minutes left on their previous SCSRs anyway.
30. YES Since they have over a mile to walk out in unknown conditions, they should take a few minutes to rest up. However, in a fire time is not your friend. So every minute the crew is sitting there, the fire continues to burn. Keep in mind that the mine rescue team may not be allowed to enter the mine until the fire is under control.
31. YES Harry should make every effort to encourage the miners to continue to evacuate.
Question F
32. YES This is probably the toughest decision, and one Harry is glad he doesn’t have to make. However, there are several things to consider:
(1) Both Clem and Charlie are in pretty bad shape or they wouldn’t have been left behind in the first place.
(2) Conditions are deteriorating, and if getting out was difficult in the first place, it is even more difficult now.
(3) The Responsible Person is supposed to know what he is talking about. If he says the fire can be brought under control in a few hours, there should be reason to believe him.
(4) If Clem and Charlie leave the in-place shelter, the mine rescue team won’t know where to look for them should they get down again.
These points must be weighed against their fear that the mine rescue team won’t be coming for them. In the end, it boils down to where they place the most faith—in the mine rescue team’s ability to come get them or in their ability to make it out on their own. Given the odds against them, they should probably remain in the in-place shelter as instructed and wait for the mine rescue team. This is certainly an issue that can, and should, be debated.
33. NO An in-place shelter has two potential uses: (1) as a way station where miners can rest, regroup, get additional SCSRs, and communicate with the surface, and (2) as a refuge of last resort to await rescue. Harry has used the in-place shelter for both purposes. Given that Clem and Charlie have problems that might very well keep them from escaping the mine, they could stand a better chance if they remain in the in-place shelter, placing their faith in the Responsible Person’s assurance that the fire can be brought under control. Again, this is a debatable issue.
In Hindsight
Below are a few of the issues debated by miners who have worked this problem and points they considered—both pro and con:
- The question of whether Harry should have taken out his mouthpiece to communicate with the outside. Points to consider:
**Pro**
- Met need to talk to CO Room
- CO well below 50 ppm
**Con**
- Danger of smoke inhalation
- Might set a bad example
- Riding out versus walking out – There was some debate whether a portal bus should be operated in a fire. Points to consider:
**Pro**
- Fastest way out of the mine
- Less stress on miners
**Con**
- Risk of explosion
- Risk of crashing
- Whether to continue out the track entry after derailing. Points to consider:
**Pro**
- Can stand up in the track entry
- Saves time
**Con**
- Track is in heavy smoke
- Travelway might be rough
• Switch over SCSRs at the cache instead of depleting one’s SCSR to reach the in-place shelter. Points to consider:
**Pro**
- Avoids breathing resistance problem
**Con**
- The problem of changing out in smoke
• Harry did not ask the crew’s opinion on staying in the in-place shelter. Points to consider:
**Pro**
- The plus side of not asking (for those who argued that Harry did the right thing) is that he kept the crew focused on escaping. These trainees believed that Harry should not plant the idea of staying in crew members’ heads.
**Con**
- A sizable number of trainees believed that Harry was wrong in not asking the crew if they wanted to stay in the in-place shelter. They based their argument on the fact that ultimately it’s up to each person to decide his or her own fate.
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DHHS (NIOSH) Publication No. 2009-122
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REVOLUTIONISING THE FEED INDUSTRY FOR INCREASED POULTRY PRODUCTION
By
Professor (Mrs.) Daisy Eruvbetine
(Professor of Animal Nutrition)
Department of Animal Nutrition, College of Animal Science and Livestock Production (COLANIM)
University of Agriculture, Abeokuta, Nigeria.
UNAAB INAUGURAL LECTURE
Series No. 26
Wednesday, 25th November, 2009
Series No 26: Professor (Mrs.) D. Eruvbetine
UNAAB
INAUGURAL LECTURE SERIES
This 26th Inaugural Lecture was delivered under
the Chairmanship
of
The Vice-Chancellor
Professor Oluwafemi O. Balogun
B.Sc., Ph.D (Ibadan)
Published 25th November, 2009
Reproduction for sale or other commercial purposes is prohibited
ISBN: 978-978-49425-0-8
Series No 26: Professor (Mrs.) D. Eruvbetine
Printed by Intec Printers Limited, Ibadan.
Prof. (Mrs.) D. Eruvbetine, Ph.D, M.Sc. (Alberta),
B. V. Sc (Andhra Pradesh)
(Professor of Animal Nutrition)
Revolutionising the Feed Industry for Increased Poultry Production
The Vice-Chancellor,
Deputy Vice-Chancellor (Academic),
Deputy Vice-Chancellor (Development),
Principal Officers of the University,
Deans and Directors,
Heads of Departments,
My Academic and Professional Colleagues,
Members of My Immediate and Extended Family,
Gentlemen of the Print and Electronic Media,
Distinguished Ladies and Gentlemen,
Great UNAABITES.
1.0 INTRODUCTION
Dream lofty dreams, and as you dream, so shall you become. Your vision is the promise of what you shall one day be; your ideal is the prophecy of what you shall at last unveil. James Allen
Food For Man: Historical Perspective
The essence of today's lecture is based on food an important and basic necessity for the survival of the human populace. The form, nature and quality of food may vary, but all living creatures have to eat to live.
Food is material of plant or animal origin that consists of essential body nutrients such as carbohydrates, fats, proteins, vitamins and minerals, and is ingested and assimilated by an organism to produce energy, stimulate growth and maintain life. Feed from an Animal Scientist’s point of view is food that is given to Animals. While the Animals ultimately become food for man. Looking at it in biological terms, it would appear that food is merely a source of energy and nutrients essential for life.
It is evident that food has played a central role in human history. While the everyday quest for food has shaped the life of pre-historic man and also the life of animals, the onset of the production of a reliable and sufficient supply of food is likely to have led to an expansion of human and animal populations. The food eaten by the pre-historic man is evidenced by the study of the majority of clues left behind like animal bones, sea food, plant food remnants and faecal remains at sites of human habitation. Until 10-12,000 years before the present times, humans just like animals relied on hunting and gathering of food including animals, such as, gazelles, antelope and deer as well as fish, crabs, migratory
birds and shell fish, root vegetables, pulses, nuts and fruits. Man at that time developed his ingenuity to overcome the brute strength of animals and competed effectively for survival. Animals living in the wild too, apart from their own hunting exploits, fed off the remnants of man’s hunting and feeding habits. The period between 11,000 and 6,000 years ago (Neolithic period), a time of crucial growth, a widespread food revolution was in place with the rudiments of agricultural production. Wild crops like wheat and barley, began to be cultivated and wild animals such as sheep and goats were tamed and domesticated. Domestication of animals led to the first informal feeding programs in animals with a view to benefiting from the usefulness of animals to man. Food acquisition by hunting and gathering was time consuming and unpredictable. The shift from hunting and gathering to domestication was gradual and by no means universal (even today there are pockets of human population that survive on hunting). With the advent of farming, the Neolithic man was for the first time in human history able to provide himself with a reliable and sufficient source of food. Humans were, thus, not devoting their entire time to sourcing for food.
However, farming contributed to a change in the nature of the diet. While the pre-neolithic man depended heavily on a
diet of animal products, the Neolithic man through plant cultivation developed grains and tuber crops as staple constituents of human diets.
**Food for Modern Man**
Over the past 2000 years, there have been substantial increases not only in quantity of food but quality of food available to man. Furthermore, the ability of man to colonize almost every part of the world is at least in part due to his adaptability to food. Not only are humans omnivorous, they have also shown remarkable ingenuity in identifying and preparing nutritious foods out of unpromising materials. For example, bitter cassava (*Manihot esculenta*) is a root crop that contains toxic levels of cyanide producing compounds and which, after thorough processing, constitutes, the major food item in the diet of millions of people worldwide. Improved production techniques resulting in increased yields necessitated innovations in storage and/or preservation not only for use at times of scarcity but also for transportation to locations of need.
In order to ascertain quality food distribution, many agencies are available in different countries to monitor food safety, eg. FDA in the US, NAFDAQ, NIST, SON, etc, in Nigeria. These agencies are established to protect the consumer and improve the health of the public in relation to food by providing advice and information on food for consumption. Furthermore, such agencies develop policies relating to food safety and by carrying out their own research, monitor relevant developments in science, technology and other fields of knowledge that are related to food.
As a result of the slow but continued development of production, preservation and safety technologies, contemporary humans in developed countries have access to an astonishing quantity and diversity of foods. Modern technology has made it possible to supply consumers with foods produced in countries from around the world. However, the quest for food today has reached a new dimension. We talk about food security, food sovereignty and food vulnerability today. These conditions are very pertinent especially on the African continent. The changing world and the consequences of urbanization and technological developments may sometimes have devastating effects on our planet. Deforestation and land clearing and global warming due to increased carbon emission as a result of fossil fuel burning have contributed greatly to changing weather patterns leaving behind eroded lands and soils with low fertility which affect production yields of our crops. This is specially pronounced in Africa as most farmers in this continent still continue with
the conventional or traditional mode of farming contributing to the prevailing reduced yields of the major staple crops that are so vital to the survival of the masses. Beyond production, other factors such as the processing, storage, quality control, availability and distribution of the final products are also key components of the entire food cycle chain. It is vital, therefore, that necessary changes must be introduced in the food production chain right from the production of our crops to the finished products for the continued survival of the human race.
**Protein and Its Importance in Human Diets**
The role of protein as an essential nutrient for the body is well recognized. Protein has nitrogen as an irreplaceable constituent of amino acids that are required for the assembly of proteins - the building blocks of all metabolizing tissues and enzymes that control the chemistry of organisms. Nitrogen is also an essential constituent of nucleotides and nucleic acids (RNA and DNA). Adults cannot synthesize all the amino acids that occur in proteins and, hence, these essential amino acids must be ingested in food. Children need one more essential amino acid in addition to those needed by adults for growth. Hence, a source of protein is an essential element of a healthy diet allowing both growth and maintenance of the 25,000 proteins encoded in a human genome as well as other nitrogenous compounds which together form the body’s dynamic system of structural and functional elements that exchange nitrogen with the environment. The nitrogen balance index (NBI) is used to evaluate the amount of protein used by the body in comparison with the amount supplied from the daily food intake. The body is in a state of nitrogen (or protein) equilibrium when the intake and usage of protein are equal. The body has a positive nitrogen balance when the intake is greater than that expected by the body. In this case the body can build and develop new tissue. Since the body cannot store protein, over consumption of protein can result, in the excess amount to be converted into fat and stored as adipose tissue. A negative nitrogen balance represents a state of protein deficiency in which the body is breaking down tissues faster than they are being replaced. The ingestion of insufficient amounts of protein in food with poor quality protein can result in serious medical conditions in which an individual’s overall health is compromised. The immune system is severely affected, amount of blood plasma decreases leading to medical conditions such as anemia or edema and leaving body systems vulnerable to infectious disease and other serious conditions such as Kwashiorkor. The treatment or prevention of this lies in consumption of protein-rich foods. The importance of protein in life is exemplified by the survival of a human offspring on milk (rich in animal protein) and the development of a chicken embryo solely on the contents of an egg. These two products of animal origin are classified as the best quality protein and till today regarded as vital to the development of body tissues. Plant proteins on the other hand are deficient in at least one essential amino acid. Cereal grains are deficient in lysine and legume grains are deficient in methionine and cysteine. Plant proteins are less digestible than animal protein and may warrant an Net Protein Utilization (NPU) score of 50 percent against 80 percent for all animal proteins.
In Nigeria, intake of animal protein is at present 4.82g/caput/day as against 35g recommended by FAO. A World Bank assisted National Strategy Plan (1996 – 2010) projected an animal protein intake of 5.32g/caput/day for the estimated 159 million population in 2010. How are we going to achieve this? Poultry production is a means of providing a good source of the necessary animal protein for the Nigerian populace. This can only be achieved if the cost of production of the products are drastically reduced. Feed being the major input in the production cycle has to be provided adequately and at affordable prices for an effective impact. This is possible only if there is a revolution in the existing feed production/distribution channels together with
effective and efficient utilization capacities.
**Compounded Feeds and History of Commercial Feeds**
Since feed is the major input in a poultry enterprise, any major change effected in either the composition, enhancement, quality or availability will have a direct effect on the productive performance of the birds. Since the advent of balanced feeds, feeds have been prepared scientifically and economically to meet the specific requirements of the particular class of birds being produced.
Compounded feeds are feedstuffs that are blended from various raw materials and additives. These blends are formulated according to the specific requirements of the target animal. They are manufactured by feed compounders as meal, pellets or crumb types.
The beginning of industrial scale production of animal feeds can be traced back to the late 1800’s. This was around the time that advances in human and animal nutrition were able to identify the benefit of a balanced diet and the importance of the role that the processing of certain raw materials played in the composition of feed. Corn gluten feed was first manufactured in 1882 while leading world feed producer, Purina was established in 1894 by William Danforth.
Cargill, mainly dealing with grains in 1865 started making feeds in 1884. By the 1900’s the feed industry expanded rapidly and in 1927 the first feedmill was opened in Canada by Purina. Today there are about 3800 feedmillers worldwide manufacturing more than 80% of the World’s industrial feed requirement.
In Nigeria, commercial feedmilling commenced in 1963 by Pfizer, today’s Livestock feed Plc. In 1970 Ladokun Feeds was a franchise of Pfizer and later in 1976 was autonomous until they wound up activities in the 90’s. Between 1980-1983 with the implementation of the “Operation Feed the Nation” originated by the Obasanjo administration (1977-1979) it was obvious that the country needed to expand feed production. The number of feed millers grew to 303 as at 1983 with a combined installed capacity of 1039mt/hr. Feed production rose from 640,000 mtons in 1980 to 2.4 mmt in 1985. Within 3 years, poultry population was at its peak from 12 million to 40 million commercial chickens (Table 1). There was strong collaboration in the early days with the establishment of – Commercial Feedmillers Association (COFAN), Industrial Feed Millers Association (IFAN) and the Poultry Association of Nigeria (PAN). Since then there has been a constant decline in the poultry population and consequently feed production.
Table 1: Feed production in Nigeria over the years
| Year | QTY mmt |
|------|---------|
| 1980 | 0.640 |
| 1985 | 2.40 |
| 2000 | 1.60 |
| 2008 | 1.00 |
| 2010*| 2.00 |
*Projection
Currently in the country there are only six (6) well established reputable feedmilling companies (Table 2).
The total output of commercial feed millers is only about 50%. The remaining 50% is produced without any quality control procedures or regulatory mechanism in place.
The monitoring body for regulating feed production, i.e., the Standards Organization of Nigeria (SON), in 2006 started an active program to monitor and standardize all feed operations in the country. This is important especially in view of the rising concerns about avian flu and now the
Table 2: Commercial/self mix feed market production (mtons)
| Company | AVG/Month | Per annum | Share % |
|--------------------------|-----------|-----------|---------|
| Top Feeds | 11,000 | 130,000 | 13 |
| Vital Feeds | 8,500 | 102,000 | 10.2 |
| Livestock Feeds | 4,000 | 48,000 | 4.8 |
| Boar Feeds | 4,000 | 48,000 | 4.8 |
| Animal Care | 4,000 | 48,000 | 4.8 |
| Amo Byng | 2,500 | 30,000 | 3.0 |
| Regional Compounders | 8,000 | 96,000 | 9.6 |
| Toll Millers | 25,000 | 300,000 | 30 |
| On-Farm/Self | 16,470 | 198,000 | 19.8 |
| **TOTAL** | **83,000**| **1,000,000** | **100** |
Source: Bello (2008)
controversial “swine flu” which could have implications for public health issues. No significant impacts of the actions of SON have yet been felt in the industry. There is a need for the re-activation of COFAN and IFAN which used to be in existence to enable the industry co-ordinate, regulate
and also influence policy decisions as they relate to feed, not only within the country, but also in meeting international standards. Presently it is the Poultry Association of Nigeria (PAN) that plays an active role in such matters and they may not be the appropriate body to handle such issues. Government involvement and policies in relation to feed and feed manufacturing are paramount to the success of the industry. Feed milling should be recognized as an agricultural enterprise and not entirely a manufacturing business. Streamlining and redefining all these factors which undermine the industry will go a long way in giving the industry the impetus it needs for growth.
2.0 CONTRIBUTIONS OF ANIMAL PRODUCTS TO HUMAN DIETS
Population growth and increased affluence have resulted in dietary changes and a large increase in animal and food products over the past two decades. There is a continuing rise in the demand for animal products especially from poultry and pigs.
World population was 2.5bn in 1950 and is expected to increase by 73% to 9.2bn in the 100 year period up to 2050. Currently there is a total population of 6.1 billion people in the world (Fig. 1).
Fig 1: World Population Growth
WORLD POPULATION GROWTH
1950 | 1975 | 2000 | 2025 | 2050
---|---|---|---|---
2.5bn | 4.1bn | 6.1bn | 8.0bn | 9.2bn
Source: UN (2008)
By the year 2030 it is expected that the population would have increased by at least 2 billion people (Fig.2). There is an expansion of growth by almost 98% in the developing world while the increase in the developed world is marginal.
**Fig 2: Population Growth in Developed and Developing Countries**
Currently Animal products are a vital and important source for the world’s existing 6 billion people. On a global basis, animal products provide 17% of food energy and more than 35% dietary protein (Fig.3). Thus, with the rising population over the years, the need for animal products are also increasing so that every human being can meet his/her basic requirement for animal protein.
**Global Contribution of Animal Products to Diet**
*Source: Council for Agricultural Science and Technology*
**Fig 3: Global Contributions of Animal Products to Diet**
The world per capita meat consumption is 35kg/person per year as against 75kg/person in developed countries (Fig. 4). Africa has the lowest meat consumption with 18kg/person, while in the developing countries the average is 24kg/person.
**Fig 4: World Per Capita Meat Consumption**
As mentioned previously, in Nigeria, the intake of Animal protein is at present 4.82g/caput/day as against 35g/caput/day recommended by FAO. A World Bank assisted National Strategy plan (1996-2010) projected an animal protein intake of 5.32g/caput/day for the estimated 159 million population in 2010 (Fig. 5). This value, however, falls short of the FAO recommended value.
**Fig 5: Animal Protein Intake in Nigeria**
As countries develop, they will naturally demand for more and better quality food and, the per capita meat consumption will, therefore, rise. The world meat consumption (1995-
2030) shows that meat consumption will increase in the developed world by about 15 million tonnes during the period 1995 and 2015. Whereas, it will increase by 75 million tonnes for the same period in developing countries and 50 million tonnes for the period 2015-2030 also in the developing countries (Fig 6).
**Fig 6: World Meat Consumption (1995–2030)**
It has also been predicted that the increase in meat consumption over the years would be mainly poultry meat. International Food Policy Research Institute (IFPRI) estimates that poultry consumption would be double that of pork and beef. This is because in developed countries health conscious consumers are consuming poultry products (Fig. 7).
**Fig 7: World Meat Consumption Growth**
Among the poultry products, meat and eggs are most commonly consumed. For the 10-year period between 2006 and 2016, the projected production of both meat and eggs increased by 40 and 34%, respectively, in the developing countries as compared to 24.6 and 9.2% increase for the same period in developed countries. This shows that both poultry meat and egg production are on the increase in the developing world (Table 3).
**Table 3: Production of poultry meat and eggs (MT)**
| Product | Country | 2006 | 2016 | % increase |
|-------------|-----------|------|------|------------|
| Poultry meat| Developing| 46.9 | 65.7 | 40.0 |
| | Developed | 35.8 | 44.6 | 24.6 |
| Eggs | Developing| 42.6 | 57.1 | 34.0 |
| | Developed | 18.5 | 20.2 | 9.2 |
Source: Pym (2009).
However, consumption of chicken meat and eggs in Nigeria over the 10-year period from 1995-2005 did not seem to have been on the increase while in countries like USA and China, there was significant increase in the consumption of both chicken and eggs over the same 10 year period. In Nigeria, although there was only a slight increase in meat consumption per capita over the last 5 years, egg consumption per capita over the same period was lower (Table 4). This is because even though more eggs may have been produced they were less available to each individual due to the increase in population.
**Table 4: Consumption of chicken meat and eggs (kg/Capita/year)**
| Product | Country | 1995 | 2000 | 2005 |
|-----------|---------|------|------|------|
| Chicken meat | USA | 35.5 | 39.0 | 44.3 |
| | China | 5.1 | 6.8 | 8.0 |
| | Nigeria | 1.5 | 1.4 | 1.6 |
| Eggs | USA | 13.4 | 14.5 | 14.8 |
| | China | 11.0 | 13.6 | 17.5 |
| | Nigeria | 3.1 | 3.2 | 3.1 |
Source: Pym (2009).
3.0 SUPPLY AND DEMAND FOR FEED INGREDIENTS
The Animal feed industry is an integral and growing segment of the food supply chain. It supplies the feed ingredients needed to produce healthy animals. Animals consume one third of global cereal grain supply (Fig. 8).
**Fig 8: Grain and Feed Inputs**
The world feed requirement over the years has risen tremendously. According to Feed International, the feed produced over a period of 5 years rose from 580 million tonnes in 1998 to a high of 610 million tonnes by 2003 (Fig 9). The
rising population of animals and concomitant increase in meat production would no doubt entail a rising production of feed.
**Fig 9: World Compound Feed Production**
The top 15 countries in the world account for 73% of the total production of 625 mmt in 2003 (Fig 10). The leaders were the US 150.2 mmt, China 72.7 mmt, Brazil 42.7 mmt, Japan 24.3 mmt and Mexico 23.0 mmt.
In order to feed the animals that will supply the meat for a growing world population, feed grain production will have to increase by 45% between 1996 and 2030, while cereal consumption for animals need to rise by 60% if the precipitous growth on meat demand is to be met (Fig. 11).
Fig 11: World Grain Consumption for Food and Feed
According to Swick 2008 a total of 766.2 mmt of corn is produced with the US being the largest producer followed by China (Fig 12)
Next to cereal grains, the other major ingredient requirement is that of oilseeds. Soybean meal, a residual product of the oil extraction process from soybeans is the most preferred protein source in animal feed worldwide. Soybean production has increased more rapidly than corn, wheat or rice over the past 14 years. The production increase has been driven by demand for soya-oil and meal. Other oilseeds such as canola, groundnut, sunflower and sesame seed have also been used, depending on their availability and location. If global production of feed goes up at its current rate of 2%, the world will be producing 750 mmt of feed by
2015. This will require additional 20% of grain and oilseed yearly, thus, translating to 1168 mmt of grain and 255 mmt oilseed meal by 2015.
4.0 NIGERIAN POULTRY INDUSTRY AND FEED REQUIREMENTS
Currently the poultry industry consumes about 90% of the total commercially produced feeds in Nigeria which can be put at 763,000 tonnes per year (FLD 2005). Poultry population estimates as given by FLD (cited by Oyediji, 2005) gives a population estimate of poultry over the years from 1990 to 2003. Since the year 2000, there has been a steady increase in the population (Fig. 13).
**Fig 13: Poultry Population Estimates**
Current and estimated poultry population (Fig. 14) are about 166 million for 2008 and 249 million for 2011 (Njoku 2007; FMA and WR 2008).
A typical ration for poultry in Nigeria, meeting all the nutrient requirements of the bird while achieving its maximum potential contains about 50% maize, 25% vegetable protein source, 5% animal protein source and the balance made up of minerals, vitamins and filler ingredients (Fig. 15).
For the projected population for poultry, a total of 6.25 mmt of feed is required in Nigeria. If it is assumed that 50% of this is corn, then, approximately 3.125 mmt of corn is required while approximately 1.56 mmt of soybeans is also required to produce the projected 249 million poultry in 2011. How do we cope with this high demand? Land area for maize production has increased from 653,000ha in 1984 to 5m ha in 2003 while the production of maize increased from 1mmt to 7 mmt. Thus, the average yield of 1.4 to 1.5t per ha is still very low. An IITA research group is currently
working to increase such yield and double production to 14 mmt by the end of 2009. The ban on the importation of corn has been the bane on the industry since the early 80’s. However, the rising pressure on government to remove this ban had finally paid off when in February this year the ban was lifted and importation of corn has been liberalized. Most farmers are now awaiting the consequences of this action and it is hoped that ready supplies of corn through adoption of organized and fair marketing strategies will meet the rapidly growing demand presently.
Soybean production in the country has always been below the required demand level and most big time feed millers prefer to import soybean from other countries. We can, therefore, conclude that Nigeria is not self sufficient in its major raw materials for meeting its demand for the existing poultry population and, therefore, need to think ahead on the ways of solving this problem especially in the face of the global trends, where demand outstrips supplies.
A personal survey of prices of corn and soybean meal in Nigeria over the last two years (Tables 5 and 6) revealed that there was more than a 50% increase in price for corn for the period July to December 2008 when compared to the prices for the same period in the previous year. However, in the
last 6 months there appears to be some stability in the prices. This could be due to the impact of importation of corn which might have had a positive effect or the improved production yields this year as against last year. Nevertheless, the price of a tonne of corn in Nigeria ($400) is much higher than the price of corn globally ($220).
With regards to soybean meal prices from July-June 2008/2009, these have been consistently higher than those in the corresponding period of the previous year. This might also have contributed immensely to the hardships faced by the poultry farmer in obtaining feed at reasonable prices.
Table 5: Price (N) of corn/kg in Nigeria (2007-2009)
| Months | 2007/2008 | 2008/2009 | % Increase |
|-----------------|-----------|-----------|------------|
| July- September | 35 | 55 | 57 |
| October-December| 45 | 69 | 53 |
| January-March | 60 | 60 | 0 |
| April-June | 58 | 62 | 7 |
Table 6: Price (N) of soybean/kg in Nigeria (2007-2009)
| Months | 2007/2008 | 2008/2009 | % Increase |
|-----------------|-----------|-----------|------------|
| July-September | 64 | 100 | 43 |
| October- December | 68 | 110 | 62 |
| January- March | 68 | 89 | 33 |
| April – June | 69 | 95 | 39 |
The price of finished feeds over the years also increased consequent to the rising cost of ingredients (Table 7).
Table 7: Price (N) of finished feed/bag
| Year | Grower | Chick | Layer | Broil/Start | Broil/Finish |
|------|--------|-------|-------|-------------|--------------|
| 2007 | 900 | 1330 | 1240 | 1420 | 1230 |
| 2008 | 1200 | 1600 | 1600 | 1700 | 1400 |
| 2009 | 1300 | 1700 | 1800 | 1900 | 1600 |
Taking egg production costs as an example, the difference in price between cost of production and sale of eggs has declined due to the corresponding rise in the price of a bag of feed (Table 8). The implication is that the farmer continues to have a decline in revenue and finds it difficult to effect any significant change in the price of eggs due to fear of
other market forces.
Table 8: Price (N) and cost of production of eggs
| Year | Price/Crate | Feed Cost/Crate | Difference |
|------|-------------|-----------------|------------|
| 2007 | 450 | 225 | 225 |
| 2008 | 500 | 290 | 210 |
| 2009 | 550 | 350 | 200 |
5.0 CONTRIBUTION TO KNOWLEDGE
Use of Cassava in Poultry Production
My major thrust in research over the years has been on the use of cassava in poultry diets. Research on cassava in the world commenced in 1935 in the Philippines. By the 1960’s several Scientists in Nigeria had worked extensively on its use as an energy source for poultry diets. However, the availability of adequate amounts of cereals at that time did not pose any threat to the poultry industry which was growing rapidly with the establishment of several feed mills. Moreover, ready availability of imported chicken at very reasonable rates in a country which is blessed with oil wealth did not necessitate the developing of locally sourced ingredients for feeding poultry. However, in the late 1980’s, the reality of the relegation of Agriculture to the background
in the country had its toll especially on the livestock industry. The importation of cereals was then banned in 1981. The Presidential Task Force on Alternative Feeds for Livestock was set up in 1988. It was at this time that I joined the University and my attention was focused towards the use of cassava in poultry diets. In Nigeria, several eminent Scientists had already established the use of cassava in poultry diets. The question was why was it not being used? Feed millers were not happy using it and even when it was used, they refused to admit that it was in the diet.
**Role of Cassava in Nutrition and its Importance**
Cassava is mainly used for
(i) Human nutrition
(ii) Animal Nutrition
(iii) Industrial uses
We are all primarily concerned with its use in human nutrition. However, we are also aware that cassava being a major source of carbohydrates provides only energy and thus, cannot be the exclusive food item in the diet of human beings. The importance of protein as earlier mentioned cannot be over-emphasised. Thus, feeding of cassava in its ‘crude form’ as energy can bring about its transformation into high quality proteins meant for human consumption. Thus, when
we refer to cassava for Animal Nutrition, it is viewed as an integral part of Human Nutrition. A quantitative comparison of cassava consumption for human beings and poultry as given in Table 9 shows that a producer could get more value for his cassava from producing either meat or eggs than gari. The quantity of cassava used for 1 meal with gari is enough to produce 7 eggs or 100g of broiler meat and at the same time giving him more returns in terms of money.
Table 9: Comparative Cost of Cassava in Human and Animal Diets
| Specie | Product | Quantity /Meal | Quantity/Processed Cassava (G) | Cost of Processed Cassava (N) | Cost of Finished Product (N) |
|--------|---------|----------------|---------------------------------|-------------------------------|-------------------------------|
| Humans | Gari | 1 meal | 250 | 5.00 | 10.00 |
| Layer | Egg | 1 | 37.5 | 1.55 | 20.00 |
| Broiler| Meat | 100g | 125 | 3.12 | 50.00 |
Advantages in the use of Cassava:
• Cultivation is easier with minimal use of chemicals and irrigation
• Low susceptibility to pests and diseases
• More favourable in developing countries
In terms of labour, even though cassava requires a higher number of mandays/ha production than maize, the yield per tonne involves only 21 days in relation to 121 days for maize. This is because of the high production yield of cassava in relation to maize. In Africa, average yield is set at 6 tonnes/ha while in Hawaii, new imported varieties produced up to 50 tons/ha. Production costs of cassava are also considerably lower than that of maize. Mandays in terms of energy yield is also lowest with cassava (Table 10).
**Table 10: Comparative Labour Costs of Production of Major Crops**
| Crop | Mandays/HA | Mandays/MT | Mandays/MCAL |
|------|------------|------------|--------------|
| Cassava | 183 | 21 | 21 |
| Yam | 325 | 45 | 69 |
| Maize | 90 | 121 | 36 |
| Rice | 215 | 145 | 60 |
Source: Nweke and Ezumah (1989).
Several studies were conducted over the years in the department together with colleagues from the Department of Animal Nutrition and other departments, and with several
students at the undergraduate and postgraduate levels in the department. Some of these are highlighted as follows:
(a) OPTIMUM LEVELS OF INCLUSION OF CASSAVA IN DIFFERENT TYPES OF POULTRY FEED AS REPLACEMENT FOR MAIZE
i) Cassava Flour in Broiler Diets (Eruvbetine and Afolami, 1992)
Cassava flour was prepared by peeling, chipping, drying and grinding of cassava tubers. Body weight at 40% inclusion of cassava flour was similar to the control diet (Fig. 16).
Feed conversion ratio was best with 40% inclusion of cassava flour (Fig. 17).
**Fig 16: Cassava Flour on Body Weight of Broilers**
Fig. 17: Cassava Flour on FCR of Broilers
Cassava flour inclusion resulted in a linear decrease in abdominal fat content of the carcass with the lowest percentage of fat at 40% (Fig. 18).
**Fig 18: Percentage of Cassava flour on abdominal fat**
Cost evaluation of diets (Table 11) revealed that total cost of feed and cost per kg body weight decreased as the level of cassava flour in the diets increased.
Table 11: Cost Evaluation of Cassava Flour Diets in Broilers (0-7 weeks)
| Treatment | Quantity of Feed (kg) | Total Cost (N) (1992) | Total Cost (N) (2008) | Cost kg Body Wt(N) (2008) |
|-----------|-----------------------|-----------------------|-----------------------|--------------------------|
| 0% | 4.14 | 90.49 | 293.90 | 161.22 |
| 20% | 4.30 | 76.07 | 271.99 | 156.14 |
| 30% | 4.28 | 70.01 | 257.36 | 148.14 |
| 40% | 4.16 | 61.86 | 238.78 | 135.98 |
ii) Peeled Grated Cassava in Broiler Diet (Eruvbetine, 1996)
Cassava tubers were peeled and grated before drying prior to inclusion in broiler diets.
Body weight of broilers at 30% inclusion level was similar to that of the control (Fig 19).
Fig 19: Peeled Grated Cassava on Body Weight of Broilers
The feed conversion ratio at 30% inclusion was also similar to that of the control (Fig. 20).
Abdominal fat % decreased progressively as the level of peeled grated cassava increased with significantly lower levels at 30 and 40% levels in relation to the control diet (Fig 21).
Cost evaluation of these diets also shows that both total cost of diets and cost per kg diets reduced in the cassava based diets (Table 12).
**Table 12: Cost Evaluation of Peeled Grated Cassava Diets for Broilers**
| Treatment | Quantity of Feed (kg) | Total Cost (N) (1994) | Total Cost (N) (2008) | Cost kg Body wt.(N) (2008) |
|-----------|-----------------------|-----------------------|-----------------------|----------------------------|
| 0 % | 5.62 | 121.42 | 390.53 | 199.66 |
| 30% | 5.57 | 90.60 | 325.10 | 181.22 |
| 40% | 5.11 | 76.56 | 276.76 | 151.40 |
iii) Unpeeled grated cassava in Broiler diets (Eruvbetine and Pius (1996).
Cassava tubers were grated with peels and included in diets for broilers. Body weight at 10% level of inclusion was similar to the control diet. This was because broilers cannot tolerate high levels of fibre and the presence of the peels in the diet resulted in higher fibre content in the diets (Fig 22).
**Fig. 22 Unpeeled Grated Cassava on Body Weight of Broilers**
Feed conversion ratio was not affected by the inclusion of unpeeled grated cassava meal in the diets (Fig. 23).
Fig. 23: Unpeeled Grated cassava on FCR in Broilers
Marked decrease in abdominal fat content was recorded when unpeeled grated cassava was included in the diets. (Fig. 24).
**Fig. 24: Unpeeled Grated Cassava on Abdominal Fat**
Cost evaluation also show that unpeeled grated cassava reduced cost of feed and cost per kg body weight (Table 13).
Table 13: Cost Evaluation of Unpeeled Grated Cassava in Broilers (0-8 weeks)
| Treatment | Quantity of Feed | Total Cost (N) (1992) | Total Cost (N) (2008) | Cost/kg Body Wt. (N) |
|-----------|------------------|-----------------------|-----------------------|----------------------|
| 0% | 5.11 | 117.60 | 360.64 | 191.54 |
| 10% | 4.82 | 105.11 | 320.48 | 181.99 |
| 20% | 4.59 | 91.52 | 287.10 | 175.06 |
| 30% | 4.23 | 77.60 | 247.62 | 154.76 |
iv) Unpeeled Cassava meal in Cockerel Diets (0-18 weeks) (Eruvbetine et al 1996).
Cassava was chipped with peels and included in diets for cockerels.
Inclusion of 10% unpeeled cassava in cockerel diets resulted in body weights similar to the control as reported by Eruvbetine et al. (1996) and shown in Fig. 25.
Fig. 25: Unpeeled Cassava on Body Weight of Cockerels
Feed conversion was best with inclusion of 10% unpeeled cassava in cockerels diets (Fig. 26).
**Fig 26: Unpeeled Cassava on FCR of Cockerels**
Total cost of feed and cost per kg diet reduced with increasing levels of cassava in the diets (Table 14).
**Table 14: Cost Evaluation of Unpeeled Cassava Diets for Cockerels (0-18 weeks)**
| Treatment | Quantity of Feed (kg) | Total Cost (N) (1996) | Total Cost (N) (2008) | Cost/kg body wt (N) (2008) |
|-----------|-----------------------|-----------------------|-----------------------|----------------------------|
| 0 | 8.97 | 152.27 | 497.03 | 277.36 |
| 10 | 8.78 | 143.86 | 452.96 | 254.76 |
| 20 | 8.89 | 136.18 | 427.70 | 245.80 |
| 30 | 8.52 | 122.11 | 383.14 | 220.45 |
v) Unpeeled Cassava Meal in Diets for Layers
(Eruvbetine and Oguntona, 1998)
Cassava was chipped with peels and included in diets for layers.
Hen-day production was similar to the control with the 20% inclusion level of unpeeled cassava in the diets according to Eruvbetine and Oguntona (1998) as shown in Fig. 27.
Fig. 27: Unpeeled Cassava on Henday production
Daily Feed consumption was low at the 20 and 30% levels of inclusion of unpeeled cassava (Fig. 28).
**Fig. 28: Unpeeled Cassava on Feed consumption in Layers**
Abdominal fat % was significantly reduced at the 20 and 30 levels of inclusion of unpeeled cassava (Fig. 29).
Fig. 29: Unpeeled Cassava on Abdominal fat of Layers
No significant differences were observed in all the egg quality parameters as a result of the inclusion of unpeeled cassava meal in the diets (Table 15).
**Table 15: Effect of Unpeeled cassava meal diets on Egg quality of Layers**
| Parameter | 0% Cassava | 10% Cassava | 20% Cassava | 30% Cassava | SEM |
|----------------------------|------------|-------------|-------------|-------------|-----|
| Egg Weight (g) | 58.73 | 57.07 | 57.32 | 57.75 | 0.37|
| Haugh Units | 71.35 | 72.90 | 69.92 | 72.22 | 1.41|
| Shape index | 0.82 | 0.82 | 0.81 | 0.81 | 0.01|
| Shell thickness (mm) | 0.355 | 0.344 | 0.349 | 0.346 | 0.01|
| Yolk colour | 2.27 | 2.37 | 2.30 | 2.47 | 0.05|
(b) REDUCING CHOLESTEROL CONTENT OF EGGS AND MEAT THROUGH CASSAVA-BASED DIETS
From the previously reported studies, one key observation was that both in broilers and layers, the abdominal fat content in the carcass was low when cassava was included in the diet. Thus, it was speculated that cassava has some influence on fat metabolism. Since the last two decades, much interest has been raised on the role of cholesterol in human health. Eggs contain about 200-300mg cholesterol as reported by USDA (1989). The cholesterol content of eggs is a potential disadvantage for the use of eggs in human diets bearing in mind the consumer’s fear for cholesterol and heart disease. This has given rise to continued interest by consumers to reduce dietary fat and cholesterol with attendant decline in egg consumption in the last few years. Thus, any reduction in the cholesterol content of market/table eggs, therefore, understandably becomes a subject of interest to both egg producers and health conscious consumers. At the Nigerian level of egg consumption (0.2 eggs per head per day), no evidence of too much egg consumption has been established to warrant any nutritional alarm. However, health conscious individuals who can afford the luxury of eating an egg a day are now concerned about regulating their intake of eggs.
Several reports have been made available about the myths surrounding the cholesterol content of eggs; cholesterol has long been an evil foe in the eyes of popular science. Consequently, eggs have received a bad rap because of the amount of cholesterol found in the yolk. But before you start throwing out those yolks, here are a few things to keep in mind about the cholesterol found in eggs:
Plate 1: A Freshly laid egg
Reasons Not To Worry About Cholesterol In Egg Yolks.
Cholesterol is vital to body functions and required for construction, maintenance, and normal function of the cell membranes. Your cells could not function without cholesterol. Cholesterol also helps to create bile which aids in the process of digestion of fats. Bile helps to metabolize fat soluble vitamins A, D, E and K. Guess what? All of these fat soluble vitamins are found in the egg yolk along with the cholesterol.
(i) Your body produces more cholesterol than you eat
Cholesterol in the blood comes mainly from your liver and from your diet. The amount of cholesterol your body produces is directly related to how much cholesterol you ingest. When you eat a low cholesterol diet, your body produces more cholesterol. This is why a low cholesterol diet does not decrease a person’s overall blood cholesterol level.
(ii) High Cholesterol Alone Does Not Cause Heart Disease
High cholesterol helps fight against infection. People with low blood cholesterol have the same rate of heart disease as people with high cholesterol. It is the ratio between high density lipoprotein (HDL) “good cholesterol” and low density lipoprotein (LDL) “bad cholesterol” that matters much
(iii) Cholesterol Found in Eggs Raises Your HDL levels and Lowers LDL levels
The fat in eggs (when you buy from healthy chickens) contains a large amount of omega 3 fatty acids. These fatty acids have been shown to raise HDL and lower LDL. However, vast majority of the fat contained in eggs is found in the yolk.
(iv) Eggs Help lower the triglyceride level in the blood
Triglyceride levels are usually much better indicators of coronary risk than cholesterol. High triglyceride levels in the bloodstream cause atherosclerosis, increasing the risk of heart disease and stroke.
(v) High Cholesterol intake raises testosterone levels
Testosterone is imperative for overall health. Testosterone increases natural energy levels, produces red blood cells, and protects against aging and osteoporosis.
In conclusion, there is absolutely no reason why egg yolks cannot be consumed by everybody. Cholesterol is vital and important for normal cell functioning.
However, efforts have been made by Researchers to reduce
the cholesterol content of eggs by dietary manipulation. Due to the role of cassava in fat metabolism as observed from our own research, a series of studies conducted in the department were focused on the use of cassava in the diets of layers and broilers and their effects on cholesterol content of eggs and tissues.
(i) Cholesterol content of eggs from diets with Unpeeled Cassava meal in layer diets (Eruvbetine et al. 2000).
Yolk cholesterol content reduced significantly at the 10 and 20% levels of inclusion of unpeeled cassava meal (Table 16)
Table 16: Effects of Unpeeled Cassava in layer diets on egg and yolk cholesterol contents
| Level of Unpeeled Cassava meal | Egg cholesterol (mg/egg) | Yolk cholesterol (mg/g yolk) |
|-------------------------------|--------------------------|-----------------------------|
| 0% | 160.52 | 11.70a |
| 10 % | 156.00 | 10.85b |
| 20 % | 148.20 | 10.69b |
| SEM | 1.11 | 0.36 |
As the level of unpeeled cassava meal increased with increasing duration of feeding, the egg and yolk cholesterol contents decreased (Table 17).
Table 17: Duration and Level of Unpeeled cassava meal inclusion on egg and yolk cholesterol content of eggs
| WEEKS | EGG mg/egg | YOLK mg/g |
|-------|------------|-----------|
| | 0% | 10% | 20% | 0% | 10% | 20% |
| 0 | 163.59 | 167.69 | 178.62 | 11.71| 11.58 | 11.69 |
| 2 | 156.73 | 151.75 | 149.35 | 11.69| 10.47 | 10.94 |
| 4 | 152.42 | 133.97 | 144.23 | 11.71| 9.74 | 10.24 |
| 6 | 165.13 | 172.23 | 147.47 | 11.69| 11.55 | 11.29 |
| 8 | 167.81 | 166.26 | 151.70 | 11.71| 11.65 | 10.25 |
(ii) Cholesterol content of eggs from unpeeled Cassava meal in layer diets (0-40 weeks)
As the level of unpeeled cassava root meal in the diets increased, irrespective of the period of lay, there was a decrease in yolk cholesterol content (Idowu and Eruvbetine, 2004). However, in all levels of inclusion, as the period of lay increased, the yolk cholesterol content increased as shown in Fig 30.
(iii) Cholesterol content of eggs with cassava sievate in layer diets (Idowu et al. 2005).
Cassava sievate, a by product from fufu production was included in layer diets.
There was a decrease in both yolk cholesterol and egg cholesterol content in eggs as the level of cassava root sievate increased as shown in (Fig. 31).
The exact mechanism by which cassava reduces cholesterol levels is still not very clear. It is, however, known that high fibre diets bind bile salts and other organic materials, such as, cholesterol, thus, forming a complex at the absorption site, thereby, reducing its absorption. It is also possible that fibre shortens the intestinal transit time and increases fecal steroid excretion. Cassava, especially the unpeeled cassava and cassava sievate, which is a by-product from fufu production, has high levels of fibre which may be responsible for this.
(c) ENHANCING PROTEIN CONTENT OF CASSAVA
One of the major limitations of cassava utilization in poultry diets as a replacement for maize is the low protein content of cassava.
(i) Increasing Protein content through aerobic fermentation
One of the methods of increasing protein content is by fermentation. In this study, cassava chips were heaped separately for periods of 0, 3, 5 and 7 days both in the wet and dry seasons. Protein values for the two varieties used in the two seasons were as shown in Tables 18 and 19. There was a slight increase in protein content by day 3 irrespective of the season in both varieties used as reported by Eruvbetine and Adegboyega (1997).
Table 18: Dry season protein values of cassava after aerobic fermentation (%)
| Variety | 0 Day | 3 Days | 5 Days | 7 Days |
|---------|-------|--------|--------|--------|
| OTA | 2.27 | 2.63 | 1.90 | 2.00 |
| TMS | 1.28 | 1.35 | 1.22 | 1.23 |
Table 19: Wet season protein values of cassava after aerobic fermentation (%)
| Variety | 0 Days | 3 Days | 5 Days | 7 Days |
|---------|--------|--------|--------|--------|
| OTA | 2.48 | 2.77 | 2.40 | 2.27 |
| TMS | 3.76 | 4.01 | 3.71 | 3.39 |
(ii) Enhancing Protein Content through Anaerobic fermentation
From the earlier experiment, it was ascertained that the presence of a suitable microbe under anaerobic conditions may facilitate the conversion of the carbon skeleton to protein in the presence of a nitrogen source. Thus, a study was conducted (Eruvbetine and Adegbenro 1999a) to determine the protein content of cassava substrates inoculated with *Aspergillus niger* and anaerobically fermented with two different nitrogen sources (Table 20).
Table 20: Protein content of cassava inoculated with *Aspergillus* SPS after anaerobic fermentation (%)
| Nitrogen Source | 0 Days | 2 Days | 4 Days | 6 Days |
|-----------------|--------|--------|--------|--------|
| Control | 2.30 | 2.10 | 2.62 | 2.36 |
| Poultry waste | 2.80 | 4.73 | 3.78 | 2.45 |
| Urea | 14.36 | 20.50 | 33.13 | 27.53 |
This study showed that anaerobic fermentation of cassava inoculated with *Aspergillus niger* organisms in the presence of urea did result in an increase in the protein content of the cassava by Day 4.
(iii). Enhancing Protein content of cassava through inclusion of cassava leaves
Another study conducted to increase protein content of cassava was the mixing of cassava leaves and tubers together in different proportions and processing conditions and under different drying conditions (Tables 21, 22 and 23). Protein content was best with 50:50 proportion under sun drying, while the best processing technique was mixing the two and grinding before sun-drying (Eruvbetine et al., 2003).
Table 21: Mixing proportion on proximate composition of leaf tuber concentrate
| Proportion | DM % | CP % | EE % | CF % | ASH % | NFE % |
|------------|------|------|------|------|-------|-------|
| 50:50 | 88.19| 12.41| 9.99 | 11.09| 4.56 | 50.11 |
| 60:40 | 89.00| 9.48 | 8.69 | 8.60 | 4.00 | 58.23 |
| 80:20 | 89.19| 7.00 | 9.26 | 6.24 | 3.25 | 63.44 |
Table 22: Method of drying on proximate composition of leaf tuber concentrate
| Drying Method | DM % | CP % | EE % | CF % | ASH % | NFE % |
|---------------|------|------|------|------|-------|-------|
| Sun Dry | 87.67a | 10.88b | 9.96b | 9.39b | 4.08b | 53.35d |
| Oven-Dry | 89.92b | 8.38a | 8.66a | 7.91a | 3.79a | 61.18b |
Values with different letters in a particular column are significantly different (p≤0.05).
Table 23: Mixing process on proximate composition of leaf tuber concentrate
| Mixing Process | DM % | CP % | EE % | CF % | ASH % | NFE % |
|----------------|------|------|------|------|-------|-------|
| Drying Before Mixing | 89.49 | 8.68 | 9.96 | 8.80 | 3.11 | 58.94 |
| Mixing Before Drying | 88.13 | 10.58 | 9.50 | 8.50 | 3.96 | 55.59 |
The HCN content was lower in sun-dried samples, while mixing and drying the sample also had lower HCN content (Table 24).
Table 24: HCN content of samples (mg/g)
| Drying Method | Level HCN | Mixing Process | Level HCN | Proportion | Level HCN |
|---------------|-----------|----------------|-----------|------------|-----------|
| Sundry | 0.162 | Dry & Mix | 0.279 | 50:50 | 0.235 |
| Oven Dry | 0.318 | Mix & Dry | 0.201 | 60:40 | 0.278 |
| | | | | 80:20 | 0.208 |
An in vivo study was also conducted using samples of processed cassava. Tubers and leaves were mixed in a 50:50 proportion before sundrying and fed to broilers at different levels of inclusion (Table 25).
**Table 25: Performance of broilers fed different levels of cassava leaf tuber concentrate**
| Parameters | Concentrate 0% | Concentrate 10% | Concentrate 20% | Concentrate 30% |
|-----------------------------|----------------|-----------------|-----------------|-----------------|
| Body weight 4 weeks gm. | 855.50 | 744.11 | 651.90 | 54.70 |
| Body weight 9 weeks gm. | 2345 | 1935 | 1750 | 1441 |
| Total Feed intake kg. | 6.17 | 4.36 | 4.31 | 3.82 |
| FCR | 2.63 | 2.25 | 2.46 | 2.65 |
| Mortality % | 3.33 | 6.66 | - | 3.33 |
It was observed that inclusion of 10% concentrate in the diet showed some promise in terms of body weight gain, total feed intake and feed conversion ratio.
**(d) IMPROVING PROCESSING TECHNIQUES OF CASSAVA**
One of the drawbacks of cassava is its powdery nature making milling very difficult and resulting in wastage. A study
was conducted to look at the means of improving the texture of cassava flour while still retaining its nutrient quality. In this study (Eruvbetine and Adejobi 1999), peeled cassava and raw soybeans were processed together in different proportions and heating methods. The best processing technique obtained was boiling 2 parts of soya beans for 20 minutes and, thereafter, adding 3 parts of raw cassava chips and further boiling for 20 minutes. The mixture was then sun-dried on flat concrete floors before grinding.
Raw Soybeans (2 parts)
↓
Boiling for 20 minutes
↓
Addition of Peeled Cassava chips (3 parts)
↓
Boiling for 20 minutes
↓
Sun drying for 5 days
↓
Grinding
Fig 32: Flow diagram for cassava-soya concentrate preparation
In vivo trials conducted (Eruvbetine et al., 1999b) with inclusion of 20 and 30% levels, of the concentrate showed that at 30% inclusion levels, final body weights and feed conversion ratios were comparable to that of the control diets (Table 26).
**Table 26: Performance of Broilers fed Cassava-Soy Concentrate Diets**
| Parameters | 0 % CONC. | 20 % CONC | 30% CONC |
|----------------------------|-----------|-----------|----------|
| Final Body wt (gm) | 1950 | 1930 | 1850 |
| Avg. feed Intake (kg) | 6.45 | 5.86 | 6.17 |
| Feed Conversion | 3.31 | 3.04 | 3.34 |
| Mortality (%) | 5.50 | 0.00 | 0.00 |
Realising the potentials of cassava as an animal feed ingredient, the Federal Government, as part of its cassava initiative program in 2003 made efforts to increase its utilisation in poultry feed. However, presently there are lots of contradictions in this program. The program does not seem to have made any positive impact, but rather was destroying
the viability of small scale farmers. Between 1.2 and 1.5m tonnes of cassava is required for animal and poultry feeds while the requirement for ethanol production is about 1.2m tonnes. Additionally, the policy requirement for flour containing 10% cassava could involve an additional 380,000 tonnes annually. Being the largest producer of cassava in the world today (40-50m tonnes annually), there is no doubt that the country can meet these needs even at its present production level. So why has the program failed? Recently, the President of the country set up a Presidential Technical Committee to look into the problems in all its ramifications and make recommendations. The major problem identified was the cost of production. In spite of the large production capacity, the country cannot make cassava products competitive both locally and internationally. The committee also has the mandate to set up cassava revolution committees at the state and local government levels for participation and involvement of farmers from the grass roots. Therefore, the country would need to exploit this useful crop and use it to maximum advantage. The 1.5bn US dollar revenue and the “White Revolution” goals of the Cassava Initiative Program is not a dream but a challenge which all stakeholders must overcome. This would also bring about a radical change or revolution in the feed industry.
5.0 NEED AND MEANS FOR EFFECTING A FEED REVOLUTION
Over the years, the carrying capacity of planet earth has long been exceeded. Land has been degraded through overstocking by both livestock and humans. We continue to crop land which is marginal, has inadequate rainfall, unsuitable soil-type and insufficient organic matter leading to erosion.
Currently there is a population of over 6.5 billion people on planet earth as indicated earlier and increasing every year and more rapidly in the developing world. Is there sufficient arable land to grow the food and feed required? Apart from food and feed, there is a driving force in the US especially for biofuel production which has serious impact on the entire world. Presently estimated arable land for crop production is 500 million hectares. According to Farrel (2009), a total of 680mmt of feed was produced in 2007. If there is an annual 1.4% increase in rate of feed produced, by 2015 we will need 780mmt of animal feed.
Presently land requirement is as follows:
For food: Land requirement for grain cultivation of 260 mmt
For feed: Land requirement for grain cultivation of 35 mmt
For feed: Land for protein oilseed cultivation of 95 mmt
For Biofuel: Land requirement for grain cultivation of 100 mmt
TOTAL 490 mmt
This means that the world needs to double its existing land hectarage for cultivation of grain and protein sources by 2015. How do we as Feed Users solve the problem of increased requirement? Is increasing production the answer to our question? The problems associated with increased production which in variably contribute to climate changes, global warming, green-house gas emission necessitate seeking other solutions to this problem. These solutions are already gradually in place but the slow pace of change may not be sufficient to bridge the widening gap in terms of requirement. Thus, there is need for radical changes or a revolution in the feed industry to bring about a lasting effect. The changes that are currently ongoing and new changes proposed are categorized as follows:
- Utilization of available feed ingredients effectively
- Sourcing for non-conventional feed ingredients
- Looking for ingredients not competing with man but are environmentally friendly
- Embracing Genetic improvement of feed resources
- Adopting innovative technologies
- Proper monitoring and availability of raw materials
Utilization of Available Feed Resources Effectively
One of the most promising technologies in increasing utilization of feed ingredients is the inclusion of exogenous enzymes as feed additives. Efficient digestion and uptake of nutrients is the key to ensuring that the bird gets the most out of each ration irrespective of formulation. Some of the fibrous components in feed ingredients cannot be digested by the natural enzymes present in the gut and are, hence, excreted out undigested. In this respect, the inclusion of specific enzymes for the particular component within the ingredients could be utilized for effective digestion and release of nutrients. The use of enzymes can be categorized into four areas:
(i) Removal of anti-nutritional factors
(ii) Increasing digestibility of existing nutrients
(iii) Increasing the digestibility of non-starch polysaccharides (NSP).
(iv) Supplementing host endogenous enzymes.
Fortunately, major advances in enzyme and fermentation technology means that there are good commercial products available that increase digestibility and nutrient availability. This is particularly important wherever poorer quality raw
materials or reduced specification diets containing byproducts are used.
Recent advances in the use of in-feed enzymes and fermentation technology not only improve production levels, but also reduce variability in the performance of all types of poultry and allow the use of raw materials with lower nutritional value. Due to the economic climate and raw material availability, cereals typically used as the main ingredients in diets are replaced with byproducts of lower grade raw materials.
Of recent much importance has been given to the use of probiotics in poultry feeding. Probiotics are microbes that protect the host and prevent diseases. It has fastly replaced antibiotics as a growth promoter. Other feed additives such as prebiotics – feed for enhancing growth of favourable microorganisms in the gut and mycotoxin binders to counteract effects of mycotoxin have also been used to promote effective feed utilization.
**Unconventional feed ingredients**
A lot of interest has been developed over the years in Nigeria over unconventional feed ingredients. What are unconventional feed ingredients? These are feed items which are
not normally the first choice material to supply required nutrients. They can be whole products, part of a product or byproducts of industries. They may be of either plant or animal origin. Usually they are of lower prices and inferior nutritional qualities than the conventional ones. There is also need to have their nutritional content and value improved upon.
**Unconventional energy sources**
Plant Products: wheat bran, wheat offal, rice bran, rice husk, biscuit waste, cassava chips, cassava waste, cassava sievate, cassava grits, cassava peels and cocoa pod husks.
Recently at the University of Ibadan, a new product called cassava grits has been produced, tested and patented. It is comparable to maize and being used in large scale commercial farms (Iyayi, 2009). (plates 2 and 3)
Plate 2: Cassava Grit in bag
Plate 3: Raw cassava grits
Unconventional protein sources:
Plant proteins: Sesame seed meal, Rapeseed meal, Safflower meal, Sunflower meal, Rubber seed meal, etc.
Animal protein: Shrimp waste meal, Hydrolyzed feather meal, maggot meal, etc.
New alternatives with potential, and available worldwide
(i) Distillers dry grain solubles (DDGS): By product of the distillery industry such as distillers dried grain have long been used. However, modern DDGS from ethanol fuel is equal or superior to the “old” DDGS. It is apparent that there is a variation in many of the essential nutrients especially as corn itself is of variable nutrient content (Table 27).
Table 27: Nutrient Composition of DDGS
| Component | Percentage |
|-----------------|------------|
| Dry Matter | 89.36% |
| Crude Protein | 26.45% |
| Fat | 10.08% |
| Fibre | 6.99% |
| Calcium | 0.07% |
| Phosphorus | 0.77% |
| Lysine | 0.73% |
| Methionine | 0.50% |
As ethanol production from corn increases, there is growing interest in modifying its production technology. This will result in different types of by-products that may have superior or inferior nutritional content. It will be necessary for Nutritionists to be sure that they have accurate values to be used in the diet. Ethanol producers should work with the feed industries to provide characteristic nutrient values for such new products as they develop. DDGS does not only replace corn, in addition it replaces soybean, bone meal, phosphorus, methionine, etc.
In Nigeria we have Brewers Dry grain which is obtained from the brewing industry. This is a popular product and is used widely for poultry feed. However, its availability is also irregular. Any attempts made in Nigeria to produce ethanol should focus on the byproducts that can be used effectively for animal feeding.
(ii) Glycerin: Of recent, a sugar company in the Middle East (Dubai) is supplying sugar syrup at an affordable price to poultry feed producers. The high levels of sugar provides higher ME value than corn (John, 2008) (Tables 28 and 29)
Table 28: Composition of corn and sugar syrup
| Component | Corn | Sugar Syrup |
|---------------|--------|-------------|
| Dry Matter % | 89 | 80 |
| Crude Protein % | 9.6 | 4.6 |
| Fibre % | 2.5 | 0 |
| Fat % | 4.1 | 0 |
| Ash % | 1.5 | 6 |
| NDF % | 14.5 | 0 |
| ADF % | 2.0 | 0 |
| Starch % | 75 | 0 |
| Sugar % | 0 | 70 |
| ME (MJ/kg) | 13 | 14 |
| Calcium % | 0.1 | 0.92 |
| Phosphorus % | 0.3 | 0.2 |
| Magnesium % | 0.1 | 0.17 |
| Potassium % | 0.4 | 0.85 |
| Sodium % | 0.1 | 0.1 |
| Lysine % | 0.80 | 0.02 |
Source: John (2008).
Table 29: Energy Availability of Starch and Sugar
| Component | GE kcals/kg | ME kcals/kg | Metabolisability % |
|-----------|-------------|---------------|--------------------|
| Starch | 3760 | 2918-3396 | 78-90 |
| Sucrose | 3960 | 3900 | 98 |
Source: John (2008).
Other Advantages of sugar syrup in feed
- Increases palatability
- Improves DM digestibility
- Reduces Dustiness
- Inhibits Mould
- Stops insect infestation during storage
- Acts as a binder
- Increases energy density of the ration
- Masks less palatable ingredients
- Substitute for grain
- Free of aflatoxin
- Decreases gut viscosity
Although the high price of sugar may not necessarily warrant its use, glycerin which has a high sugar content can serve as a ready substitute.
Increased government pressures for biofuel had led to a significant increase in biodiesel production, resulting in increased availability of glycerin as a byproduct. Glycerin has been used successfully in broiler diets at a level of 10% for up to 42 days in the US (Waldroup et al., 2007). However, there are still problems associated with it related to mixing and flow of ingredients and the high levels of potassium in residual glycerin. Glycerin has a lot of potential as a feed ingredient if issues such as product consistency, methanol, sodium and potassium levels and mixture flow are better understood.
From 2006 to 2007 biodiesel production doubled from 250 million to 450 million gallons making an additional 18 million gallons of glycerin available. Dozier et al. (2008) observed that the AME of Glycerin inclusion in broilers was 92-95% of GE. This shows that it can be utilised effectively as an energy source.
Of recent, a crop referred to as “Petrocrop” has gained much importance worldwide. *Jatropha curcas* is a plant belonging to the family euphorbiaceae. This crop is of particular value as it cannot be consumed by humans and, hence, is not in competition for human utilisation. In Malaysia, in order to protect their oil palm plantation from being exploited, acres of oil plantation crops have been intercropped with jatropha seedlings. The plant grows on loose sandy soils and can tolerate temperatures ranging from 16-40°C. The plant on maturity produces fruits whose seeds have an oil content of 32-36%. Seeds from 1ha of Jatropha plantation could produce 7-10 litres of biodiesel. Several countries worldwide including Malaysia and India have embarked on massive plantations of Jatropha and have harvested the potentials of this crop effectively, not only for biodiesel but also for several other products and byproducts.
Fig 33: Flow diagram for Glycerol production from Jatropha
Plate 4: Jatropha Plots (www.svlele.com)
Plate 5: Jatropha Flowers (www.svlele.com)
Plate 6: Jatropha Fruits (www.sylele.com)
Plate 7: Jatropha Seeds (www.svele.com)
Genetic improvement of feed resources
Biotechnology is a modern tool by which crops and animal improvements are possible by applying cell and gene technology. Agricultural biotechnology brings together advanced disciplines of biology, genetics, molecular biology, biophysics, biochemical engineering and computer science. The potential contribution of biotechnology as it relates to feed is the Genetically Modified (GM) feedstuff and feed additives. There is improvement in feed through improving nutrient content as well as the digestibility of low quality feeds. With the help of modern science, the increase in food production in recent decades has kept pace to meet the needs of the ever growing population in most parts of the world. According to Swaminathan (1999), the term “Green Revolution” has now been replaced by “Gene Revolution”, where science and technology are addressing most issues pertaining to crop production at a cellular level.
Some of the limitations facing feed nutrition are the antinutritive factors like trypsin inhibitors, saponins, tannins, phytates, oxalates and high fibre. Developing genetically modified grains having improved nutritional values could solve these problems. Low phytate corn will bring about less excretion of phosphorus in the litter and also prevent pollution of the environment. High oil corn will not only improve oil
content but also protein content resulting in better performance of birds. Low oligosaccharide soybeans improve digestibility in the birds, while high lysine soybeans increase the lysine content by 3-5%, thereby, reducing additional supplementation of lysine in the diets. However, all such newly introduced products need to be tested and certified before being introduced into the market. There is a lot of controversy today with respect to the use of GM foods. But it is a technology that is necessary to meet the demands of the ever increasing population.
According to MaxPlank:
*A new scientific truth does not triumph by convincing its opponents but rather because its opponents die and the new generation grows up that is familiar with it.*
**Innovative Technologies**
**Nano Technology**
Poultry farmers have given much emphasis on issues such as biosecurity, feed prices and environmental restrictions. While the world has focused on affecting the birds from outside in, one novel approach looks at affecting the bird from the inside out. This is a unique approach in providing critical cellular nutritional components at a nano level thereby
directly affecting the health of the bird and allowing nature to exploit the intrinsic ability of the bird to resist disease, maximise growth potential, improve feed conversion ratios and reduce environmental impacts. How is it done? The nutrition particle (one billionth of a meter) is delivered in water as small clusters. Each cluster has the nutrition particle in the centre. Due to its small size, assimilation is in the gullet and no digestion is required. Since the shell of the cluster is the water, it is readily absorbed.
A commercial product Nano Nutrient Formula produced by Nano Nutrient Aviagen has been proven to be effective in reducing the cost of feed and increase in body weight of broilers. A 20% reduction in cost was recorded in broiler production (Table 30) according to Diaz (2007).
**Table 30: Comparative cost of using Nano Feed and Standard Feed**
| Parameter | Standard Feed | Feed + Nano Nutrient Formula |
|-----------------|---------------|------------------------------|
| Cost/broiler | $1.6 | $1.28 |
| Reduction % | | 20% |
Cost of Formula is 0.08c/bird
A similar nano product called ‘Atovi’, commonly referred to as “wonder powder” was developed in the Philippines by an Industrial Engineer. Remarkable improvement in growth of broilers achieving market weight in 35 days, a sharp drop in vaccination and medication expenses and a 30% drop in chicken manure were recorded. The cost of production of a broiler was reduced by 20%.
**Raw material availability and monitoring**
This is a role where Government should make a heavy impact and investment. The following plan of action are suggested:
(a) **Availability of Source of Ingredients**
- Heavy subsidies for increased production of raw materials on a large scale wherever necessary. Proper storage mechanisms and even distribution of grain reserves and other vital inputs.
- Encourage the production of new crops suitable to the particular geopolitical zone. In Nigeria, we are totally dependent on corn as an energy source and soybeans as the protein source in diets for poultry. Scarcity of any of these two ingredients can result in a crisis in the industry. In most countries alternative protein sources such as sunflower seeds, rapeseed, safflower, etc, have proved useful. These are crops that can be cultivated in Nigeria and efforts should be made to go into large scale production of these crops.
- Mandatory 5-10% investment of profits from multinational companies to go directly into farming investments (Bello, 2008)
- Adjustments of land laws to accommodate large scale farming (Bello, 2008)
- Increased budgetary allocation to the crops department of the Ministry of Agriculture for massive production.
(b) **Standardization of the Feed Industry**
- Standards Organisation of Nigeria (SON) should be involved fully in the monitoring of materials used in and products derived from the feed industry
- NAFDAC should ensure strict adherence to the quality of all feed additives, chemicals and premixes produced
- Special supervisory bodies for the monitoring of commercial feed millers, toll mixers and on-farm producers and ensure that such feed has nutritional labeling and certificates of analysis. Laboratories used should also be certified and accredited. Feed millers should also conform to standard practices of data and record keeping in approved formats.
6.0 REFLECTIONS AND THOUGHTS ON THE UNIVERSITY SYSTEM AND ACADEMICS
Mr. Vice-Chancellor Sir, at this point kindly grant me permission to ponder and express some of my thoughts on the University and Academics in general. A student who enters the University is a “raw material” who undergoes “value addition” and on graduation becomes a product that is marketable. The quality of the product determines its marketability. We as Academics have an important role to play in this “value addition”. It means equipping our students with technical skills and knowledge and the embodiment of character together with adequate entrepreneurial abilities to enable them make meaningful contributions to society. Each and every academic by his/her own devoted and committed service can make this possible and the collective roles played by all will contribute to the quality and unique products we want to market. Our products will be known for its quality and that is what we have to strive for. I am happy that the current administration is also committed to this goal.
One of the objectives of the University is to produce graduates of Agriculture who are job creators and not job seekers. Have we achieved this objective.? Mr Vice Chancellor Sir, UNAAB in the 21 years of its existence has produced approximately 2000 graduates in Agriculture. Less than 5% of
these graduates have embarked on active agricultural enterprises. I am happy the Vice Chancellor recently initiated a program to assist our graduates and, today this program is to take off with the first batch of 60 graduates. My lecture today has highlighted several ideas for very viable and growing enterprise as it relates to feed that our graduates could embark on. Universities should either by partnerships or provision of facilities foster a thriving relationship with our graduates to enable them embark on such meaningful agricultural enterprises, not only within the University but also across our mandate areas. Such liaisons would have a multiplier effect that brings about agricultural growth and also ensure that our mandate is met.
The changing world has brought about many changes within the University system and Academia in general. Universities are now corporate entities, which have to a great extent, changed the face of academics. The thirst for knowledge and information is now focused more towards monetary gains. Students seek admission to programs that bring them maximum monetary gains rather than those which they may have a natural aptitude for. Basic research has been overcome by applied or problem-oriented research. An average academic would opt for positions and placements that have maximum monetary gains. In seeking this, the personal valvalues of genuinely imparting knowledge and making sacrifices for any extra efforts to ensure that our products are not ‘half baked’ is usually lost. In line with the current trends in the system the academia should also seek for avenues for sourcing of funds to enhance available resources for conducting research. Unfortunately in Nigeria, the challenges facing an average academic are numerous but the ability to overcome these challenges is the key to success.
*The time has now definitely come when every intelligent individual must learn to think globally, beyond the horizon of a narrow nationalist point of view.*
*Robert Maxwell (1923 – 91)*
Finally Sir, we Animal Scientists in Nigeria have now cause to rejoice in having achieved a rightful status for our profession. The establishment of the Nigerian Institute of Animal Science is a step in the right direction. It also gives a lot of hope for our graduates not only in terms of the training they receive but also in their future job prospects. I, however, wish to observe that our profession cannot work in isolation; there are other related professions which are relevant to our own needs, as such, we must strive to work cordially with our sister professions in achieving our final goals for a virile and solid livestock sector.
7.0 CONCLUSION
Mr. Vice-Chancellor Sir, I have tried in my presentation to give an overview of the feed industry and the necessity for a change in our traditional and current mode of operations as it relates to feeding our birds. The survival of the poultry industry rests solidly on the availability of feed. The feed resources available to us are limited and in order to keep up with the needs of our people for adequate protein supplies, through poultry meat and egg consumption, drastic measures must be taken. New ideas and technologies must be embraced to meet up with world’s growing demands for food. The slow pace of embracing innovations and technologies must be changed so that radical and immediate changes can be enforced. Countries which have larger populations than our own in the developing world are doing something right and are making giant strides in agricultural developments and are fast competing with the developed world even in poultry production. They have achieved self sufficiency in food production and are earning valuable foreign exchange through exportation of their surpluses. That the same raw materials, i.e., our valuable food crops are today competing for production of Food, Fuel and Feed is a cause for concern. The first choice of use is for Fuel followed by its use for food while production of feed is relegated to the last position. It is time for us to take these warning signals seriously. As suggested in my presentation, by-products of biofuel and biodiesel production are the answers to solving the ever increasing need for feed in the poultry industry. The effective utilization of products and by-products which do not compete as food for man is central to the achievement of the feed revolution. We in Africa, especially in Nigeria, must wake up to this realization and embrace these new ideas in order to bring about the much needed development for the continued survival of the feed industry and poultry production in particular.
8.0 RECOMMENDATIONS
There is an urgent need for a revolution in the feed industry to make sure that the industry does not go into a crisis.
- The recent lift in the ban on maize importation is a step in the right direction. However, to have any positive impacts, Government should ensure that the importation of maize is monitored and the tax of 80% is reduced so that it is economical for the feed millers to benefit from it. Distribution of the maize should also be effectively managed.
- While the cassava initiative program is laudable, the high cost of production of cassava has defeated the purpose of this program. More efficient and cost saving devices must be put in place to encourage farmers to go into
massive cultivation of cassava with a view to encouraging farmers to use cassava in feed for poultry.
- Planting of new crops like sunflower, rapeseed, etc., should be encouraged so that additional protein sources are available for feed production. These crops can be grown in the various geopolitical zones across the country and are not only useful for animals but also for human consumption.
- The new trends in biodiesel utilization must be encouraged not only to help relieve our dependence on fossil fuels but also to save our limited crop resources from being converted to fuel. Establishment of *Jatropha* sps which is a plant not in competition for use by man and at the same time environmentally friendly is a valuable option not only for production of biodiesel but also the numerous byproducts among which is glycerin which can be fed to animals.
- Active Research in Feed Biotechnology should be encouraged to provide suitable and adequate quantities of feed ingredients that can enhance quality feed production.
- Research studies on technologies, such as, Nano technology in relation to feed should be conducted in the country to bring about accelerated growth and maximization of profits.
• Government and private sector standardisation and monitoring mechanisms should be put in place to ensure that all feeds produced conform to proper quality control measures that would guarantee the safety of the products meant for human consumption.
9.0 ACKNOWLEDGEMENTS
“Count your blessings name them one by one
Count your blessings see what God has done
Count your blessings, name them one by one
And it will surprise you what the Lord has done”
I wish to firstly thank God for his numerous blessings in my life. He has been my guide and strength at all times, his protection, grace and favour has enabled me to get to where I am today. The blessed Virgin Mary and her glorious love has been a source of inspiration to me always.
As I go down memory lane, I cannot forget my teachers in my schools far away in Sri Lanka. The solid memorable foundation they gave me early in my life has been a good beginning for the pursuit of my academic career. To my colleagues and Teachers in India during my undergraduate days, I say a big Thank you for giving me all the challenges which helped me in my quest for attaining greater
heights. The days I spent while pursuing my graduate studies in Canada can never be forgotten. Special thanks to my late supervisors, Professors Clandinin and Robblee from the University of Alberta, Canada for believing in me and giving me the opportunity to pursue my dreams. My colleague Prof. John Kennelly is specially acknowledged for the special friendship we share, which time and distance has not marred. To my other colleagues in Canada, Evelyn, Anna, Goh, Rohini, Laki, Margaret and a host of others, I am grateful for the wonderful time we spent together. Special mention is also made of Profs. Bob Hudson and Bob Hardin.
To the University of Agriculture, Abeokuta I am eternally indebted for making me what I am today. I wish to thank the pioneer Vice Chancellor, Prof. N.O. Adedipe, for opening the door for me to enter this great institution and begin my career. My deep gratitude is also extended to Prof. J.A. Okojie for touching my life in many ways. Prof I.F. Adu and Prof. I. Adamson are also gratefully acknowledged. UNAAB deserves the best and we have got the best since the appointment of the current VC Prof. O.O. Balogun, “Outstanding people have one thing in common, an absolute sense of mission” (Zig Zigler). His exemplary leadership has been an inspiration not only to me but many others
in helping us fulfill our goals. I am honoured to be a part of his team and associated with the giant strides of progress in this University. Thank you sir for taking UNAAB to greater heights. Professor G.M. Babatunde, who was everybody’s teacher was also my own teacher by proxy and I thank him for his objective advice always. I make special mention of Professor E.B. Oguntona, whose guidance in the early stages of my career assisted me greatly. To my HOD’s in the college, fellow professors and other colleagues I thank you all for your co-operation at all times. At this point, I wish to reminisce about my dear colleague and friend, late Professor W.O. Biobaku. We had a very special friendship that we shared. His vibrant personality is always alive in my memory. May his soul rest in peace wherever he may be. Special mention of Professors, Bamgbose, Osinowo, Ozoje and Onagbesan for their wonderful support at all times. To my other colleagues Doctors Arigbede, Jegede, Sobayo, Oso, Fafiolu, Sogunle, Peters, Ladokun, Isah, James, Bemji and every one else, I cannot but say thank you for your confidence and belief in me. The loyalty of all staff in the Dean’s office cannot but be mentioned. The warm and endearing atmosphere in the office has always been comforting to me. All farm staffs are also duly acknowledged. Other colleagues in the University, Professors Afolami and Afolami, Professor Clara Oguntona, Professor Olasatan, Professors
Dipeolu and Dipeolu and so many others all of whom I cannot mention by name, I thank you for your friendship, support and care always. To my friends and colleagues from other Universities I am grateful for your care and fellowship. To my colleagues and friends from Delta State University, I am thankful for the wonderful care and love given to me and for making me feel like being among family during my sabbatical leave. All my students, undergraduate and postgraduate, over the last 20 years, have been a constant source of inspiration and motivation for me. I thank you all for the continuous intellectual stimulation that you have given me. I wish to express my special thanks to fellow members of the World’s Poultry Science Association. Mr. Yusuf, Mr. Koleosho, Mr. Akanbi and Mr. Salami for their solid support to the association always.
A home far away from home was provided for me by Mr. and Mrs. Embrandiri (from India) during their sojourn in Nigeria. They opened the doors of their home to me when I first arrived in Abeokuta and helped me to settle down and adapt to my new environment while I was pursuing my career in UNAAB. My bountiful appreciation to them always. I cannot but mention the love and care of my late landlord, Chief Oluyemi and his wife, Mrs. Debora Oluyemi, for providing me with comfortable accommodation for the last 19
years in Abeokuta. The warm care and love extended to me made me look upon them like my own parents. I am earnestly grateful to them. By this I think I can now even qualify to pass as an “Egba woman”. My other friends in Nigeria, Mrs Atim Umoh, Mrs. Pat Chukura, Mrs. Aiboni, Angela and Mrs Osamluyi are also fondly remembered.
To my parents Mathew and Sosamma Thomas of blessed memory, I owe everything. They provided me with a wonderful childhood and gave me the opportunity to have an education which they felt was the best legacy they could give me. Their belief that the only way to success was by hard work has been my guiding principle in life. I thank God for the sense of values and discipline that they instilled into my life during my tender age. To my siblings, I thank them for the good times we had together in our childhood. My late sister Mercy for being a role model for me and my late brother George for his special love for me at all times. My brother, Mathew I thank him for his care. My sister Grace and Brother-in-law Yogesh, have always been there for me, they have shown that time and distance does not weaken the bonds of family. Their presence in my life has always given me added strength and comfort especially in times of need.
To my family in Nigeria, I am specially grateful to all my in-laws, my late father-in law, Mr. Peter Odeh, late uncle-in-law, Chief David Eferakeya, Mama Celina, Charity, Wilfred, Ofejiro, Demuvi, Tejiri, Uncle Noah, Harriet and everybody else in the family, I can only say “Migwuo” (I am on my knees) for the wonderful manner in which I was embraced into the family and for never giving me the feeling that I was not one of them. Their love and support has helped me adapt to my adopted country.
Last but not least, I come to my immediate nuclear family. My children Ome, Obor and Prem have always been my pride and joy. Of my daughter Ome, I am specially proud for fulfilling my father’s dream for me which I could not fulfill, i.e., becoming a medical doctor. When I see my sons Obor and Prem who have also excelled in their chosen professions, I think I have been more than blessed by God. I thank my children for living up to my expectations for them and for letting me experience all the wonderful joys of motherhood and for never bringing tears to my eyes during their childhood and adolescent years. To my husband, Professor Agwonorobo Eruvbetine, I can only say that it was “Karma” that bought us together from two distant continents to meet in a third continent and come back to Nigeria to start our life together. I am here on this podium because of
him and I am grateful to him for bringing me to Nigeria. Nigeria has become a part of me and I have become a part of Nigeria. I am also specially grateful to him for his undying love over the years and all the efforts he has made to make me comfortable and happy, and above all, allowing me the liberty to pursue my dreams and my career. His constant encouragement has motivated me to pursue greater heights. Indeed, I thank him for being both father and mother to our children whenever I was away from home in Abeokuta. I pray that God continues to bless our union.
Finally Mr. Vice Chancellor, Sir, let me thank the entire University community for the wonderful and cordial atmosphere we share together in this Institution under your able leadership. I am very proud to be part of this great UNAAB family.
Thank you all for listening and God Bless.
10.0 REFERENCES
Bello, B. 2008. Feed crisis: Way out. Paper presented at WPSA Nig Branch Seminar, Lagos. March 2008.
Diaz, F.M. 2007. Cleaner Farm Higher Income with nanotechnology. Phillipines Star, Dec 16, 2007.
Dozier, W., Kerr, B.J., Corzo, A., Kidd, M.T., Weber, T.E., Bregendal, K. 2008. Metabolizable Energy value of Glycerin for Broiler Chicken. Poult. Sci. 87:317-322.
Eruvbetine, D., Afolami, C.A, 1992. Economic evaluation of cassava (Manihot esculenta) as a feed ingredient for broilers. Proc. XIXth World’s Poultry Congress, Amsterdam, Netherlands. Vol. 3:532-535.
Eruvbetine, D. 1996. Cassava Victory over Cereals in Poultry Diets. Paper presented at RESDEC seminar series March 1996.
Eruvbetine, D., Pius, E. 1996. Unpeeled cassava root meal in diets for broilers. (Unpublished)
Eruvbetine, D., Oguntona, E.B., James, I.J., Osikoya, O.V., Ayodele, S.O. 1996. Cassava (Manihot esculenta) as an energy source in diets for cockerels. Int. J. Anim. Sci. 11:99-101.
Eruvbetine, D., Adegboyega, S.A. 1997. Effect of aerobic fermentation of cassava on nutrient composition of prodEruvbetine, D., Oguntona, E.B. 1998. Unpeeled cassava root meal in diets for laying hens. Tropical Agriculture 74 (4)299-302.
Eruvbetine, D., Adejobi, P.K. 1999. Preparation of cassava concentrate for inclusion in poultry diets. Nig. Journ. Anim. Prod.27:50-54.
Eruvbetine, D., Oguntona, E.B., Adegbenro, L.O. 1999a. Enhancement of protein in cassava (in vitro). Trop. Journ. Anim. Sci. 2:121-126
Eruvbetine, D., Aiyedun, M.O., Kusimo, B.C. 1999b. The effect of cassava-soy inclusion in diets for broiler chickens. Proc. 26th Annual Conf of the Nig. Soc for Anim Prod. Ilorin, March 1999.
Eruvbetine, D, Wahab, A., Oguntona, E.B. 2000. Cholesterol content of eggs of laying hens fed unpeeled cassava root meal diets. West African Journ. Of Food and Nutr.3(1) 29-33.
Eruvbetine, D., Tajudeen, I.D., Adeosun, A.T., Olojede,
A.A. 2003. Cassava (Manihot esculenta) leaf and tuber concentrates in diets for broiler chickens. Bioresource Technology 86:277-281.
Farrel, D.J. 2008. The Future Eaters. Proc. 23rd World’s Poultry Congress, Brisbane, Australia. WPSA CD-ROM.
FMA, WR 2008. Federal Ministry of Agriculture and Water Resources. National Policy on Agriculture for National Food Security 2008.
FLD 2005. Federal department of Livestock Annual Publication as cited by Oyediji G.O. 2005.
Idowu, O.M.O., Eruvbetine, D. 2004. Effects of unpeeled cassava-based diets on performance and cholesterol levels in laying hens. From Ph.D. thesis (UNAAB).
Idowu, O.M.O., Oduwefo, O., Eruvbetine, D. 2005. Performance and Hypocholestermic response of laying hens fed cassava-sieveate based diets. Nig. Journ. Anim. Prod. 32 (2) 215-223.
Iyayi, E.A. 2009. Prospects and Challenges of Unconventional Poultry Feedstuffs. Paper presented at the 3rd NIPS organized by WPSA Nigeria Branch, Abeokuta, Feb 2007.
John, P.J.K. 2008 Sugar syrup the new energy for feed. Worlds Poultry International (24) 2pgs 12-13.
Nweke, F.I., Ezumah, H.C. 1992. Cassava in African Farming and Feed Systems: Implications for use in Livestock Feeds. In Cassava as Livestock Feed in Africa. Proc. Of Workshop held at Ibadan, Nigeria. Eds. Hahn, S.K., Reynolds, L and Egbunike, G.N.pgs7-15.
Njoku, P.C. 2009. In paper presented by E.A. Iyayi titled Prospects and Challenges of Unconventional Poultry Feedstuffs at the 3rd NIPS organized by WPSA, Nigeria Branch, Abeokuta, Feb 2009.
Pym, R.A.E. 2009. The role of WPSA towards the Millennium Development Goals. Proc. Of the 3rd NIPS, Abeokuta, Nigeria, February 2009 pgs 1-7.
Swick, R.A. 2008. Supply and Demand of Raw Materials. Are they in Balance? Food Technology. January, 2008.
Swaminathan, M.S. 1999. Harness the Gene Revolution to help feed the World. International Herald Tribune, October 1999
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Elementary Career Readiness Resource Round Up
Andréa Donegan
School Counseling Consultant, DPI
This module includes:
- Rationale, research and resources to help build buy in and commitment, as well as communicate the importance of career awareness at the elementary level to stakeholders in the school, district, and community.
- Resources divided into six units that can be accessed through the slide deck presentation to assist you in building your elementary level career awareness plan.
- Recorded tips for implementation and creative ideas for utilizing resources on slides marked with a speaker symbol.
- Contact information to stay connected to elementary career awareness planning and programming.
At a Glance
Introduction
- Welcome
- About the Resource
- Early Career Readiness Rationale, Research and Resources
Resource Units
Unit 1 - Rationale
Unit 2 - Classroom Lessons
Unit 3 - Surveys and Inventories
Unit 4 - Activities
Unit 5 - Videos
Unit 6 - Programs
Unit 1
Rationale
Choose a job you love and you will never have to work a day in your life.
Confucius
ACP Statute
On June 30, 2013, through Act 20, Wisconsin Statute 115.28(59) allocated $1.1 million dollars of General Purpose Revenue (GPR) for 2014-15 in a new continuing appropriation by the legislature for implementing academic and career planning statewide.
- Requires DPI to ensure that, beginning in the 2017-18 school year, every school board is providing academic and career planning services to pupils enrolled in grades 6 to 12 in the school district.
- Requires DPI to procure, install, and maintain information technology, including computer software, to be used statewide by school districts to provide academic and career planning services to pupils in grades 6 to 12.
- Requires DPI to provide guidance, training, and technical assistance to school districts and school district staff, including teachers and counselors, on how to implement model academic and career plans, including training and technical assistance that is necessary to implement the information technology provided for this purpose.
(2) This chapter establishes the requirements for education for employment programs. The purpose of education for employment programs is to do all of the following:
(a) Prepare elementary and secondary pupils for future employment.
(b) Ensure technological literacy; to promote lifelong learning.
(c) Promote good citizenship.
(d) Promote cooperation among business, industry, labor, postsecondary schools, and public schools.
(e) Establish a role for public schools in the economic development of Wisconsin.
(3) The purpose of academic and career planning services is to assist pupils with planning and preparing for opportunities after graduating from high school. These opportunities may include postsecondary education and training that leads to careers. This chapter describes school districts' academic and career planning responsibilities while allowing school districts to determine how they meet those responsibilities.
History: CR 15-025: cr. Register November 2015 No. 719, eff. 12-1-15.
Education for Employment Program Goals
ELEMENTARY
(a) Career awareness at the elementary grade levels, including developing an understanding of the following:
1. Why people work.
2. The kinds of conditions under which people work.
3. The levels of training and education needed for work.
4. Common expectations for employees in the workplace.
5. How expectations at school are related to expectations in the world of work.
MIDDLE
(b) Career exploration at the middle school grade levels, including developing an understanding of:
1. The continuum of careers across work environment, duties, and responsibilities and how a pupil's personal interests and skills relate to those careers.
2. Career exploration may also include work-based learning experiences and career research identifying personal preferences in relation to occupations and careers pupils may pursue.
HIGH
(c) Career planning and preparation at the high school grade levels, which shall include the following:
1. Conducting career research to identify personal preferences in relation to specific occupations.
2. School-supervised, work-based learning experiences.
3. Instruction in career decision making.
4. Instruction that provides for the practical application of academic skills, applied technologies, economics, including entrepreneurship education and personal financial literacy.
5. Pupil access to career and technical education programs, including programs at technical colleges.
6. Pupil access to accurate national, regional, and state labor market information, including labor market supply and demand.
7. Instruction and experience in developing and refining the skills and behaviors needed by pupils to obtain and retain employment.
The ASCA Student Standards: Mindsets & Behaviors for Student Success describe the knowledge, attitudes and skills students need to achieve academic success, college and career readiness and social/emotional development. The standards are based on a survey of research and best practices in student achievement from a wide array of educational standards and efforts.
ASCA Student Standards: Mindsets & Behaviors for Student Success
K-12 College-, Career- and Life-Readiness Standards for Every Student
Each of the following standards can be applied to the academic, career and social/emotional domains.
Category 1: Mindset Standards
School counselors encourage the following mindsets for all students.
M 1. Belief in development of whole self, including a healthy balance of mental, social/emotional and physical well-being
M 2. Sense of acceptance, respect, support and inclusion for self and others in the school environment
M 3. Positive attitude toward work and learning
M 4. Self-confidence in ability to succeed
M 5. Belief in using abilities to their fullest to achieve high-quality results and outcomes
M 6. Understanding that postsecondary education and lifelong learning are necessary for long-term success
The Early Years: Career Development for Young Children – A Guide for Educators and A Guide for Parents/Guardians (CERIC)
Based on CERIC-funded research conducted by Memorial University’s Dr. Mildred Cahill and Dr. Edith Furey, these guides explore the influence that educators and parents/guardians have on the career development process of children ages 3 to 8. The guides provide practical tips, activities and examples to help children develop a healthy sense of self in the early years and enable them to reach their full potential.
You can also watch a free webinar recording presented by Dr. Cahill on “How Parents Can Support Their Children’s Early Career Development.”
CAREERWISE by CERIC - “Tools and Resources for Career Exploration with Elementary Students”
Early Career Readiness
Elementary School Counselor’s Guide
NOSCA’s Eight Components of College and Career Readiness Counseling
“Elementary school counselors create early awareness, knowledge and skills that lay the foundation for the academic rigor and social development necessary for college and career readiness. (Components 1–6)”
Elementary career readiness includes developing, supporting, and promoting school success skills, self-awareness, exploration, curiosity, work habits, academic development, inter and intrapersonal skills, and citizens skills. A Portrait of an Elementary Student can help a school community assess and define the skills, knowledge, and attributes needed for students to develop and grow their career readiness skills.
Unit 2 - Career Lessons
College Awareness and Planning, Elementary School Curriculum
NACAC resource introducing K - 5 students to career and college exploration in elementary school will provide them the opportunity to establish a foundation for more in-depth conversations and exploration about their futures in later years.
Exploratory Career Cluster Lessons
Kentucky Department of Education
K-5 Agriculture Activities
K-5 Hospitality Activities
K-5 Architecture and Construction Activities
K-5 Human Services Activities
K-5 Arts, AV and Communications Activities
K-5 Information Activities
K-5 Business Activities
K-5 Law, Public Safety, Corrections and Security Activities
K-5 Education Activities
K-5 Manufacturing Activities
K-5 Finance Activities
K-5 Marketing Activities
K-5 Government and Public Administration Activities
K-5 STEM Activities
K-5 Health Science Activities
K-5 Transportation Activities
K - 5 School Counseling Curriculum lessons to help students develop self and career awareness, as well as social/emotional and academic topics. Lessons include:
- Materials for lesson
- ASCA Mindsets & Behavior Standards
- Life skills addressed
- Connections to academic content
- Formative assessments
- Implementation steps
- Teacher follow up activities
Holland Code Introductory Lessons
Gresham-Barlow School District, Oregon
Slide deck lessons with information geared to elementary students on each Holland Code, including examples, videos, traits, and typical jobs.
Lesson 1
Lesson 2
Lesson 3
Lesson 4
Lesson 5
Lesson 6
Career Lesson
Be an Entrepreneur
Five lesson series including videos and lesson activities for Grade 4, including Tools for Entrepreneurship, Hot Dog Stand Game, Entrepreneurs Solve Problems, Entrepreneurs Go Global.
Career Readiness Lessons for Gr. 5
The California Career Resource Network has a lesson series for Grade 5 on career readiness topics including Learning About Myself, Name That Job, What’s the Market for my Labor, Studying for Careers, and Who am I?
Cool Careers Feud
Through a game format using teams, students will discover that what they are doing now impacts their future goals and career pathway.
Someday Elementary Career Readiness Lesson
Lesson for 3rd - 5th graders with introduction, activity, and closing about what they want to do now, what they might want to do someday, and what they would do to get there.
Fifth grade students will learn about the Holland Codes, identify their interests with the Holland Code Party Activity, then use their Holland Code results to find careers related to their interests.
Start-up video: Who Am I? (01:07)
Handouts only: English | Spanish
DISCOVERU Quick Ideas for Teachers
Simple and creative ways that teachers can spotlight and incorporate career exploration into their classroom.
Additional career exploration ideas divided by level.
Career Video
Career Day
by The Bazillions
Early Elementary
Animated song with catchy tune that introduces a variety of job titles (2:54).
Unit 3 - Surveys & Interest Inventory
Photo Career Quiz
Career quiz using photos instead of questions to assess the six Holland Codes - building, thinking, organizing, creating, persuading, and helping. A career search engine with filters allows for learning about the interest area identified from the quiz.
Career Cluster Inventory for Young Learners
Powerpoint presentation introducing the Career Clusters in student-friendly language with an accompanying survey students can complete during the presentation to identify their Career Cluster of interest. (Scroll to bottom of page - “K - 1 Interest Inventory Worksheet” and “K - 1 Interest Inventory PowerPoint”)
UCanGo2 Career Interest Inventory
This inventory includes 86 items to help match interests to different types of careers based on the 16 Career Clusters.
Surveys & Interest Inventory
Career Interest Survey
Printable career Interest Explorer Assessment for elementary students based on the six Holland Codes with a short list of potential careers based on each Holland Code.
K-2 Interest Survey
Short, printable picture based survey to start the conversation about matching your interests to potential careers.
Kids Learning Style Survey
Printable survey that allows students to choose from one of four answers on ten easy questions to determine which learning style best describes their behavior and preferences in typical classroom activities.
A Career aptitude test to match careers with personality based on the six Holland Codes - realistic, enterprising, investigative, social, artistic, and conventional. The results include a list of occupations that coincide with the aptitude test results.
Unit 4 - Career Activity
Career Activity
Would You Rather
A fun twist on a common dinner-table conversation starter game. Play a game of “Would You Rather” with students making choices on career interests, qualities, settings, required tasks, etc.
This is a career activity book for elementary students. It provides 22 activities on career exploration, seven activities on student development, two activities on critical thinking/logic, and one activity on financial literacy.
This workbook introduces students to the concept of self-knowledge, helping them to explore how their interests and skills connect to a variety of career clusters.
For additional ideas on this resources see the Texas Labor Market and Career Information webpage.
Paws in Jobland takes elementary school students on a lively tour through the neighborhood of Jobland. Along the way, they learn how to identify personal interests and explore careers. Includes K-2 lesson plans, 40 lesson plans for 3-5, and an activity book.
Career Education Resources
CareerEd
Tools such as learning maps and journals, as well as picture books and educator resources that can help students in kindergarten to Grade 5 expand their awareness of their personal interests and strengths and explore different types of careers.
Career Activity
My Next Move
Upper Elementary
An online resource that allows users to search careers using keywords, browse careers by industry, or use an interest profiler (60 questions).
Career Exploration - U.S. Bureau of Labor
Exploration of careers based on interests, education and skills necessary for various careers, job outlook, work environment, and more.
Career Activity
Careers are Everywhere Coloring Book
This activity book helps students develop self-knowledge, educational and occupational exploration, and career planning awareness while exploring the sixteen career clusters.
DreamWakers partners with 4th- to 12th-grade classrooms nationwide, prioritizing schools and programs in which at least 50 percent of the student body is eligible for free or reduced-priced lunch. Through interactive virtual sessions via video chat, DreamWakers connects professionals in a wide array of industries to classrooms across the country. Our virtual, 45-minute “flashchats” are designed to shed light on the real-world applicability of curriculum while highlighting inspirational stories of engaging, relatable role models.
CareerGirls.org is a free comprehensive video-based career exploration and readiness tool for girls. The online collection includes career guidance videos focusing exclusively on diverse and accomplished women — over half of whom are in STEM fields — and new videos are added weekly.
Career Activity
Virginia Career View
K - 5 career exploration search with 300 careers, career books to print and color, unusual occupations to learn with games and links, career clusters digital activities, career puzzles, and more.
Career Activity
Career Town
Virginia Career View
Interactive program on career readiness includes:
- Classroom Activities
- Hands on Fun
- Parental and community involvement in career exploration with students
- Projects that meet academic and/school counseling standards
- Integration of Career Exploration into the classroom curriculum
Career Town Resource Guides
Career Activity
Career Printables
Virginia Career View
Career ABC - printable K-2
Jobs You Like - printable K-2
American Jobs 1 - printable 3-5
American Jobs 2 - printable 3-5
Career Choice - printable 3-5
Summer Career Fun
Virginia Career View
Print, play, and learn with summer career games including Jobs Bingo, Jobs at the Beach, Career Mystery & History, and more.
Image by Monika Grafik from Pixabay
Career Activity
Mystery Careers
Create and share career descriptions periodically in the daily announcements for students to guess or learn the career being described.
Resource:
Free: Britannica Kids: Careers at a Glance
Career Activity
Pennsylvania Career Zone
Upper Elementary
Activities such as the Budget Your Life, Quick Assessment, Interest Profiler, and My College Preferences for students to learn more about themselves.
Research and explore pathways, occupations, colleges, and fields of study.
Career Activity
Kids Work!
A virtual community of workplaces designed to give students an interactive job exploration experience that connects school work to real work. View profiles from real professionals.
Career Activity
Career Books for Elementary School
Inspiring children’s books about careers to help children think about the age-old question “What do you want to be when you grow up?” Perfect for kicking off career conversations.
ASCA Elementary School Career Conversations
Elementary school career conversations for students, parents, and the community based on the ASCA Mindsets and Behaviors.
"If you woke up tomorrow and were an adult, what career would you like to have?"
Career Activity
Preparing for Tomorrow’s Workforce
Infographic demonstrating the similarities between school and work.
Career Activity
Delaware Career Resource Network
Activities, resources, and books on career readiness with a dedicated section for K - 5.
Exploratory activities for K - 5th grade introduce students to the skills, topics and vocabulary related to careers within each of the 16 career clusters. A book list includes general and Career Cluster specific choices.
Career Activity
Career Jeopardy
| $200 | $200 | $200 | $200 |
|------|------|------|------|
| $400 | $400 | $400 | $400 |
| $600 | $600 | $600 | $600 |
| $800 | $800 | $800 | $800 |
Career Jeopardy - by post-secondary training.
Career Jeopardy - by Career Clusters
Career Jeopardy - by general categories
Career Jeopardy - by skills, interests, setting, tools.
Career Exploration Coloring Book
The coloring pages and activities in this book are intended for Pre-K to 3rd grade. They have been designed around the 16 Career Clusters that were developed by the U.S. Department of Education.
Career Kahoot!
A twenty question Kahoot to learn about careers in horticulture, automotive, child care and retail.
Career Activity - Parent
Parents in Education (PIE) Nights
Create a display and activities around career readiness and invite parents and students to drop by during Parent/Teacher conferences or open house.
Post-Secondary Options
Memory
Career Interview
Career Taboo
Career Activity - Parent
Career Readiness One Pagers for Parents
Share out career readiness information with parents on a periodic basis to promote the idea of starting early with career conversations and to provide ideas about How to Talk to Your Children About Careers.
Career Activity - Parents
Career Success Display
Use this idea to provide an opportunity for parents, students, or staff to share ideas on what creates success and post them in a visible, well trafficked area of the school.
Career Activity - Parent
Parent and Child Career Activities
Career Activity Calendar for elementary students and their parents - one for every day of the month.
Career Storybook list for students in grades K - 2 and 3 -5.
Unit 5 - Career Videos
Jobs and Career Videos
Student will learn about different government jobs with these 34 brief day-in-the-life video series.
Career videos are organized into 16 clusters, or related types of work. Videos include career details such as tasks, work settings, education needed, and more.
Short video songs geared towards early elementary students that describe different careers.
Professions (10:11)
What to be When You Grow Up (15:19)
Farmers (1:24)
Teacher (1:16)
Pilot (1:11)
Chef (1:18)
Architect (1:19)
Software Engineer (1:15)
Veterinarian (1:24)
Firefighter (1:09)
Police Officer (1:32)
Careers with Mrs. Gadson
Mrs. Gadson virtual storytime focuses on ten-to-12 minute stories on a variety of careers in this video series.
There’s a cool career for every kid! Explore career options from A to Z with the Lab Squad kids as they meet and interview career professionals. The kids share lots of career ideas in every episode so be sure to watch them all, A to Z! If a kid can see it, they can be it!
Twenty-seven videos for 3rd - 5th Grade
Who I am? Careers
An 11-minute video from focusing on asking kids, “Who Am I,” providing clues to a variety of careers including astronaut, triathlete, wildlife photographer, professional snowboarder, solar power engineer, and more.
Career Video
Know it All Career Videos
Upper Elementary
A variety of short videos on different careers from professionals in the field.
Kids Science Careers includes interviews with a variety of scientists such as a paleontologist, microbiologist, mineralogist, and seismologist. Videos, resources, and pathways for kids are provided.
Exploring Careers at NASA has a Career Corner for 5th - 8th graders with information and resources on becoming an astronaut, green careers, STEM.
This collection of short videos features resources for teachers and students, including "Day at Work" testimonies of several different career options, student testimonies and work-based learning examples. Videos range from two to 30 minutes in length.
Buckalope Elementary Career and Character Video Playlist
Early Elementary
Videos created by Buckalope elementary students and staff with fun music, songs, characters, and puppets.
The Career Song (2:14)
Interests, Hobbies, and Careers (8:47)
Career Day (12:28)
Career Day Montage (1:57)
Curious George Videos
Early Elementary
Short one-to-two minute engaging video clips of George curing his curiosity about snow, rainbows, space, seeds, farms, honey bees, spring and more.
Career Video
Jobs and Occupations Vocabulary
A nine-minute video defining a variety of careers with a very simple description.
Career Video
You Can Be An ABC
Sam shares a little inspiration about what kids can be when they grow up (2:30).
READ ALOUD "When I grow up" by Weird Al Yankovic with background music and animated narrator (6:02).
Career Video
Dr. Kit Career Videos
Video series highlighting a variety of careers from the 16 Career Clusters with interview questions that answer what a typical day looks like, qualifications, pro’s and con’s of the job, and advice for pursuing the job.
Short Videos - Series of one minute or less video highlighting a career.
Callisto: Space Innovation Tour
Kahoot
Free and interactive virtual tour from Johnson Space Center showcasing special technology in NASA’s Artemis I mission. Students become virtual crew members to explore the technology aboard the Orion spacecraft and meet the engineers working to revolutionize deep space travel. Access the teacher toolkit.
Unit 6 - Programs
Welcome to the 3rd Annual CESA 12 Virtual Cool Career Day for students in grades K-5. During this day we have scheduled five guest speakers who will talk about exciting career opportunities related to the energy industry. Presentations will run 20 minutes with ten minutes for a couple of student questions. Optional teacher led student activities will be available for the time in between guests, and plenty of time for lunch and play.
Wolfie goes to Work
Similar to Flat Stanley, send home a stuffed animal (maybe of your school’s mascot) and ask parent to take it to work and snap a picture (in the setting, with tools of the job, wearing the uniform). Invite parents to complete a brief survey and have students report back to the class (with your help if they are young), along with sharing the photos taken.
Elementary Career Discovery Corner in School Library
Create an area of the library outfitted with age appropriate career resources to provide students with a space to explore careers, the workforce, and discover new possibilities.
Career Café is an opportunity for students to learn about careers from individuals in their community.
Parent sign up: Career Café Parent Sign-Up
Prep your presenters
Questions, Comments, Aha’s
CONTACT INFORMATION
Andrea Donegan, MS, NBCT
School Counseling Consultant
(608) 224-6175
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POPULAR AGRARIAN REFORM AND THE STRUGGLE FOR LAND IN BRAZIL
Dossier n° 27
Tricontinental: Institute for Social Research
April 2020
Cover photograph | March organised by the MST in 2018 to demand former President Luiz Inácio da Silva’s release from jail. More than 5,000 landless workers marched over 50 kilometres in four days.
Júlio Dolce
POPULAR AGRARIAN REFORM AND THE STRUGGLE FOR LAND IN BRAZIL
Dossier n°27 | Tricontinental: Institute for Social Research
April 2020
Today, 80,000 families who are members of the MST are living in encampments waiting to be granted their legal right to the land.
MST Archive
The land question is central to understanding political life and society in Brazil. The country has enormous landed estates, known as *latifundios*, which have their roots in the beginning of the Portuguese occupation of this part of South America at the start of the 16th century. The Portuguese seizure of this land and its conversion into large *latifundios* – together with the mono-cultivation of crops for export and the enslavement of human beings – established the roots of social inequality that persist to this day.
In 2017, the most recent census in Brazil showed that this structure of land inequality has not only remained in place over the years, but that land concentration has increased. Roughly 1% of landowners control almost 50% of the land in rural Brazil. Half of all rural landowners have holdings that are less than 10 hectares (a soccer field is about one hectare), but these holdings account for barely 2% of the total land. In other words, most holdings are enormous and are held by a small minority – the landowning elite.
The inequality in land ownership illustrates the scale of the expropriation that capitalism has engendered over the past centuries; it has had political, economic, social, and environmental consequences for Brazil’s development. Land relations, which are expressive of a social order, are fundamental to shaping Brazil’s inequality and its social potential. The idea of land encompasses not only territory but also people, natural resources and control over them, and development in its broadest sense.
On top of the archaic and unproductive *latifundios* have emerged the agribusiness behemoths. No longer is the struggle for land in Brazil
centred around the conflict over small parcels of land between the holders of *latifundios* and the poor peasants; it is now centred around the question of what Brazil’s agricultural model should be. The giant agribusiness firms not only dominate enormous stretches of land, which they cultivate based on the principles of monoculture; they also poison nature, people, and animals with vast quantities of agrotoxins, leading Brazil to become the world’s largest consumer of agricultural poisons. In contrast to this toxic approach to agriculture is the agroecological model, which is premised on a comprehensive system of production that puts human relationships at its core. In the agroecological model, the health, culture, recreation, and education of human beings is vital in the process of the production of agricultural goods. This model seeks to produce a range of healthy food, for instance, which must be grown in harmony with nature. The contest between toxic agribusiness and the agroecological model is at the centre of this dossier from Tricontinental: Institute for Social Research (São Paulo).
Key to the agroecological model is the concept of popular agrarian reform, which proposes the full-scale reorganisation of landholdings, and which will be discussed in this dossier. First, however, we will provide an overview of the history of the struggle for land in Brazil. This history is key to understanding the dynamic of the popular movements that have developed the class struggle against the toxic agribusiness model and in support of a coherent agroecological alternative. In the second part of the dossier, we will discuss an agrarian reform settlement organised by the Movement of Rural Landless Workers (MST), which paints a concrete picture of a different conception of and model for agrarian life.
This dossier is published in April due to the significance of this month for the struggle for land in Brazil. On 17 April 1996, in the state of Pará, the military police attacked and killed twenty-one landless rural workers and wounded sixty-nine others. The anniversary of what is known as the Massacre of Eldorado dos Carajás is now commemorated as the International Day of Struggle for Agrarian Reform. This story condenses the reality of land concentration, the impunity of landowners endorsed by the State, the extreme violence used against landless rural workers, the lack of a policy of agrarian reform, and the radicalisation of rural workers in their struggle for a dignified life. This dossier is our homage to the ongoing struggle for land.
The Peasant Leagues (Ligas Camponesas) were among the first organisations in rural Brazil to adopt agrarian reform as a political line. Their primary slogan was ‘agrarian reform by law or by force’.
Artist unknown
The structure of landholdings in Brazil is rooted in the historical form of the *latifundio*. The concentration of private property in large estates has defined the capitalist relations of production for most of Brazil’s history and has shaped the character of its dominant class.
In its classical form, capitalism emerges out of the violent separation of producers from their means of production in order to force them – on pain of starvation – to sell their labour power as a commodity. The emergence of capitalism as the dominant mode of production led to the greatest expropriation of the peasantry in history. Severed from the possibility of autonomously meeting their most basic human needs, the damned of the earth emerged at the factory gates and at the gates of the large landholders, selling their labour power for wages and producing goods so that the capitalist factory and farm owners could accumulate more and more profit. This process of disenfranchising and disciplining the workforce created the conditions for the development and consolidation of capitalism. The same kind of process took place in Brazil, where the capitalist class violently expropriated the peasantry as it sharpened its hold on the diverse range of arenas for accumulation, be it in the sphere of agriculture, industry, or finance.
This process of pillage erased the rich forms of cultural expression of the peasantry, denied them access to education and health as basic human rights, and destroyed their sovereignty, their self-determination as a people, and their sense of self-worth. In reaction to this, diverse processes of popular resistance developed in Brazil. All efforts of organised resistance were met with violence, including massacres and genocide. This story of violence, however, is largely erased from the history books.
Indigenous peoples would not accept the regime of slavery imposed by the Portuguese colonisers; they resisted, and their resistance was also met with extreme violence. It is estimated that of the 2.5 million indigenous people who lived in the area that the Portuguese would later call Brazil, by the 1600s less than 10% had survived the carnage. Despite a historiography that erases centuries of resistance, the struggle of the indigenous peoples left a residue of resistance in the Brazilian consciousness. It is impossible to forget the statement from the indigenous leader Sepé Tiaraju, who died as he said with great feeling, “This land has a keeper!”
The story of African resistance to enslavement, colonisation, and violence has also played a defining role in the shaping of Brazilian consciousness, history, and society. Roughly 4.9 million Africans were wrenched from their lands and brought to Brazil to be enslaved on the *latifundios*. No other country in the world – not even the United States – brought so many enslaved people to work the land. Not long after their arrival, Africans began to revolt, their voices echoing from hill to hill. Those who escaped from the agricultural plantations created *quilombos*, territories of freedom that
were organised collectively, where African cultural traditions could flourish. As the hegemony of slavery plantations declined in the early decades of the 19th century, *caboclos* – or Black and indigenous peasants – became the protagonists of struggles and revolts against large landholders. As in the *quilombos*, they took over authority and implemented popular governments in their villages and towns. But these assertions of popular authority did not escape the State-led assault that burnt down their villages, executed their leaders by firing squad, and crushed the gains made by the people.
The experience of these and hundreds of other struggles over the century matured and developed into deeper and stronger organisational forms, such as the Peasant Leagues (*Ligas Camponesas*) and the Landless Farmers’ Movement (*Movimento dos Agricultores Sem Terra* or MASTER). These organisations advanced the struggle for agrarian reform and social transformation through land occupations and encampments between the 1940s and the 1960s. However, the military dictatorship that lasted for twenty-one years (1964-1985) destroyed these organisations, thereby emptying out the ability of workers to organise their power. It was only at the end of the 1970s and into the 1980s that workers were able to rebuild their organisations and to begin again to conduct struggles.
The MST embraced land occupations as their main method for building power. Once the land had been occupied, an encampment was created. When the land was won, the families would receive plots of land that would make up the settlement.
Sebastião Salgado
The Return of Popular Struggles
The military dictatorship was unsustainable, which enabled diverse sectors of society to begin to wage struggles against it. It was in this period that various political organisations of the working class emerged, notably the Workers’ Party (Partido dos Trabalhadores or PT) and the United Workers’ Central (Central Única dos Trabalhadores or CUT). In addition, groups that had become illegal – and therefore dormant – reasserted themselves, such as the National Union of Students (União Nacional dos Estudantes or UNE). These organisations and the struggles that they enabled and brought together grew slowly, eventually changing the correlation of the balance of forces and leading to the fall of the dictatorship.
The situation was no different in the countryside. One of the main contradictions that tumbled out of the Green Revolution was the expulsion of millions of workers from the countryside. Squatters, renters, wage labourers, sharecroppers, and those evicted for the construction of dams were the social groups that created hotbeds of resistance against the dictatorship and the landowners. For them, the land occupations emerged as the main way to contest the latifundio and the dictatorship.
In 1984, the Landless Workers’ Movement (Movimento dos Trabalhadores Rurais Sem Terra or MST) emerged out of these experiences. At its core, the MST has three main objectives:
1. The struggle for land. This corresponds to the immediate struggle of the landless to acquire a piece of land.
2. Agrarian reform. Without an agrarian policy from the State that supports land reform and land rights, any land acquisition will only be temporary and those on the land will be threatened with expulsion.
3. Social transformation. There can be no long-term solution to the deep crisis of the landlessness without a complete reconfiguration of the power relations in society, namely a transformation of the social relations of production and the hierarchies of society.
The MST embraced land occupations as their main method for building power. The occupations have a dual function. First, they question the way in which land as private property is used to disenfranchise the majority of society – in stark contrast to communally-held land used for the public good. Second, they denounce the fact that land is not carrying out a ‘social function’ as prescribed by the post-dictatorship 1988 Constitution, which outlines that all property must meet certain criteria, such as that it must be productive, it must respect environmental regulations, and it must follow labour legislation. If these criteria are not met, the land can be appropriated in the name of agrarian reform. As part of the struggle led by the MST, roughly 350,000 families have acquired land and an additional 80,000 families live in encampments spread throughout the country that are still struggling for their legal status.
Over the thirty-six years since the foundation of the MST, the struggle for land has gone through several different political moments, each moment met by popular struggles with different strategies and tactics appropriate to the class configuration and the power relations of that period. In the early years, the primary confrontation was between the peasants who had been expelled from their land and the *latifundiários*, the large landholders. The Brazilian countryside in this phase was composed of archaic, backward, and unproductive *latifundios* that used violence as their primary means to protect their enormous troves of private property. During the re-democratisation period of the 1980s, the MST expanded across the country, organising large occupations of *latifundios* led by thousands of landless families. Two key slogans propelled the struggle for land – ‘without agrarian reform, there is no democracy’ and ‘occupation is the only solution’. It was through the occupation of parts of the *latifundios* by peasant families that the first settlements emerged; these settlements, where the families now lived and worked the land, became a material argument for agrarian reform.
As this wave of democratisation grew, the owners of the *latifundios* created the Democratic Association of Ruralists (*União Democrática Ruralista* or UDR). The UDR was to rapidly become the weapon used violently by the large landholders against the MST as well as to lobby and pressure the federal government to act against the peasant movement. During the 1990s, when Brazil’s governments had adopted the neoliberal policy framework, the UDR – along with the State – went on a rampage against the landless and the MST. People suffered violent repression at peaceful demonstrations as well as the arrests and imprisonment of key organisers and
the attack of the civil rights of the secretariats related to agrarian reform – including the tapping of their phones and the invasion of their offices.
The violence unleashed by the *latifundiários* and the State, as well as the unproductivity of the *latifundio* form, increased the appeal of agrarian reform in society. The landless struggle came to be widely recognised as a legitimate action. It was in this period that the MST carried out several land occupations, organised its bases for resistance and self-defence, and organised the occupied land around the collective production of food in cooperatives. This struggle went from the occupied land to the streets, with state-wide marches and demands for agrarian reform at the federal level. During this period, the movement also strengthened its organisational capacity and sharpened its political line.
The consolidation of the neoliberal project marked a step backwards for the working class in Brazil. Nonetheless, agribusiness firms had not yet fully penetrated the countryside. The MST took advantage of this to organise its encampments and settlements. The movement carried out its first national march in 1997 to denounce the neoliberal project, demand justice for the victims and survivors of the Eldorado dos Carajás Massacre of 1996 and hold a dialogue with society. The movement grew rapidly – with international support – and emerged in this period as a key pillar of the Brazilian left.
The problems of national sovereignty and social equality cannot be addressed without a debate around the agrarian question. The emergence of capitalism from the 18th century had a marked impact on agricultural production, although the ways in which agriculture transformed varied across the world. What happened in Europe, for instance, was not entirely replicated in Brazil. However, it is useful to track the ‘classical’ story first, which gives us a template for the operations of capitalism in agriculture in order to then develop that story further in the case of Brazil.
From the 18th century to the Second World War, there was a broad policy to reorganise landholdings from one part of the world to another. This massive redistribution of land dispossessed the peasantry and created large farms for landowners and for capitalist agriculture. This concentration of land took place alongside the development of the industrial revolution, which found it necessary to integrate the agrarian economy with the strategies of capitalist development. The industrial revolution drew in masses of dispossessed peasants and artisans, who were now forced to sell their labour power at the factory gates. A complex economy developed that was based on the exploitation of labour and the internationalisation of capital and markets. The agrarian question was a crucial
element for the subordination of labour and natural resources to capitalist development.
Two central and related elements frame the agrarian question within the history of capitalism. The first is the push by the industrial bourgeoisie to supplant the old landowning rural classes, whose unproductive – in capitalist terms – use of the land was a hindrance to the accumulation dynamic of capitalism. The second is the assertion by industrial capital to set aside the logic of archaic feudalism and put its own capitalist logic at the centre of social development. The industrial bourgeoisie drove an agenda to bring the commercial logic of industrial capitalism into the fields, but also to ensure that the State’s economic policy would be shaped around the needs of industry rather than the needs of agriculture. The accumulation of capital became centred around industrial development; the creation of a cheap workforce and an abundance of raw materials became necessities for the economy as a whole.
However the ‘democratisation’ of the land that followed – namely the relative loss of power of the landlords – did not benefit the peasantry. Instead, the outcome was that the agricultural sector – even its medium and small-sized farms – would be subordinated to provide raw materials for the growing industrial sector at lowered prices. The delivery of cheapened food to cities allowed industrial firms to pay lower wages, since the cost of social reproduction had been suppressed by the weakened place of agricultural producers in society. As agricultural land became more productive, peasants were displaced to become factory workers, while those who remained were consolidated into an expanding consumer market.
The revitalisation of the countryside’s economic capacity took place at the cost of its subordination to the city, and in particular, to industrial capitalism. It was in this context that many countries across the world conducted capitalist agrarian reform. Most European countries went through this process, though this was not a European story alone. In Japan, almost three million people became landholders as a consequence of its land reform, while in Turkey plots above 500 hectares were expropriated, and in Italy the State expropriated land with compensation paid to landowners, developed infrastructure in the countryside, reclaimed degraded land, and built houses for peasants. In each of these cases, the peasantry was subordinated to the logic of capitalism, the benefits of reform absorbed for capital accumulation – not for the well-being of the peasantry.
The process of agricultural production began to be defined by the capitalist mode of production. The fear of unemployment and the speed of production began to be determined less by the lash (as had been in the case in slave plantations and in feudal estates) and more by the time-discipline of the managers. Capital defines what to produce and how to produce it; capitalist firms define the depth of commercialisation and the compensation received by the various levels of fieldworkers. Peasants no longer had any semblance of control over the means of production. Indeed, the peasantry in most parts of the world lost not only the means of production; it also lost the centrality of its cultural forms.
Capitalist dynamics entered rural areas with their own cultural logic; they encroached upon and denied peasant culture’s ideas of production and consumption, especially the growing and eating of
food. A transformation of social rules took place, which replaced the organisation of social life around cooperation and social integration with individualism and dependence on the capitalist market. In this sense, classical capitalist agrarian reform was part of the policy of the bourgeois State and was carried out to benefit the dominant class of that time, the industrial bourgeoisie.
Despite many similarities, several key differences separate the case of Brazil from the transformations of capitalism and agriculture seen in Europe. For instance, in Brazil there was no fundamental separation between the rural oligarchy and the industrial bourgeoisie; they were intimately linked class fractions, and the emergence of the power of the industrial bourgeoisie did not take place by defeating the rural oligarchy. Land concentration was not an obstacle to capitalist development in Brazil. On the contrary, there was unity between the *latifundio* and industrial capital, an alliance between capital and State-mediated land ownership. The high concentration of land at low rates of productivity nonetheless forced a rural exodus that created a significant reserve industrial army whose presence held down wages. The harshness of the rural economy subsidised industrial production and the accumulation of capital by the industrial bourgeoisie.
Unlike in Europe, in Brazil there was no effective national policy for agrarian reorganisation. Instead, an agrarian tripod developed: *latifundios*, heavy mechanisation, and agrochemicals that were organised around the US model of agribusiness known as the Green Revolution, which began in the 1970s but intensified over the next two decades. The model that emerged from the Green Revolution
was entirely premised on capitalism’s interests, with the peasantry merely a factor of production.
In the 1990s, as the Green Revolution intensified in Brazil, the country’s agricultural landscape underwent significant structural transformation. Notably, there was a shift in the way that the production of agricultural commodities was organised. The key element here in terms of the agrarian question was the emergence of the neoliberal model and the strengthening of agribusiness firms over agricultural production and the distribution of agricultural goods, edging out small and medium-sized landowners. The archaic landowners who owned large tracts of land allied themselves with the other fractions of the bourgeoisie – those who dominated transnational agricultural corporations, financial firms, and institutions of the mass media. The hold that these landowners had on the land was undiminished; they now provided their vast acreage and their domination over the workforce to the international market through this agribusiness ensemble – corporations, banks, and the media.
As the capitalist system has entered into a serious crisis of profitability over the past few decades, the agribusiness sector has searched for ways to maintain or increase profits. These methods include the intensification of environmental destruction, the expansion of the agricultural frontier over forests and common land, the deepened ferocity of mineral extraction, and the consequential increased harshness towards the workforce, who saw not only the demands upon their bodies increase, but also watched the common lands disappear.
As agribusiness becomes more complex and deepens its hold on the political economy, popular agrarian reform has become a real and necessary alternative. The features of popular agrarian reform move in a radical direction, towards the rejection of capitalist control over the world of agriculture – including land – and towards the reorganisation of agriculture and the environment and the needs of people and nature rather than profit.
Agroecology – which is at the centre of popular agrarian reform – prioritises the production of healthy and diversified food that is produced in harmony with the environment and made accessible for consumption by the people – not for the export market.
Wellington Lenon
Popular Agrarian Reform
Since the relations of production in the countryside have been radically transformed by the consolidation of agribusiness, it is no longer appropriate to fight for an agrarian reform of the classical time. The MST has, therefore, been in a process to redefine its agrarian programme and its strategic actions.
Capital faces a deep structural crisis that has made access to land relatively impossible within the framework of the current system and has narrowed the margins of democratic participation. This means that genuine agrarian reform has to pivot the existing power relations away from the concept of private property. The hegemony of finance capital over industrial capital has led to the demise of any appetite for agrarian reform driven by the bourgeoisie; new ways of accumulating wealth have been invented that do not necessitate any land reform programme or programme for the democratisation – even in a limited way – of the countryside. The same land that was once the centre of the dispute between the landless peasants and the backward and unproductive landowners is now desired by agribusiness, which is willing to set aside the old rural classes for its own requirements.
The struggle for genuine agrarian reform, therefore, implies that the peasantry will have to confront capital – notably to confront agribusiness – whose face is the enormous transnational corporations that are responsible for the depletion of natural resources (including
through the excessive use of agrotoxins and genetically modified seeds). The consequences that this destructive model have on the environment are gradually being felt by the majority of the world’s people, particularly those who live in the big urban centres. Water scarcity and contamination as well as the poisoning of food are two barometers, but even more alarming is the evidence of capitalist-induced climate change and the urban crisis. There is an intrinsic relation between the rural and urban crises.
Reality forces us to restructure the fight for agrarian reform, to move our agenda from classic agrarian reform to popular agrarian reform. The shift would be from demanding the right to land for those who work on it – a central demand of the 1980s and 1990s – to demanding the right to the collective production of healthy food for the entire population, a demand that would give a universal character to agrarian reform. Agrarian reform would then become a programme in the interest of society as a whole – not only for people who work the land or who would like to work the land. The strength of the peasantry in the countryside is insufficient to alter the correlation of forces; they require key allies in the cities who would join the fight for a popular agrarian reform not only in solidarity with the peasantry but equally in the interest of society.
Today, the archaic owner of the *latifundio* is no longer the sole target of the struggle over land. The landowner has become a key ally of the agricultural corporations, the financial system, and the mass media. It is the latter that has disseminated the view that only large agricultural corporations are capable of productively using the land to advance the interests of society. Indeed, the archaic and
unproductive *latifundio* has been ‘modernised’ and is now much more productive – but this productivity benefits the interests of agribusiness and not society as a whole. As a consequence of this, popular agrarian reform develops a strategy of resistance to the agribusiness model and points to new forms of struggle that both contest the foundations of agribusiness and propose alternatives for the future that are grounded in effective actions for change in the present.
The agribusiness model is founded on the production of commodities for export. This is the entire focus of production, which is why this form of agriculture is not concerned with the destruction of the environment, as evidenced by its use of agrotoxins as well as soil depletion, groundwater pollution, food contamination, and the extension of capitalist agriculture into forests and onto common lands (including flood plains).
An agroecological approach, on the other hand, prioritises the production of healthy and diversified food produced in harmony with the environment that is made accessible for consumption by the people – not for the export market. This approach develops an economic model that distributes income and that allows people to remain in the countryside rather than be driven to urban areas out of necessity. Popular agrarian reform develops agroindustries in the countryside that are under the control of workers who live in cooperative settlements.
The concept of popular agrarian reform does not only involve the production and organisation of resources. It involves the
A work collective in the Herdeiros da Terra encampment in Rio Bonito do Iguaçu, Paraná, where roughly 1,100 landless families have occupied the land since 2014.
Wellington Lenon
refashioning of social relations – including the reconstruction of gender relations and the confrontation of machismo and homophobia, for example – and the demand for access to education in rural areas at all levels. The social transformation proposed by agrarian reform also includes the building of autonomous forms of cooperation amongst workers living in the countryside while developing political relations with the urban masses.
Many initiatives already exist in this direction, such as the development in agroforestry, the cultivation of native seeds, the growth of a locally-controlled processing and agroindustry sector, the expansion of cooperative-run fairs, and the enlargement of scientific research and technical training towards the development of new agricultural technologies.
Given the complexity of the issues and the challenges before us, it is important to point out that it was not only the changes in capital that drove the MST to reformulate its agrarian strategy. The genesis of the change in strategy came from the necessity to transform society that emerged from the landless families who live on encampments and settlements. It is out of their experiences in building new political and organisational cultures that the concept of popular agrarian reform matured. The project of popular agrarian reform that emerges out of these experiences is not restricted to the countryside; it is a broad demand for the a new vision for the country as a whole, with Brazil’s working class as a key ally of the landless peasants.
Part II
Conquista na Fronteira: A History of Struggle, Cooperation, and Organisation
If you had to choose a word to define the Conquista na Fronteira settlement ('Conquest at the Border') in the municipality of Dionísio Cerqueira in the state of Santa Catarina, that word would be cooperation.
Forty-six families live in the 1,198-hectare settlement that they expropriated as part of the agrarian reform implemented in 1988. For them, the notion of cooperation and the collective is fundamental, but so too is the other pillar of their struggle: organisation. The history of the Conquista na Fronteira is inseparable from the history of the MST in the region of Santa Catarina. The families who live in the settlement today are the same families that occupied the latifundios in 1985, only a year after the MST was formed.
Irma Brunetto, a resident of the Conquista, is among those who helped shape the settlement. During the three years that the residents were living under a black tarpaulin, waiting for their legal right to the land to be granted, the MST carried out grassroots organising work with the families as they began to work the land; the process enabled people to think about the politics of their land occupation and about collective production. 'Since the beginning,
Community garden in the Conquista na Fronteira settlement, which is responsible for producing all of the vegetables and fruit consumed by the residents.
MST Archive
we have been working on our relationship with the land, such as how we carry out cooperation among ourselves; we did this without having much of an idea, since all of that was part of the initial process’, says Irma.
When the residents developed an understanding of their new home, they realised that the best way forward was to develop collective production. ‘When we saw the geography of the area, we realized that 40% of the land was hilly. We realised that dividing it into small pieces wouldn’t work’, Irma remembers.
If each family took an individual lot, one group would benefit greatly, with flat areas and plenty of water, while others would be at a great disadvantage, with access to stony areas. Thus, the idea of collectivising the land and the production was developed, something that they had already been worked on under the tarpaulins.
Cooperation
The residents of *Conquista na Fronteira* set up the *Cooperunião* (‘Cooper-Unity’) cooperative in 1990, two years after the formal settlement was established. The cooperative is the heart of the organisational structure of the settlement for the families who live on the land and is an example of the many cooperatives of the landless workers in Brazil.
The members of *Cooperunião* are divided into work teams. Some of these are for the growth of subsistence food, others are for reforestation, yet others are to tend the cattle and poultry, and then there are teams that manage the administrative and social work for the settlement. Once a year, the families hold a planning process to go over what they must produce as well as the finances of the settlement. The key issues are discussed in base groups and then approved by the General Assembly. Their decisions are then executed over the next twelve months, until the next process starts. ‘From the beginning, we adopted an organisational structure and created an internal regime. The first goal was to produce food to be able to eat and sell because we had been living in an encampment for three years, during which time we were not able to meet all of our needs. We also started a more long-term process with the objective of industrialising our production and adding more value to our produce’, says Irma.
National Agrarian Reform Fair in the city of São Paulo. The annual event brings together more than 200,000 people over four days and has become the MST’s main channel to dialogue with society. Roughly 420 tons of a variety of 1,530 types of different products are available at the fair.
Joka Madruga
The democratic consultations resulted in the creation of a large-scale and diversified production process. Currently, the main product of the settlement is milk, which is sold to *Cooperoeste* (‘Cooper-west’), another MST settlement in the municipality of Chapecó, which processes the milk and sells it under the brand *Terra Viva* (‘Living Land’). The animals at *Conquista na Fronteira* are fed by a pasture rotation system known as Voisin Grazing or Rational Intensive Grazing (PRV), an agroecological alternative for animal breeding. The animal feed is produced in the feed factory located in the settlement.
While milk is the main output for the settlement, it is not the only agricultural activity. The settlement produces grain and yerba mate, breeds pigs, cattle, bees (for honey), and poultry (for eggs), and has twelve dams to breed fish. The residents of the encampment are repairing the old poultry refrigerator that has been with them since 1997. When it is expanded, they hope to be able to slaughter 3,500 chickens per hour.
There is also a garden that produces the vegetables for the residents of the settlement. The families have the right to pick up vegetables three times a week. ‘They are distributed according to what is available. Nobody goes there just to take the vegetables they want. The people who decide this are the people who are responsible for taking care of the vegetable garden. But you always leave with your bags filled’, explains Irma. This production guarantees the subsistence of the residents of *Conquita na Fronteira*. ‘We have an extraordinary diet made up of meat, eggs, and milk, and food that is
organic and made without poison. We buy very little from the market’, says Irma. Next to the vegetable garden, there is a tree nursery that contributes both to reforest the area degraded by the *latifundio* and to beautify the land next to the homes. Reforestation is a key part of the plan for the settlement; now, 40% of the settlement is woodland.
Renumeration for work is based on the number of hours worked by the members of the settlement. At the end of every month, the hours worked by each person are added up, and the total income of the cooperative is then divided up based on the hours worked.
Education and Health
*Conquista na Fronteira* is more than a cooperative to produce goods for both subsistence and sale. The well-being of the people who live on the cooperative is essential: notably, their education and health. From the start of the struggle, education has been a priority. ‘We fought to build a school’, says Irma, ‘before we fought to build our own houses’. It was due to the demand of the families from the earliest time of the settlement that the municipal school – *Construindo o Caminho* (‘Building the Way’) – was built.
Since 1990, when the school was opened, the question was raised about the character of the education. It was not enough to provide basic literacy; there was a need to integrate students into a pedagogical process that was compatible with the demand for popular agrarian reform. ‘We wanted a different education and we were perfecting it within the Paulo Freire method’, Irma says. The school goes up to the fourth grade and the teaching process is carried out with a central theme. The children are responsible for the management of the school; as in the cooperative, they make decisions together and define the rules for the functioning of the school and the activities that will be developed.
The idea of collective organisation is not only central to the school, but also for the community leisure and health sectors. Health care is a key part of the settlement and incorporates herbal medicine into its public health practices.
The pedagogical approach of the school – the curriculum and the form of organisation of the school – has made it a target of the right-wing party that governs the municipality. They have tried to close the school. The children, however, occupied city hall. The school, says Irma, ‘is a symbol of resistance; that is why they want to close it, because it is a significant experience. They know that we are forming consciousness’.
With ten classrooms, a cafeteria, an administrative office, and a library, the school at the Herdeiros da Terra encampment has over 200 students from elementary school to high school, as well as roughly 24 teachers.
Wellington Lenon
Challenges
*Conquista na Fronteira* is now thirty-one years old. It has made many advances, but there have also been many challenges. The settlement, says Irma with serenity, ‘was built amidst many contradictions. One cannot say that it is a bed of roses’.
One of the greatest challenges is keeping the youth in the countryside, since the majority of young people end up going to the city when they reach a certain age. ‘We have the challenge of keeping the youth here, of improving income, of maintaining the spirit of solidarity and cooperation. In a society that is as individualistic as ours, we swim against all the tide’, says Irma.
Irma, who has been at *Conquista na Fronteira* for three decades, says that she and her comrades hope that the settlement will be less the exception and more the rule – but this can only happen if popular agrarian reform establishes itself on a national scale. ‘Many times, we end up reproducing the logic of agribusiness in our settlements. But our great point of resistance is our dialogue over agroecology, cooperation, and solidarity. That is what gives us joy, make us feel alive, and keeps us standing. The theme of popular agrarian reform challenges society on many levels in a productive way. It is a way of explaining healthy food, agroecology, social life, and showing that the countryside is a good place to live’.
MST march that took place during the movement’s 6th National Congress in 2014. The marches are among the movement’s primary instruments of struggle.
Mídia Ninja
Tricontinental: Institute for Social Research is an international, movement-driven institution focused on stimulating intellectual debate that serves people’s aspirations.
www.thetricontinental.org
Instituto Tricontinental de Investigación Social es una institución promovida por los movimientos, dedicada a estimular el debate intelectual al servicio de las aspiraciones del pueblo.
www.eltricontinental.org
Instituto Tricontinental de Pesquisa Social é uma instituição internacional, organizado por movimentos, com foco em estimular o debate intelectual para o serviço das aspirações do povo.
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Key Stage 4 Options 2016-2017
Guidance for students
All Saints Catholic College, Birch Lane, Dukinfield, SK165AP
www.allsaintscatholiccollege.com
Be inspired | Be excellent | Succeed
# Key Stage 4 Options 2016-2017: Guidance for students
## Contents
| Section | Page |
|----------------------------------------------|------|
| Options Choice Form | 1 |
| Definition of Term | 2 |
| Choosing your Options - Guidance for Students| 3 |
### Core Subjects
| Subject | Page |
|----------------------------------------|------|
| GCSE English Language | 5 |
| GCSE English Literature | 6 |
| GCSE Combined Science | 7-8 |
| GCSE Mathematics | 9 |
| GCSE Religious Education | 10 |
| Core Physical Education | 11 |
### Option Subjects
| Subject | Page |
|----------------------------------------|------|
| GCSE Art | 13 |
| GCSE French | 14 |
| GCSE Spanish | 15 |
| GCSE Geography | 16 |
| GCSE History | 17 |
| GCSE PE | 18 |
| BTEC PE | 19 |
| GCSE Computer Science | 20 |
| BTEC Performing arts (Drama & Music) | 21 |
| BTEC Graphic Products | 22 |
| BTEC Food and cookery | 23 |
| GCSE Information technology | 24 |
| BTEC Textiles | 25 |
| GCSE Triple Science | 26-27|
Core Subjects
All pupils will study the following core subjects;
| Subject | Curriculum hours per week |
|--------------------------------|---------------------------|
| GCSE English Language | 4 |
| GCSE English Literature | 4 |
| GCSE Combined Science | 4 |
| GCSE Mathematics | 4 |
| GCSE Religious Education | 3 |
| Core Physical Education | 1 |
Option Subjects
All pupils have been allocated a specific pathway based on their prior attainment and current working grades (A, B and C).
**Pathway A:** Must select French with either History or Geography and one other option from either block.
**Pathway B:** Must select one subject from option Block 1 and two further options from either of the option blocks.
**Pathway C:** Must select one from option Block 1 and two from option Block 2.
### Block 1
| Subjects | Pathway |
|---------------------------|---------|
| GCSE Computing | AB |
| GCSE French | ABC |
| GCSE Spanish | ABC |
| GCSE Geography | ABC |
| GCSE History | ABC |
| GCSE Triple Science | A |
### Block 2
| Subjects | Pathway |
|-----------------------------------|---------|
| GCSE Art | ABC |
| GCSE PE | ABC |
| BTEC PE | ABC |
| GCSE Drama | ABC |
| BTEC Performing arts | ABC |
| BTEC Graphics | ABC |
| BTEC Food and cookery | ABC |
| GCSE Information technology | ABC |
| BTEC Textiles | ABC |
Core Subjects - Compulsory courses that are studied by all students at Key Stage 4.
GCSE - General Certificate of Secondary Education
GCSEs are graded 1-9. In some subjects, students are entered for one of two GCSE tiers: Foundation or Higher. In most subjects the Foundation tier has a grade range of 5–1 and the Higher Tier of 9 – 4.
Assessment of GCSE is usually by an examination and controlled assessments. The proportion of controlled assessment is higher in some creative and practical subjects.
BTEC - Business and Technology Education Council
BTEC courses develop a broad range of skills in work related areas. Students learn by completing projects and assignments that are based on realistic workplace situations, activities and demands. Students study core and specialist units. All units are assessed and graded by teachers. An overall grade for the qualification is awarded to students who successfully complete all units.
The grades are a Pass (currently equivalent to a 5 grade at GCSE), a Merit (currently equivalent to a 6 grade) or a Distinction (currently equivalent to an 7 grades at GCSE).
Choosing your Options - Guidance for Students
In Key Stage 4, at All Saints Catholic College students follow the core subjects of English Language and Literature, Mathematics, Science and Religious Education. Pupils will complete 1 lesson of Core PE each week, and can also opt to study PE as a GCSE.
Statutory elements of the Spiritual, Moral, Social and Cultural curriculum will also be part of our core. E-safety and aspects of Information Technology will be covered in the tutor programme and across all subject areas.
In addition to the core subjects, students will make three choices from a range of GCSE/BTEC subjects.
The information in this booklet, on pages 5-27, gives more detailed information on both the core and option subjects in Key Stage 4.
The information in this booklet is correct at the time of going to print and we are committed to the structure and courses described. We try our hardest to make sure that every student can follow the courses they choose.
However, if after analysing students’ choices we find that some courses are not viable due to small numbers we may have to offer students an alternative. If this happens both students and parents will be informed.
Making the right choice
It is important that students choose subjects that they enjoy and can commit to for three years of study.
For each choice carefully consider, in this order:
• How good is he/she at the subject?
• What might he/she be studying at college / Sixth Form?
• Which subjects does he/she most enjoy?
Common mistakes
Students must not choose a course just because they like the teacher. That teacher may not be teaching the course next year. It is far more important for students to like the subject they will be studying.
Students must not follow their friends’ choices. They may not have the same interests or needs, and may not be in the same classes next year anyway.
Please study the course descriptions of the option subjects on pages 13-27. These provide more detailed information about options and how they are assessed. If you have any questions please speak to the Head of Subject or the Form Tutor during options evening on 16th February 2017.
Core Subjects
GCSE English Language
Introduction and course overview
Pupils will gain one GCSE in English Language graded 1 – 9. The course is designed to teach pupils a range of transferable skills such as reading and writing.
Pupils will study the following units:
Explorations in Creative Reading and Writing.
Writers’ Viewpoints and Perspectives.
A non-assessed speaking and listening unit that will provide pupils with the necessary skills to present information and respond to questions.
Aims of the course
Read a wide range of texts, fluently and with good understanding.
Read critically, and use knowledge gained from wide reading to inform and improve their own writing.
Write effectively and coherently using Standard English.
Use grammar correctly, punctuate and spell accurately.
Method of assessment
Two exams to be taken at the end of the course.
Paper 1: Explorations in Creative Reading and Writing
Section A: Reading
Section B: Writing to Describe or Narrate
1 hour 45 minutes 80 marks 50% of overall GCSE
Paper 2: Writers’ Viewpoints and Perspectives
Section A: Reading
Section B: Writing from a Viewpoint
1 hour 45 minutes 80 marks 50% of overall GCSE
Useful resources and further information
There is no longer a coursework or controlled assessment option so the course is 100% exam.
The English Language course requires independent study and we recommend that pupils read a wide range of fiction and non-fiction texts to develop their reading skills.
AQA Course Specification: http://www.aqa.org.uk/subjects/english/gcse/english-language-8700
BBC Bitesize English Language: http://www.bbc.co.uk/education/subjects/zr9d7ty
GCSE English Literature
Introduction and course overview
Pupils will study a wide variety of texts including plays, novels and poetry. The course will cover a Shakespeare play, a modern play, a 19th century novel and a collection of anthology poetry. Pupils will learn to appreciate the depth and power of the English Literary heritage and understand the context of each text.
Aims of the course
Read a wide range of classic literature fluently and with good understanding.
Read in depth, critically and evaluative so they can discuss and explain their understanding and ideas.
Develop the habit of reading widely and often.
Write accurately, effectively and analytically about their reading using Standard English.
Acquire and use a wide vocabulary, including grammatical terminology and linguistic terms.
Method of assessment
Two exams at the end of the course.
Paper 1: Shakespeare and the 19th Century Novel
1 hour 45 minutes
64 marks 40% of overall GCSE
Paper 2: Modern Texts and Poetry
2 hours 15 minutes
96 marks 60% of overall GCSE
Useful resources and further information
Pupils will study: Macbeth, A Christmas Carol and An Inspector Calls (these will be confirmed once the pupils begin the course).
AQA Course specification: http://www.aqa.org.uk/subjects/english/gcse/english-literature-8702
BBC Bitesize English Literature: http://www.bbc.co.uk/education/subjects/zckw2hv
The Edexcel combined science GCSE qualification awards 2 GCSE grades which will be graded between grade 1 and 9. Grade 1 being the lowest grade and grade 9 being the highest. Each student will spend 4 hours a week in science studying this qualification over 3 years.
Throughout the three years the qualification will be taught and assessed as a series of topics and progress will be monitored over the three years and assessed using the grade 1 to 9 criteria.
To provide all pupils with the foundation knowledge for understanding the our world. Scientific understanding is changing our lives and is vital to the world’s future prosperity. All students should learn essential aspects of the knowledge, methods, processes and uses of science. They should gain appreciation of how the complex and diverse phenomena of the natural world can be described in terms of a small number of key ideas that relate to the sciences and that are both inter-linked and of universal application
There are 6 exams for combined science, two for each science specialism.
The exams are 1 hour and 30 minutes in length and are out of 60 marks, these will all be taken at the end of year 11. Each exam has a foundation and higher tier and the same tier must be taken for all exams.
The foundation tier covers grades 1 to 5 and the higher tier covers grades 4-9.
Core practical skills will be assessed in the exams totalling 15% of all marks along with key mathematics skills which totals 20% of the examination marks. For Foundation tier, the mathematics will be at the level of KS3 maths. For Higher tier, the mathematics will be at the level of Foundation tier maths. The exams will contain a mixture of multiple choice and long answer questions.
There are a set 18 core practical investigations for combined science that must be completed as they will be examined in the terminal exams.
Example: Investigate biological specimens using microscopes, including magnification calculations and labelled scientific drawings from observations.
Each pupil will be given a core practical lab book in which they record their observations and results, make conclusions and answer key examination style questions to prepare them for the typical questions they will be asked in the terminal exams.
Useful resources and further information
The Edexcel GCSE science specifications are well supported by revision guides and workbooks which help all students revise and prepare for the terminal GCSE examinations.
The specification can be found using the link below:
http://qualifications.pearson.com/en/qualifications/edexcel-gcses/sciences-2016.html
In May of year 10 each student will sit externally set examinations which will be marked by Edexcel examiners and mirror the conditions of those at GCSE. In September of year 11 all students will receive their results which show where they are within the national cohort, they will not receive a grade but a percentile score which tells them where they are when compared with all students in the country studying this course.
GCSE Mathematics
Introduction and course overview
The purpose of the GCSE Mathematics qualification is to;
- Provide a strong foundation for further academic and vocational study
- Enable progression into employment
- Provide students with the appropriate mathematical skills, knowledge and understanding to help them progress to a full range of courses in further education.
Over the three years students will study and be assessed on the following content;
1. Number
2. Algebra
3. Ratio, proportion and rates of change
4. Geometry and measures
5. Probability
6. Statistics
Aims of the course
The main aims of GCSE Mathematics is to enable students to:
- Develop fluent knowledge, skills and understanding of mathematical methods and concepts.
- Acquire, select and apply mathematical techniques to solve problems.
- Reason mathematically, make deductions and inferences and draw conclusions.
- Comprehend, interpret and communicate mathematical information in a variety of forms appropriate to the information and context.
Method of assessment
There are two tiers available, Foundation and Higher.
The GCSE Mathematics course is linear in nature and thus all exams will be sat at the end of year 11.
| Paper | Type | Duration | Marks | % of course |
|-------|------------|--------------|-------|-------------|
| 1 | Non-calculator | 1 hr 30 mins | 80 | 33.33 |
| 2 | Calculator | 1 hr 30 mins | 80 | 33.33 |
| 3 | Calculator | 1 hr 30 mins | 80 | 33.33 |
Useful resources and further information
http://qualification.pearson.com/qualifications/edexcel-gcse/mathematics-2015.html
http://corbettmaths.com/
http://mathsapp.pixl.org.uk/
Introduction and course overview
The course students will be studying at GCSE is Edexcel Catholic Christianity Specification A. There are three areas of study that will be covered from Year 9 through to Year 11. The three areas of study are Catholic Christianity, Study of Judaism and Philosophy and Ethics. Within Catholic Christianity students will study the following topics: Beliefs and Teachings; Practices; Sources of Wisdom and Authority and Forms of Expression and Ways of Life. Students are taught about the Beliefs and Teachings of Judaism and their practices. This allows students the opportunity to explore the different values and beliefs of a different religion; developing respect and understanding for others within society. Students are taught in depth about Philosophical ideas about the Existence of God and the various arguments to support and deny Gods existence. Students have the opportunity to explore the different philosophical and ethical responses to moral issues that are present in our world today.
Aims of the course
This course helps develop a holistic understanding of religion. The new specification explores religion and practice in the 21st century and encourages students to reflect on and engage with fundamental questions. It also develops transferable skills for progression. Students will develop analytical and critical thinking skills to enable them to present a wide range of well-informed and reasonable arguments, aiding in progression to AS and A level study.
Method of assessment
Every pupil will sit three exams for Religious Studies. One lasts for 1hr 45minutes and the other two last for 50minutes each.
Catholic Christianity (1hr 45 minutes worth 50% of final mark)
Judaism (50 minutes worth 25% of final mark)
Philosophy and Ethics (50 minutes worth 25% of final mark)
There are a range of question styles that will be used in the papers and it is important that pupils are comfortable answering each of the styles.
There is no coursework element to the Religious Studies course.
Useful resources and further information
Edexcel Specification A Catholic Christianity:
http://qualifications.pearson.com/en/qualifications/edexcel-gcses/religious-studies-a-2016.html
Revision guides have not been published for this specification as yet.
Core Physical Education
Introduction and course overview
Core PE is a compulsory part of the school curriculum. All pupils will participate in at least one hour of PE every week. In this lesson pupils will be allowed to choose from a number of options.
Aims of the course
The national curriculum for physical education aims to ensure that all pupils:
- Develop competence to excel in a broad range of physical activities
- Are physically active for sustained periods of time
- Engage in competitive sports and activities
- Lead healthy, active lives.
Method of assessment
Students should be able to demonstrate a development in their technique and show an improved performance in competitive sports or other physical activities.
Students should be able to evaluate their performances compared to previous ones and demonstrate improvement across a range of physical activities to achieve their personal best.
Useful resources and further information
https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/239086/SECONDARY_national_curriculum - Physical_education.pdf
Option Subjects
From the options on pages 13-27, students must choose 3 options
GCSE Art and Design (AQA)
Introduction and course overview
This subject is offered as a GCSE course in Art, Craft & Design. The course encourages a broad approach, which can allow pupils to develop an exploration in a variety of areas, (Fine Art, Textiles, Graphics, Three Dimensional Design and Photography).
The course is made up of two units of work:
Component 1: Portfolio of Work (60%)
Pupils must produce and submit for assessment a selection of work representative of their course of study. The course can be adapted to suit your skills and preferences.
This must contain work from at least two projects done in year 9 and 10 and up to February in year 11.
The work from each project will be marked as a whole.
Component 2: Externally set Task (40%)
Question papers containing a selection of starting points are set by the examination board and issued to candidates.
Pupils are given a preliminary period of time to research and plan for the production of either a single response to their chosen starting point, or a series of responses.
Pupils then produce their personal response during a 10 hour supervised examination.
Aims of the course
The overall aim of the course is to encourage an adventurous and enquiring approach to art and design which is informed and developed through study of both historical and contemporary art practice. In turn this should enable students to embrace and explore a range of ideas in their work of both a personal and an objective/analytical nature and, in so doing, harness a meaningful appreciation of visual culture.
Method of assessment
Both of the units are marked by the College and moderated by the Examination Board. Assessment is based on four Assessment Objectives which are designed to measure pupils’ progress in terms of their development of Knowledge and Understanding. All four are equally weighted and are as follows:
1. Research & Develop
2. Experiment & Refine
3. Recording Ideas and Observations
4. Final piece making connections with artists & showing understanding
All projects will show these because the teacher will provide guidance throughout.
Useful resources and further information
Most of our students progress on to A level courses. This course provides access to a significant number of career options which are available from the Art department on request.
No matter where pupils’ career aspirations lie, Art remains a subject from which all pupils can derive an enriching, life-long experience. The Art department welcomes anyone who enjoys the subject and wants to learn, irrespective of ability.
For specification details please visit AQA website Art and Design.
GCSE French
Introduction and course overview
A language is an essential skill. The job market gets more competitive every day. Can you afford not to have skills in a second language? In GCSE French you will learn to use four main aspects of essential skills in communication in French (and, indeed, in any language): Listening, Speaking, Reading and Writing.
During the course you will cover the following topic areas:
Theme 1: Identity and culture
Theme 2: Local, national, international and global areas of interest
Theme 3: Current and future study and employment
Aims of the course
This course will encourage students to develop their ability and ambition to communicate with native speakers both written and verbally. The study of French will also broaden their horizons and encourage them to step beyond familiar cultural boundaries.
Students will be encouraged to:
- Develop the ability to communicate confidently and coherently with native speakers in speech and writing, conveying what they want to say with increasing accuracy
- Listen to and understand clearly articulated, standard speech at near normal speed
- Deepen their knowledge about how language works and enrich their vocabulary to increase their independent use and understanding of extended language in a range of contexts
- Acquire new knowledge, skills and ways of thinking through the ability to understand and respond to spoken and written material, adapted and abridged, as appropriate, including literary texts
- Develop awareness and understanding of the culture and identity of the countries and communities where French is spoken
Method of assessment
In your French GCSE all four areas of Listening, Speaking, Reading and Writing will be assessed:
The candidates will be tested in the four main skills; listening, speaking, reading and writing. The four skills are tested at the end of the course by examination. All papers are available at either foundation or higher tier. However, candidates will not be able to mix tiers on different papers.
Unit 1 Listening: 40% of the total mark which is assessed by an end of course examination
Unit 2 Reading: 20% of the total mark which is assessed by an end of course examination
Unit 3 Speaking: 30% of the total mark which is assessed by two externally marked tasks
Unit 4 Writing: 30% of the total mark which is assessed by two externally marked tasks
Useful resources and further information
A GCSE in French is extremely useful for a variety of jobs, not just teaching or translating; for example, tourism, web design, medicine, engineering or ICT. If you are thinking you would like a career in any of these fields, or you just want to keep your options open for the future - a GCSE in languages may be just what you need!
AQA GCSE French specification: http://www.aqa.org.uk/subjects/languages/gcse/french-4655
GCSE Spanish
Introduction and course overview
A language is an essential skill. The job market gets more competitive every day. Can you afford not to have skills in a second language? In GCSE Spanish you will learn to use four main aspects of essential skills in communication in Spanish (and, indeed, in any language): Listening, Speaking, Reading and Writing.
During the course you will cover the following topic areas:
Theme 1: Identity and culture
Theme 2: Local, national, international and global areas of interest
Theme 3: Current and future study and employment
Aims of the course
This course will encourage students to develop their ability and ambition to communicate with native speakers both written and verbally. The study of French will also broaden their horizons and encourage them to step beyond familiar cultural boundaries.
Students will be encouraged to:
- Develop the ability to communicate confidently and coherently with native speakers in speech and writing, conveying what they want to say with increasing accuracy
- Listen to and understand clearly articulated, standard speech at near normal speed
- Deepen their knowledge about how language works and enrich their vocabulary to increase their independent use and understanding of extended language in a range of contexts
- Acquire new knowledge, skills and ways of thinking through the ability to understand and respond to spoken and written material, adapted and abridged, as appropriate, including literary texts
- Develop awareness and understanding of the culture and identity of the countries and communities where Spanish is spoken
Method of assessment
In your Spanish GCSE all four areas of Listening, Speaking, Reading and Writing will be assessed:
The candidates will be tested in the four main skills; listening, speaking, reading and writing. The four skills are tested at the end of the course by examination. All papers are available at either foundation or higher tier. However, candidates will not be able to mix tiers on different papers.
Unit 1 Listening: 40% of the total mark which is assessed by an end of course examination
Unit 2 Reading: 20% of the total mark which is assessed by an end of course examination
Unit 3 Speaking: 30% of the total mark which is assessed by two externally marked tasks
Unit 4 Writing: 30% of the total mark which is assessed by two externally marked tasks
Useful resources and further information
A GCSE in Spanish is extremely useful for a variety of jobs, not just teaching or translating; for example, tourism, web design, medicine, engineering or ICT. If you are thinking you would like a career in any of these fields, or you just want to keep your options open for the future - a GCSE in languages may be just what you need!
AQA GCSE French specification: http://www.aqa.org.uk/subjects/languages/gcse/spanish-4655
GCSE Geography
Introduction and course overview
This exciting and relevant course studies geography in a balanced framework of physical and human themes and investigates the link between them.
Students will travel the world from their classroom, exploring case studies in the United Kingdom (UK), higher income countries (HICs), newly emerging economies (NEEs) and lower income countries (LICs). Topics of study include climate change, poverty, deprivation, global shifts in economic power and the challenge of sustainable resource use. Students are also encouraged to understand their role in society, by considering different viewpoints, values
Aims of the course
This specification should encourage students to:
• Develop and extend their knowledge of locations, places, environments and processes, and of different scales including global; and of social, political and cultural contexts (know geographical material)
• Gain an understanding of the interactions between people and environments, change in places and processes over space and time, and the inter-relationship between geographical phenomena at different scales and in different contexts (think like a geographer)
• Develop and extend their competence in a range of skills including those used in fieldwork, in using maps and Geographic information systems (GIS) and in researching secondary evidence, including digital sources; and develop their competence in applying sound enquiry and investigative approaches to questions and hypotheses (study like a geographer)
• Apply geographical knowledge, understanding, skills and approaches appropriately and creatively to real world contexts, including fieldwork, and to contemporary situations and issues; and develop well-evidenced arguments drawing on their geographical knowledge and understanding (applying geography).
Method of assessment
The course is linear in nature and all pupils will be assessed by means of three terminal exams. These are;
Paper 1: Living with the physical environment - 1 hour 30 minutes with a total of 88 marks and contributes to 35% of the total course.
Paper 2: Challenges in the human environment 1 hour 30 minutes with a total of 88 marks and contributes to 35% of the total course.
Paper 3: Geographical applications - 1 hour 15 minutes with a total of 76 marks and contributes to 30% of the total course.
Useful resources and further information
http://www.aqa.org.uk/subjects/geography/gcse/geography-8035
https://www.cgpbooks.co.uk/Parent/books_gcse_geography?range=new
GCSE History
Introduction and course overview
History at GCSE. This is a three year course. We follow AQA and have four modules to teach during Y9 and Y10. These four modules all get revised in Y11. There are two written exams at the end of Y11. The course in Y9 studies an aspect of world history and includes a depth study of one major power, Germany. In Y10 we look at British history and look at things over a much longer period. It is a serious well regarded GCSE and involves a lot of reading and writing. If you like the drama of peoples lives and troubles, then you will enjoy this.
Aims of the course
The course is designed to make you read study and think. You have to be able to discuss and listen to others arguments. We have a lot to get through, you will be busy. You learn how to think more clearly and how to write your responses out in detail. Your exam papers need you to be able to concentrate for an hour and a half. Some are based on sources and you need to be able to think clearly under pressure.
Method of assessment
The four modules are,
1. Conflict and tension 1894-1918. This covers the build up to World War One and the war itself in some detail.
2. Germany 1890-1945. This looks at Germany over the period of the two world wars and the effects on democracy and the rise of Adolf Hitler. It is called Democracy and Dictatorship. These two modules make up one exam paper.
3. The third module is Britain: Power and the people. This looks at the roots and the development of our modern democracy starting back in Medieval times and going right up to the 1980’s.
4. The Fourth is Elizabethan England 1568-1603. This looks at one period in detail and tries to understand the problems that Elizabeth had to deal with.
These modules will be assessed by means of two terminal exams at the end of year 11.
Paper 1: Understanding the modern world contributes to 50% of the total course and has a maximum of 84 marks.
Paper 2: Shaping the nation contributes to 50% of the total course and has a maximum of 84 marks.
Useful resources and further information
You can learn much more by visiting the AQA site:
http://www.aqa.org.uk/subjects/history/gcse/history-8145
GCSE PE
Introduction and course overview
GCSE Physical Education provides students with the knowledge and understanding of how to live a healthy and active lifestyle, enabling them to make informed choices about their own physical development. Students can choose from a variety of roles and activities in which to participate in physical activity.
Students will learn how to analyse and evaluate performance and suggest effective plans for improvement.
Aims of the course
On successful completion of this course, you may wish to study either A Level Physical Education or the BTEC Level 3 Diploma in Sport in college.
The A Level course will further develop your knowledge of physiology, biomechanics, sports history and sports psychology.
Possible university and career pathways:
- Physiotherapy
- Science courses (biology/chemistry based courses)
- Physical Education Teacher
- Sports Coach
- Sports Science
- Sports Development
Method of assessment
The Non-Examined Assessment (NEA) is worth 40% comprising of practical performance and performance analysis, both of which will be internally assessed and externally moderated:
- Practicals are now 30% of the NEA and candidates must be assessed in three activities - one team activity, one individual activity and a free choice from the list published by the DfE.
- Performance analysis is worth 10% of the NEA.
- A written examination is worth 60% of the qualification
Useful resources and further information
http://www.aqa.org.uk/subjects/physical-education/gcse/physical-education-4890
Introduction and course overview
Following a BTEC course is an exciting way to study. It gives you the opportunity to develop the knowledge, skills and understanding that you will need in the world of work and university. BTEC courses put you more in charge of your own learning and allow extensive opportunities to develop the ability to work with independence. There are no written exams but instead you will complete assignments throughout the 3 years. Each assignment will have a deadline, so you will need to be organised and have a mature attitude towards independent learning.
Aims of the course
On successful completion of this course, you may wish to study BTEC Level 3 course in sport in college. This is the equivalent to A’ Levels and will further develop and extend knowledge from previous units. Students will also have the opportunity to take on and study new topics within units. On successful completion of the BTEC Level 3 Subsidiary Diploma in Sport, students are then eligible to apply to university, employers to continue their studies or vocations.
Possible university and career pathways:
- Physiotherapy
- Physical Education Teacher
- Sports Coach
- Sports Science
- Sports Development
Method of assessment
This course is assessed through coursework so there is NO STANDARD WRITTEN EXAMINATIONS. However, there is 1 unit which is externally assessed by an online test. Within assignments, tasks will be completed to Level 1 Pass, Level 2 Pass, MERIT or DISTINCTION level. Each individual assignment must be completed to at least a pass level in order to pass the whole unit. All assignment tasks are coursework and contribute to the completion of the course.
Overall L2 PASS = Grade 5
Overall MERIT = Grade 6-7
Overall DISTINCTION = Grade 7-8
All work at DISTINCTION * = Grade 9
Useful resources and further information
http://qualifications.pearson.com/en/qualifications/btec-firsts/sport-2012-nqf.html
GCSE Computing
Introduction and course overview
Computer Science GCSE is a unique curriculum which includes exciting advances, such as development of mobile apps and web technologies, as well as learning computing theory and essential programming skills. This qualification values computational thinking, helping learners to develop the skills to solve problems and design systems. It is relevant to the modern and changing world of computer science. These innovative skills will be significant for GCSE pupils to address the demands of the IT industry and other employers.
Aims of the course
- understand and apply the fundamental principles and concepts of Computer Science, including abstraction, decomposition, logic, algorithms, and data representation
- analyse problems in computational terms through practical experience of solving such problems, including designing, writing and debugging programs
- think creatively, innovatively, analytically, logically and critically
- understand the components that make up digital systems, and how they communicate with one another and with other systems
- understand the impacts of digital technology to the individual and to wider society
Method of assessment
The assessment consists of two written examinations and an externally moderated non-exam assessment.
The two written exams will be taken at the end of Year 11 and contribute towards 80% of the total GCSE. In the non-exam assessment students will spend 20 hours completing an assignment set by the exam board. This is worth 20% of the final mark.
Useful resources and further information
These skills will be the best preparation for learners who want to go on to study Computer Science at A Level and beyond. Equally, you will be taught the skills and gain a recognised qualification that will help you if you move onto employment after Year 11. The qualification will also provide a good grounding for other subject areas that require computational thinking and analytical skills.
For further information visit the website
www.aqa.org.uk/subjects/computer-science-and-it/gcse/computer-science-4512
Level 2 BTEC Performing Arts
Introduction and course overview
The BTEC performing arts course is comprised of three units;
**Individual showcase** – This unit allows you to demonstrate a specific skill you are good at, and would potentially like to do as a career once you leave school. In this unit you will write a letter of application for a job that requires your chosen skill, and then prepare an audition in the form of a performance or a presentation to explain why you have the desired skills for that job. This is a core unit which is externally assessed in the form of a controlled assessment.
**Preparation, Performance and Production** – In this unit you will learn how to develop a performance piece as a member of a fictional performance company, where you will take on a specific performing or production role and will prepare for, and produce, a performance by carrying out tasks that are appropriate to your role. Your performance company can include both performers (actors, dancers or musicians), and a production team (sound or lighting technicians, costume, set, makeup, prop or mask designers) This is a mandatory unit which is assessed by your teacher.
Then you pick a unit of your choice from the following list, which all assessed by your teacher;
- **Acting skills** – This unit looks at the skills required to be a professional actor, whether it be on stage or screen.
- **Dancing skills** – This unit looks at the skills required to be a professional and versatile dancer, able to perform in a variety of different styles.
- **Musical theatre skills** – This unit looks at the specific skills required to be a professional musical theatre performer, combining acting, singing and dancing skills into one.
- **Music performance skills** – This unit looks at the skills required to be a professional musician, whether it be as part of an orchestra, choir, theatre company or rock band.
Aims of the course
BTEC Performing Arts is about studying performance (acting, singing and dancing all combined together) and technical aspects (lighting, sound, costumes and props) to create a variety of different productions throughout the three year course.
**You will enjoy this course if you want to study a subject that can;**
- Involve performing (singing, acting or dancing)
- Involve researching the different jobs within the Performing arts industry
- Involve costume and scenery design, or sound and lighting engineers.
- Produce concerts, dance events and Musical theatre productions.
You will be able to pick units that are of a specific interest to you, whether that be singing, acting or dancing, looking specifically at Musical theatre and stage shows, or working behind the scenes on technical and design aspects.
Method of assessment
There is no written exam in BTEC Performing Arts – all the work is coursework-based, with evidence being provided in a variety of formats, such as presentations, diary logs, recordings (audio and visual), performances, and traditional written methods. The mandatory unit is completed as a controlled assessment, with a given time period in which to complete it, and this is then marked by an external examiner. The other two units are completed during lesson time and marked by your class teacher.
Useful resources and further information
https://qualifications.pearson.com/en/qualifications/btec-firsts/performing-arts-2012-nqf.html
Introduction and course overview
This is a practical based design course which is made up of 4 units. These are as follows:
- Unit 01: Understand graphic processes, materials, and techniques.
- Unit 02: Research sources of ideas in a graphic design context.
- Unit 03: Develop ideas and graphic solutions.
- Unit 04: Plan, produce and present final graphic design work.
This course may be suited to you if you enjoyed Technology in years 7 and 8. It will also allow you to progress onto a variety of creative courses including A-Levels and NCFE Level 3 courses.
Aims of the course
- To enable progression to a range of study and employment opportunities
- To develop a broad and comprehensive understanding of Graphic Design
- Provide academic and study skills that will support progression within Graphic Design and more broadly.
- To help students develop a portfolio of work
- To use materials, tools and equipment competently and safely
- To develop a range of transferable functional skills: reading, literacy, writing, numeracy, analysing, Interpreting, ICT, developing and communicating information
Method of assessment
Students will be awarded an NCFE level 2 in Creative Studies: Graphic Design. Students studying the course will be awarded if they are successful a pass, merit, or distinction. This course is however equivalent to a GCSE. The course will be assessed as follows:
- Unit 01: Understand graphic processes, materials, and techniques. **Internally assessed portfolio of evidence**
- Unit 02: Research sources of ideas in a graphic design context. **Internally assessed portfolio of evidence**
- Unit 03: Develop ideas and graphic solutions. **Externally assessed assignment**
- Unit 04: Plan, produce and present final graphic design work. **Internally assessed portfolio of evidence**
Useful resources and further information
https://www.ncfe.org.uk/media/829489/l2-graphic-design-qualification-specification-issue-5.pdf
Introduction and course overview
This qualification is designed for learners with a passion for food and cookery. It will provide learners with experience of using different cooking techniques and methods to enable them to use these within further education or apprenticeships. It will give them a basic understanding of the skills required for a career in food. This vocational qualification fulfils entry requirements for academic and vocational study post-16, and will count as equivalent to one GCSE in the Key Stage 4 performance tables.
Aims of the course
The objectives of this qualification are to help learners to:
- Prepare and cook using basic skills
- Understand food and its functions in the body and in recipes
- Understand balanced diets and modification of recipes for health
- Plan and produce dishes for a purpose
Method of assessment
The assessment of the NCFE Level 2 certificate in Food and Cookery consists of 2 types of assessment:
- Internal assessment—portfolio of evidence. This will be graded by centre staff and externally moderated by NCFE.
- External assessment—external assessment paper. This will be graded by NCFE.
The qualification consists of:
- Unit 1 (25%) - Preparing to cook (Internally assessed portfolio of evidence)
- Unit 2 (25%) - Understanding food (Internally assessed portfolio of evidence)
- Unit 3 (25%) - Exploring balanced diets (Externally set and marked assessment paper)
- Unit 4 (25%) - Plan and produce dishes in response to a brief (Internally assessed portfolio of evidence)
Students studying the course will be awarded if they are successful a pass, merit, or distinction.
Useful resources and further information
NCFE Food and Cookery is a suitable qualification for those who want a broad background in this area or for those who wish to progress further. The course will also provide opportunities to develop transferable skills such as planning, research skills, communication, problem solving skills and health and safety.
GCSE Information Technology
Introduction and course overview
This course is a practical, hands on approach that will equip learners with sound ICT skills for everyday use. It will provide learners with opportunities to develop in context other desirable, transferable skills such as planning, research and working with others. Students will take and pass four units.
Unit R001 – Understanding Computer Systems (25% of total Marks):
In this unit you will study the computer system on which application software is used. This can be from using personal computers to smartphones. You will acquire the knowledge and understanding of how to use computers effectively in a variety of different contexts including home, school and the workplace.
Unit 2 – Using ICT to create business solutions (25% of the final Marks):
Learners will use a wide range of applications that are commonly used in the workplace, business and in further and higher education. You will learn how to select the most appropriate software to complete tasks to meet specified business requirements in a variety of contexts.
Unit 3 and 4 – Optional Units (50% of final mark)
There are a range of options to choose from Business information systems, Creative, Technical or Learner-initiated project.
Aims of the course
• to strengthen knowledge and understanding of how to use computer systems effectively.
• develop knowledge and understanding of computer systems used both at home and at school and to explore how these same technologies are used by business organisations.
• become expert users of ‘office’ applications software to edit and format/create content to meet specified business purposes.
• increase own personal data security and the security data of others. Learners will be more informed users of computers making them more effective participators in business and social life.
• Enhance employability when they leave education, contributing to their personal development and future economic well-being.
Method of assessment
Unit 1 (25%) - 1 Hour written Paper set and marked by the exam board
Units 2, 3, 4 (75%) – Practical task on the computer set by the exam board
Useful resources and further information
www.ocr.org.uk/qualifications/cambridge-nationals-ict-level-1-2-j800-j810-j820/
Level 2 Technical Award—Visual Communication
Introduction and course overview
This is a hands on, practical course that helps students to develop knowledge, skills and experience that could open the door to a career in the visual communication industry. It is equivalent to one GCSE and learners can progress to A levels in Design and Technology, other creative subjects or BTEC level 3 Diploma in Graphic and Interactive Design.
This course specifically develops a wide range of practical making skills incorporating drawing and sketching in 2D and 3D, using digital software, application of colour theory and image capture and manipulation.
This course is for students who enjoyed design and technology—graphics in year 7 and 8 who wish to use their creative and technical skills further.
Aims of the course
This course enables learners to demonstrate their practical skills and experience in a similar way to those developing promotional materials in industry. Learners will make a range of products, prototypes and samples, applying technical and practical expertise to ensure that the product is fit for purpose. Learners will have the opportunity to use traditional skills and modern technologies, including digital.
This course will allow learners to study traditional and digital communication techniques, materials, components, processes and technologies. They will also develop their decision-making skills through independent learning and team working.
The subject aims to develop the knowledge, understanding and skills required to use a variety of materials in an imaginative way, in the context of marketing and promotion.
Method of assessment
Unit 1: Skills Demonstration
Learners undertake a number of mini-projects that will allow them to be assessed against 12 core practical skills.
- 30% of the overall qualification, internally assessed, 72 marks
Unit 2: Extended Making Project
Learners carry out an extended making project that showcases the skills they have developed in unit 1 and the knowledge learnt in unit 3
- 30% of overall qualification, internally assessed, 72 marks
Unit 3: Fundamentals of Visual Communication
Learners will be assessed on their knowledge and understanding of a range of visual communication skills on a multiple choice examination.
Useful resources and further information
http://filestore.aqa.org.uk/resources/visual-communication/specifications/AQA-3755-SP-2017.PDF
GCSE Triple Science
Introduction and course overview
The Edexcel separate science GCSE qualification awards 3 GCSE grades one in Biology, one in Chemistry and one in Physics. All of these GCSE’s will be graded between grade 1 and 9. Grade 1 being the lowest grade and grade 9 being the highest.
Each student will spend 5 hours a week in science studying this qualification over 3 years. Throughout the three years the qualification will be taught and assessed as a series of topics and progress will be monitored over the three years and assessed using the grade 1 to 9 criteria.
Aims of the course
To provide all pupils with the foundation knowledge for understanding the our world. Scientific understanding is changing our lives and is vital to the world’s future prosperity. All students should learn essential aspects of the knowledge, methods, processes and uses of science. They should gain appreciation of how the complex and diverse phenomena of the natural world can be described in terms of a small number of key ideas that relate to the sciences and that are both inter-linked and of universal application.
Method of assessment
There are 6 exams for the separate sciences, two for each science specialism. The exams are 1 hour and 45 minutes in length and are out of 100 marks, these will all be taken at the end of year 11.
Each exam has a foundation and higher tier and the same tier must be taken for all exams. The foundation tier covers grades 1 to 5 and the higher tier covers grades 4-9.
Core practical skills will be assessed in the exams totalling 15% of all marks along with key mathematics skills. There are different weightings for maths within the exams: Biology 10%, Chemistry 20%, Physics 30%.
For Foundation tier, the mathematics will be at the level of KS3 maths.
For Higher tier, the mathematics will be at the level of Foundation tier maths.
The exams will contain a mixture of multiple choice and long answer questions.
GCSE Triple Science (continued)
Core practical investigations
There are a set of core practical’s for separate science that must be completed as they will be examined in the terminal exams.
For separate science there are 24 core practical’s.
Example: Investigate biological specimens using microscopes, including magnification calculations and labelled scientific drawings from observations.
Each pupil will be given a core practical lab book in which they record their observations and results, make conclusions and answer key examination style questions to prepare them for the typical questions they will be asked in the terminal exams.
Useful resources and further information
The Edexcel GCSE science specifications are well supported by revision guides and workbooks which help all students revise and prepare for the terminal GCSE examinations.
The specifications can be found using the link below:
http://qualifications.pearson.com/en/qualifications/edexcel-gcses/sciences-2016.html#tab-1
http://qualifications.pearson.com/en/qualifications/edexcel-gcses/sciences-2016.html#tab-2
http://qualifications.pearson.com/en/qualifications/edexcel-gcses/sciences-2016.html#tab-3
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What is Food Literacy?
Food literacy is a spectrum of food related knowledge, skills, attitudes and values that enhance health and well-being. It is “a collection of inter-related knowledge, skills and behaviours required to plan, manage, select, prepare and eat foods to meet needs and determine food intake” as well as “the scaffolding that empowers individuals, households, communities or nations to protect diet quality through change and support dietary resilience over time”.
Why do we need Food Literacy?
The ability of people to maintain health and well-being through food and nutrition has paradoxically become difficult in recent decades due to an increasingly complex food landscape.
* Walgen MH, Kalogos E. Defining food literacy and its components. Appetite. 2014;1:762-63.
Critical Food Literacy Competencies for Young Adults
Functional Competencies
Have basic nutrition knowledge:
• Understanding food groups and portion sizes.
• Understanding the link between dietary choices and health.
• Understanding the role of nutrients in the body.
• Understanding the nutrition composition of different foods.
• Understanding energy balance.
• Understanding nutritional needs at different life stages.
• Understanding different eating “lifestyles” (e.g. vegetarianism).
• Understanding nutrition claims about food.
• Being able to use technology to find credible nutrition information.
Have food safety & hygiene knowledge:
• Understanding food safety risks associated with food storage and preparation.
• Understanding hygienic food handling practices.
Have food budgeting skills:
• Being able to develop a food budget.
• Being able to select healthy foods within a budget.
Be able to successfully navigate the grocery store to make healthy and economical food choices:
• Being able to compare food costs to make economical choices.
• Being able to compare foods to make healthy food choices (by interpreting food labels and packaging).
• Being able to stock a pantry with staple ingredients.
Have food preparation skills:
• Being able to prepare meals with basic ingredients.
• Being able to use basic kitchen equipment and tools.
• Being able to read/follow a recipe.
• Being able to plan for food/meals ahead of time.
• Being able to cook with and for others.
• Being able to use technology to find appropriate recipes.
Have knowledge of where food comes from:
• Understanding food origins.
• Understanding seasonality of food.
• Understanding where to access food.
• Understanding the impact of food systems on the environment and local economy.
Have a healthy food relationship:
• Having positive attitudes around food and eating.
• Understanding the relationship between body weight and health (e.g. body weight does not equal health).
• Having healthy body image and self-esteem.
• Understanding that all foods can have a positive role in our diets.
Be able to think critically about and act on food and nutrition issues:
• Being able to advocate for the availability of healthy foods in the community.
• Understanding food and weight loss/supplement industry interests and marketing strategies.
• Understanding media reports on food and nutrition.
Relational Competencies
Joy & Meaning through Food
Have a positive relationship with food:
• Enjoying food and eating.
• Making food choices that promote well-being.
• Engaging in mindful eating practices.
• Preparing food in a fun and enjoyable way.
• Enjoying preparing new and diverse foods.
Enjoy cultural foods:
• Passing on family food traditions through celebrations, cultural foods, and family recipes.
• Appreciating foods from different cultures.
• Being able to access foods particular to one’s culture.
Value local food systems:
• Appreciating the role of local foods for community well-being.
Experience new and varied foods:
• Being open to eating new and diverse foods.
• Enjoying cooking new and diverse foods.
Recognize the importance of preparing and eating food with/for others:
• Valuing sharing food with others.
• Valuing everyday family meals.
• Valuing preparing food together.
• Valuing preparing food for others.
Systems Competencies
Equity & Sustainability for Food Systems
Understand social justice issues in the food system:
• Understanding food security issues at individual, community, and global levels.
• Understanding ethical issues in food production.
• Recognizing farming as a career option.
• Understanding social justice implications of food choices.
Understand the influence of food corporations and lobbying interests:
• Being able to think critically about the influence of food corporations, lobby groups, and media on food choices.
Critical Food Literacy Competencies for Young Adults
For more information contact Dr. Joyce Slater: firstname.lastname@example.org
Slater, J. et al., “Food Literacy Competencies: A Conceptual Framework for Youth Transitioning to Adulthood,” International Journal of Consumer Studies 42.5 (2018): 547–556. | f96d5e06-b3b7-46d9-a990-8acd2552499e | CC-MAIN-2023-23 | https://www.fanlit.org/_files/ugd/1692f6_e214f3df750649e4b4530b590ab7151c.pdf | 2023-05-29T05:26:41+00:00 | crawl-data/CC-MAIN-2023-23/segments/1685224644683.18/warc/CC-MAIN-20230529042138-20230529072138-00520.warc.gz | 863,766,803 | 957 | eng_Latn | eng_Latn | 0.986925 | eng_Latn | 0.986925 | [
"eng_Latn"
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American Presidents: Kennedy to Obama
By Thomas Ladenburg
Kerry Gordonson, Editor
Dr. Aaron Willis, Project Coordinator
Amanda Harter, Graphic Designer
Social Studies School Service
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From AMERICAN PRESIDENTS
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Permission is granted to reproduce individual worksheets for classroom use only.
Printed in the United States of America.
ISBN: 978-1-56004-505-2
Product Code: ZP477
# American Presidents: From Kennedy to Obama
## Table of Contents
| Chapter | Title | Page |
|---------|----------------------------------------------------------------------|------|
| 1 | John Fitzgerald Kennedy | 1 |
| 2 | JFK at Home: Effective Reformer? | 17 |
| 3 | Lyndon Johnson and the Great Society | 31 |
| 4 | President Johnson and the War in Vietnam | 47 |
| 5 | President Nixon: The Man and His Foreign Policy | 61 |
| 6 | President Nixon’s Domestic Policies and Watergate | 75 |
| 7 | Gerald Ford: the Unelected President | 93 |
| 8 | James Earl Carter: A Born-Again Peanut Farmer as President | 107 |
| 9 | Ronald Reagan: An Actor as President | 121 |
| 10 | President Reagan and the “Evil Empire” | 135 |
| 11 | President George H.W. Bush | 151 |
| 12 | President Clinton’s Domestic Policies | 165 |
| 13 | President Clinton’s Foreign Policy | 181 |
| 14 | The Second President Bush’s Domestic Policy | 195 |
| 15 | President George W. Bush and the War in Iraq | 213 |
| 16 | Barack Obama: A Work in Progress | 231 |
Permission granted to reproduce for classroom use only. ©2009 Social Studies School Service. (800) 421-4246, http://socialstudies.com
American Presidents: From John Kennedy to Barack Obama
This book provides teachers with the opportunity to acquaint students with the life stories of the men who have held the highest office in America and to encourage students to make tentative observations about how well these presidents’ domestic and foreign policies served the people who elected them. Several themes run through the unit. On the personal side, it asks how each president’s early experiences influenced his actions while in office. In domestic policy, it asks if the president followed conservative (supply side) economic policies, and what he did to increase or limit the government’s role in the economy. With regard to foreign policy, readers learn that these ten presidents’ records vary between vigorously defending American interests and adopting a conciliatory posture that sought first to arrive at peaceful solutions. Students examine American presidents’ efforts to engage the Soviet Union in Cuba and Berlin, fight and end the war in Vietnam, confront the challenges of the Middle East, and face the threat of terrorism.
The first chapter informs readers that President John F. Kennedy pursued a vigorous foreign policy that included initiatives such as the Peace Corps and the Alliance for Progress, the invasion of the Bay of Pigs, the blockade of Cuba, and the test-ban treaty with the Soviet Union. Subsequent chapters indicate that Lyndon Johnson generally carried out Kennedy’s domestic initiatives, including the War on Poverty. Readers learn that Johnson also made the decisions that engulfed the U.S. in a quagmire from which President Nixon extricated the country only to watch Saigon fall during Gerald Ford’s presidency. Students learn how Nixon’s domestic policies contained surprisingly liberal initiatives at the same time he adhered to a “Southern strategy.” The narrative describes Ford vainly trying to fight inflation with WIN (Whip Inflation Now) buttons and continuing Nixon’s foreign policy initiatives with respect to China and the Soviet Union.
The story continues with the largely ineffective presidency of Jimmy Carter, whose only significant accomplishment—helping negotiate the successful peace agreement between Egypt and Israel—was largely ignored by a country experiencing 15 percent inflation, a hostage crisis with Iran, and “malaise.” While the latter disappeared with Ronald Reagan’s election, the resulting optimism did not succeed in helping balance the budget: a tax cut along with increased military spending led the U.S. to run deficits. However, the increased military spending may have helped to break the Soviet economy and led to surprising concessions from the “evil empire.”
The story proceeds with George H. W. Bush allowing a tax increase that helped his successor balance the budget. Readers learn that despite a largely successful U.S. effort in the First Gulf War, Bush lost his bid for reelection. Bill Clinton’s foreign policy is portrayed as succeeding in former Yugoslavia, being remiss in Rwanda, and falling short with the Israelis and the Palestinians. Readers learn that George W. Bush bloated the budget by cutting taxes and increasing defense spending. They learn that the war in Iraq took longer to fight than all of World War II, and that the weapons of
mass destruction whose existence supposedly justified this war weren’t found. Finally, they see that George W. Bush’s failed economic and foreign policies provided Barack Obama with a full plate. They are left to speculate whether a generous bailout for parts of the financial and auto industries, accompanied by a massive economic stimulus package, may not achieve the desired recovery, or if overtures to Muslims may not bring about a hoped-for peace.
Each chapter is designed to accommodate a wide range of student abilities. The first part of every chapter is written at a lower reading and conceptual level than the second part. The two parts are separated by a series of student exercises, including a graphic organizer and several questions intended to help students master basic information and stimulate higher-order thinking skills. The second part of each chapter, the “For Further Consideration” section, is written at a higher reading and conceptual level. It is followed by a question that requires students to write a strong paragraph and/or be prepared to present their opinions in class. In some cases, this section continues the story; in others, it challenges students to think deeply about issues related to the overarching question raised in the unit. In addition, I (Inquiry)-Charts are provided to help students optimize what they already know or think about a topic and integrate it with identifiable additional information they find in the text and other sources. Finally, each lesson includes vocabulary words and key terms in flash-card format; these can be used either for review or reference.
This unit is also designed to stimulate informed discussions and higher-order thinking skills rather than recitation and rote learning. Students are provided with the information they need to acquire and share factually supported opinions and/or consider important philosophical issues. Students’ debating, discussion, and thinking skills get sharpened as they grapple with questions such as whether JFK or Lyndon Johnson deserved credit for the Great Society programs, whether disaster in Vietnam could have been avoided, if Richard Nixon’s transgressions were more disreputable than the misdeeds of other presidents, whether Ronald Reagan’s arms buildup caused the collapse of the Soviet Union, and whether supply-side economics works.
Chapter 1. John Fitzgerald Kennedy
Teacher Page
Overview:
This chapter follows John F. Kennedy’s career, starting with his illustrious family and ending with the debate with Richard Nixon. It highlights quotes from JFK’s inaugural speech that foreshadow his determination to “pay any price…to assure the survival of liberty,” and his pledge to “help the many [countries] that are poor.” Much of the remaining parts of this chapter show how Kennedy’s foreign policy embraced the promises implicit in this powerful speech. Among other topics, the chapter covers the Peace Corps, the Alliance for Progress, the Bay of Pigs, the Cuban Missile Crisis, the war in Vietnam, and the atmospheric nuclear test ban treaty. The Graphic Organizer question asks students to use phrases from Kennedy’s inaugural address to categorize each of these episodes. The “For Further Consideration” section uses Kennedy’s words to explain his commitment to landing a man on the moon, and asks students whether Kennedy should be remembered for “piloting the U.S. through international crises not of his making,” or for “being reckless in the application of American power.”
Objectives:
Students will:
• become familiar with John F. Kennedy’s life story, mystique, and the foreign policy issues he confronted
• learn about major foreign policy decisions Kennedy made
• learn that a case can be made that Kennedy’s foreign policy decisions were either “reckless” or appropriate
Strategies:
Before class: Assign the chapter either up to or including the “For Further Consideration” section. Inform students that they will be expected to write their answers to all student activities questions covering the assigned section(s).
In class: Begin class by asking students what they knew about JFK before they did their reading and what they have learned from the text. Ask them what they found admirable about Kennedy, what obstacles he had to overcome, and what advantages he had over other candidates for president. Talk to them about the speech he gave during his debates with Richard Nixon and the meaningful phrases in his inaugural address. Ask whether these phrases showed him to be an idealist who wanted to help people or a ‘tough guy’ who was ready to go to war before he would negotiate. Starting with the Peace Corps, review each of the major foreign policy initiatives mentioned in the chapter and ask students which of two characterizations best fit JFK’s actions. Toward the end of the period, ask students who read the “For Further
Consideration” section to tell their classmates why JFK was intent on the U.S. winning the race to the moon. End the class by discussing whether Kennedy came across more as a peaceful idealist or a hardheaded cold warrior.
| What I already know | What made JFK an attractive presidential candidate? | What were the major foreign policy decisions President Kennedy made? | Did President Kennedy make the best possible decisions in each case? |
|---------------------|--------------------------------------------------|---------------------------------------------------------------|-----------------------------------------------------------------|
| | | | |
| What I learned from Chapter 1, Part I | | | |
| What I learned from Chapter 1, Part II | | | |
| What I still would like to learn about the subject | | | |
| inadequately paid | confiscating | guerrilla warfare |
|-------------------|-------------|------------------|
| perception | Conciliatory| strafed |
| Convention delegates | magnanimous | socialist policies |
Permission granted to reproduce for classroom use only. ©2009 Social Studies School Service. (800) 421-4246, http://socialstudies.com
| Term | Definition |
|-------------------------------------------|-----------------------------------------------------------------------------|
| Fighting with terrorist-like hit-and-run attacks | Usually refers to an official taking property without paying for it |
| Attacked with gunfire, often from planes or jets | Not paid enough based on value of work or need |
| Policies that tend to have businesses run by the state rather than by individual owners | The way something is seen or understood by other people |
| People elected to attend a convention in order to decide on their party's goals and leaders. This is how Democrats and Republicans finalize the selection of candidates for president. | Generous |
Chapter 1
John Fitzgerald Kennedy
Introduction
This chapter introduces you to the early life of America’s youngest elected president and explores the contents of his foreign policy. Some historians have rated him as the sixth greatest president to hold that office. You will have the opportunity to explain just what qualities prepared him to become chief executive and then to evaluate his foreign policy. The next chapter covers JFK’s domestic policies and his tragic death at the age of 46.
JFK: His Early Years
“Jack,” as his friends called him, was born in Brookline Massachusetts on May 29, 1917. His father, a bank president by the age of 25, was rumored to have been a bootlegger and known to have made a great deal of money in the stock market. Joseph Kennedy was so well schooled in the market’s shady practices that President Roosevelt had him supervise it during the 1930s. Like their father, Jack and his three brothers attended Harvard University. The father gave each of his sons enough money when they reached maturity so they could afford to concentrate their efforts on public service. The three older siblings served in the military. Joe Jr., the oldest, was killed when his plane was shot down over the English Channel. Jack served as a Patrol Torpedo boat commander and became a war hero after his ship was split in half by a Japanese destroyer. Though injured in the collision, Jack swam a badly wounded comrade to a distant island. Bobby enlisted in the navy but was never called into active duty.
Jack’s political career began after he returned from the war, when he ran an effective political campaign to represent Boston in the House of Representatives. Many believe he won because he used his political connections with his grandfather (a one-time mayor of Boston), the political talent of his brother Robert, the money supplied by his father, and his good looks and personal charm. In 1952, John Kennedy won a seat in the U.S. Senate as a Democrat. Again his father’s money and influence, his brother’s political acumen, and his own charm and brilliance were deciding factors in his victory.
JFK’s first term in the Senate was interrupted by a recurring back injury, which gave him the time to write his second book, Profiles in Courage. It received a Pulitzer Prize, became a nationwide bestseller, and earned Kennedy a reputation as an intellectual as well as a politician. The book was also instrumental in providing Kennedy with the opportunity to become a vice-presidential candidate in 1956. After Kennedy spoke in favor of the Democratic nominee, Adlai Stevenson, Stevenson invited the
convention to choose his running mate. JFK’s name was put into nomination, and the Massachusetts senator came within 33 votes of being selected.
After coming so close to receiving his party’s support for the office of vice-president, Kennedy spent the next three and a half years as an undeclared candidate for the top spot on the ticket. His campaign consisted of giving speeches around the country in support of other Democrats, appearing on television, writing articles, and making friends with potential convention delegates. He stood far ahead of his competitors when the time came for him to officially announce his candidacy. Nevertheless, he had to overcome the perception that religious prejudice against Catholics would prevent him from being elected president of the United States. Kennedy overcame this perception by winning the presidential primary in West Virginia, an overwhelmingly Protestant state.
**A New Frontier and the Debates with Vice-President Nixon**
In his acceptance speech after winning the Democratic nomination for president in 1960, Kennedy said, “We stand today on the edge of a new frontier—the frontier of the 1960s, a frontier of unknown opportunities and paths,” and added, “The new frontier of which I speak is not a set of promises—it is a set of challenges. It sums up not what I intend to offer the American people, but what I intend to ask of them.”
Together with his running mate, Senate Majority Leader Lyndon Johnson, Kennedy faced the Republican nominee, Richard Nixon. Nixon’s experience as vice-president under President Eisenhower made him a favorite over his younger and less-experienced rival. JFK overcame this disadvantage in the first of four televised presidential debates. Kennedy held his own against Nixon as he pointed out the U.S. could do better under Democratic leadership than it had under eight years of Republican rule:
“This is a great country, but I think it could be a greater country; and this is a powerful country, but I think it could be a more powerful country. I’m not satisfied to have fifty percent of our steel-mill capacity unused. I’m not satisfied when the United States had last year the lowest rate of economic growth of any major industrialized society in the world. Because economic growth means strength and vitality; it means we’re able to sustain our defenses; it means we’re able to meet our commitments abroad… I’m not satisfied when the Soviet Union is turning out twice as many scientists and engineers as we are. I’m not satisfied when many of our teachers are inadequately paid, or when our children go to school part-time shifts. I think we should have an educational system second to none.”
The Election of 1960
The election results in 1960 were very close. With more than 34 million people going to the polls, John Kennedy received only 120,000 more votes than Richard Nixon. However, the vote was so dispersed that Kennedy won a 303 to 219 electoral-vote majority.
President Kennedy’s Inaugural Address
Kennedy giving his inaugural address. Many consider it one of the best ever delivered.
A careful reading of President Kennedy’s inaugural address reveals that it was devoted almost entirely to foreign policy. The president pledged that the U.S. would “pay any price, bear any burden, meet any hardship, support any friend, and oppose any foe to assure the survival and the success of liberty.” He called for America to stand armed and strong, “for only when our arms are sufficient beyond doubt can we be certain beyond doubt that they will never be employed.” He was magnanimous, “to those people in the huts and villages of half the globe struggling to break the bonds of mass misery, we pledge our best efforts to help them help themselves,” for “if a free society cannot help the many who are poor, it cannot save the few who are rich.” He was conciliatory “to those nations who would make themselves our adversary, we offer not a pledge but a request: that both sides begin anew the quest for peace,” and he was flexible: “Let us never negotiate out of fear. But let us never fear to negotiate.” Even Kennedy’s most famous line, “ask not what your country can do for you, but for what you can do for your country,” was followed by a request to “my fellow citizens of the world: ask not what America will do for you—ask what together we can do for the freedom of man.”
You may wonder if President Kennedy’s foreign policy initiatives carried out the ideas in these famous lines just quoted. Read the following and decide for yourself.
President Kennedy’s Foreign Policy: Commitments to the Poor
One of JFK’s first foreign policy initiatives was to propose a program known as the Peace Corps. It was designed to provide young Americans who had the necessary skills with the opportunity to serve people living in poverty throughout the world. The president issued an executive order that started this program in March 1961. Less than two years later, 7300 volunteers were serving in 44 different countries. Despite initial criticism, the Peace Corps has received universal praise—people from 139 different countries have applied as volunteers. More than 195,000 Americans performed a variety of jobs in the Peace Corps, ranging from teaching English to digging irrigation ditches for the world’s poorest people.
In March of 1961, President Kennedy revealed his plan for forming the Organization of American States to:
build a hemisphere where all men can hope for a suitable standard of living and all can live out their lives in dignity and in freedom.
The U.S. government pledged $20 billion to the cause over a ten-year period; U.S. businesses were expected to contribute by investing $80 billion dollars to increase the standard of living of the people of Latin America. However, lack of support from future presidents and Congresses, as well as internal problems within South America, prevented this initiative from achieving its goals.
**The Bay of Pigs**
Shortly after his inauguration, President Kennedy made his first really difficult foreign policy decision. For some time, the Central Intelligence Agency had been training about 1400 Cuban exiles who had fled their homeland because of the oppressive and socialistic policies of Cuban dictator Fidel Castro. The exiles had come to the United States with horrifying stories of Castro confiscating businesses and plantations belonging to Americans as well as Cubans, and jailing patriotic Cubans who expressed their opposition. They claimed that the Cubans who stayed in their homeland were equally disgusted with Castro for establishing what seemed to be turning into a communist dictatorship.
By the time Kennedy became president, the CIA-trained invasion force was almost ready to go. In early February, Kennedy gave his consent to the operation, and two months later nearly 1400 Cuban exiles landed on the shores of Cuba in a place called the Bay of Pigs. They were met by Cuban planes that strafed the beachheads and sank two supply ships. Within 24 hours, 20,000 men loyal to Fidel Castro arrived in the area. Castro’s forces captured 1200 invaders and killed one hundred. Within days, Castro triumphantly marched his captives through the streets of Havana. Rather than overthrowing Castro, this failed invasion made him more popular. Still attempting to remove this communist thorn in America’s side, John Kennedy and his brother Robert launched a series of secret but unsuccessful attempts to kill the Cuban dictator.
**Kennedy’s Foreign Policy: Southeast Asia**
President Kennedy came to office at a difficult time in Vietnam’s history. The South Vietnamese under President Ngo Dinh Diem had failed to abide by a treaty that
committed them to holding free elections. The elections would have united North and South Vietnam and no less of an authority than former President Eisenhower believed the elections would result in a communist victory. Eisenhower therefore provided aid to South Vietnam in the hopes that the South Vietnamese could withstand a guerrilla warfare attack on their government. President Kennedy decided to continue assisting the South Vietnamese. He introduced an elite military fighting force called the Green Berets to engage in counterinsurgency (anti-guerrilla) warfare. He increased the number of American “military advisors” when he took office from 900 to 16,000. He supported another counterinsurgency plan called the Strategic Hamlet Program. The president felt that the U.S. could not afford to lose Vietnam to the communists under Ho Chi Minh.
**President Kennedy and Prime Minister Khrushchev**
Early during his presidency, President Kennedy went eyeball to eyeball with Soviet Union Prime Minister Nikita Khrushchev. In June 1961, he met the Soviet leader for the first time in order for the two men to get to know one another, but the meeting did not go well. First, Khrushchev confronted Kennedy, lecturing him on foreign policy; Kennedy replied in kind, but left the impression that he was young and inexperienced. Khrushchev’s challenge to his young opponent came soon after in the form of building a wall around the Soviet sector of Berlin. The wall’s purpose was to stop East Germans from escaping to West Berlin and through West Berlin to West Germany.
Kennedy called up the reserves while continuing to expand conventional forces. He also built up the U.S. offensive missiles that surrounded the Soviet Union. During his campaign for president, Kennedy had claimed that the Soviet Union was ahead of the U.S. in offensive missiles. Although his claim proved false, JFK continued building more missiles and deploying them in silos surrounding the Soviet Union.
Partially to counter what the USSR thought was a “missile gap” favoring the United States, Nikita Khrushchev allowed Fidel Castro to talk him into installing missiles with nuclear warheads in Cuba. Satellite pictures informed U.S. intelligence agents that the U.S. was about to be confronted by nuclear-armed missiles 90 miles from Florida. On October 16, 1962, aids informed the president of this danger and he immediately convened 26 advisors to help him decide how to respond to this threat. After 13 days of deliberation, speeches in the UN, and the U.S.’s announcement of a naval blockade around Cuba, the Soviets backed down. The U.S. and the USSR reached an
agreement: in exchange for the Soviets removing their missiles from Cuba, the U.S. agreed not to invade Cuba and (secretly) agreed to eventually dismantle obsolete American missiles stationed in Italy and Turkey.
Relations between the U.S. and the USSR improved after the Cuban Missile Crisis. President Kennedy acted more conciliatory toward the Soviet Union, as seen in a speech stressing a mutual interest between the two countries:
For in the final analysis, our most basic common link is that we all inhabit this small planet, we all breathe the same air, we all cherish our children’s futures, and we are all mortal.
Khrushchev responded to Kennedy by praising his speech and agreeing to arms reduction talks. Both sides agreed to a ban on atmospheric tests of nuclear weapons. However, the U.S. and the Soviet Union could not agree on halting underground weapons testing, and the arms race continued.
Student Activities
A. Student Exercises
Give examples of the qualities and accomplishments that you think helped make John F. Kennedy a successful candidate for president.
B. Graphic Organizer
Explain what happened as a result of the following foreign policy decisions by President Kennedy and use at least three different phrases from his inaugural address to help explain the motives for these actions.
| Foreign policy initiative | What happened as a result? | Phrase from inaugural address that explains reason for the initiative |
|---------------------------|----------------------------|---------------------------------------------------------------------|
| Peace Corps | | |
| Alliance for Progress | | |
| Bay of Pigs | | |
| Response to Berlin Blockade | | |
| Response to missile threat in Cuba | | |
|-----------------------------------|---|---|
| Continued deployment of nuclear missiles | | |
| Attempts on Castro’s life | | |
| Test Ban Treaty | | |
| Support for President Diem of South Vietnam | | |
In response to the Soviet Union’s launch of the manned spacecraft *Sputnik* into orbit around the earth, President Kennedy pledged that the U.S. would surpass the Soviets in space. He proposed to land an American on the moon before the end of the 1960s, stating:
...if we are to win the battle that is now going on around the world between freedom and tyranny, the dramatic achievements in space which occurred in recent weeks should have made clear to us all, as did the *Sputnik* in 1957, the impact of this adventure on the minds of men everywhere, who are attempting to make a determination of which road they should take…Now it is time to take longer strides—time for a great new American enterprise—time for this nation to take a clearly leading role in space achievement, which in many ways may hold the key to our future on earth.
…I believe that this nation should commit itself to achieving the goal, before this decade is out, of landing a man on the moon and returning him safely to the earth. No single space project in this period will be more impressive to mankind, or more important for the long-range exploration of space; and none will be so difficult or expensive to accomplish.
The U.S. redoubled its efforts in space and landed astronaut Neil Armstrong on the moon on July 21, 1969. His words, “one small step for man, one giant leap for mankind,” commemorated this event.
Kennedy’s supporters have, in the words of one historian, praised him for “piloting the United States safely through international crises not of his own making” and improving relations with the Soviet Union. His critics, in the words of another historian, have characterized him as reckless “in the application of American power and…provocative and adventuristic.”
Which of the two evaluations seem more convincing to you?
Based on what you know about President Kennedy’s foreign policy, decide which of these evaluations you support. Write two strong paragraphs supporting
your opinion and prepare to present your ideas in class, listen to the opinions of others and defend yours or change your mind.
Chapter 16. Barack Obama: A Work in Progress
Teacher Page
Overview:
This chapter was written just four months after Barack Obama became president and can do little more than provide a summary of his life and his successful presidential campaign. Rather than list Obama’s achievements while in office, this chapter identifies the problems he faced. In addition, the chapter provides students with a list of Obama’s important campaign promises under such headings as “Economic and Fiscal Policies,” “Foreign Policy,” “Health Care,” and “Energy and Environment.”¹ Students are asked to select five promises made by Obama and to write a few sentences explaining whether or not they think these proposals would be good for the country. The “For Further Consideration” section asks students to read and respond to Obama’s statements of how to handle the large number of foreign policy problems he inherited from previous administrations.
Objectives:
Students will:
• become familiar with Obama’s remarkable life story and successful campaign to become president
• understand the problems confronting the U.S. when Obama became president
• discuss their opinions about the Obama programs
Strategy:
Before class: Assign the chapter either up to or including the “Further Consideration” section. Inform students they will be expected to write their answers to all the Student Activities questions covering the assigned section(s).
During class: Start by asking students what they think of Barack Obama in general and what they believe was unique about his life’s journey. Proceed by having students ask for your help in understanding Obama’s campaign promises and review how much money was spent on the bailout and stimulus packages. Have students share their thoughts about Obama’s campaign promises and whether they think they would benefit America. Continue by asking students who read the “For Further Consideration” section to tell their classmates what they learned from doing some research. If you have access to the Internet in class, you can browse PoliticalFact.com’s “Obameter” by subject and learn which of Obama’s proposals were implemented, rejected, compromised, in the works, or stalled. Be sure to tell students doing this research to press the “more” icon.
¹ The list is based on a campaign document titled “Obama and Biden’s Plan for America: Blueprint for Change” and PoliticalFact.com’s “Obameter” (http://www.politifact.com/truth-o-meter/promises/).
| What I already know | Obama’s early life and political career | Obama’s campaign promises | How well Obama has succeeded in carrying out his promises |
|---------------------|----------------------------------------|---------------------------|----------------------------------------------------------|
| | | | |
| What I learned from Chapter 16, Part I | | | |
| | | | |
| What I learned from Chapter 16, Part II | | | |
| | | | |
| What I would still like to learn about this subject | | | |
| | | | |
Barack Hussein Obama, the first African American to be elected President of the United States, is the son of a white woman from Kansas and a black man from Kenya. He was born in Hawaii and lived in Indonesia for four years before returning to his birth state. He graduated from Columbia University, spent several years as a community organizer in Chicago, attended Harvard Law School (where he presided over the prestigious *Harvard Review*), and returned to Chicago after graduating with highest honors. In the “Windy City,” he joined a law firm that specialized in civil rights cases and taught law at the University of Chicago. He served in the Illinois legislature for seven years and successfully campaigned for a seat in the U.S. Senate in 2004. During the same year he was asked to be the keynote speaker at the Democratic convention and, in the speech that made him famous, he thrilled his audience by declaring “there is not a liberal America and a conservative America; there is the United States of America.” In November 2007, Obama decided to capitalize on his fame and declare himself a candidate for president. In a well-planned campaign backed by a record financial war chest and fueled by his inspiring speeches, Obama defeated a field of eight aspirants for the nomination. His main opponent was Hillary Clinton, wife of former President Bill Clinton, who hoped to become America’s first female president. John McCain, Obama’s Republican opponent in the general election, chose a relatively unknown Alaskan governor, Sarah Palin, as his running mate. She spiced up the election campaign by appealing to the Republican base with charges that Obama advocated socialist policies and had “palled around” with William Ayers, who had formerly been part of an American terrorist group known as the Weather Underground. Despite these attacks, Obama won the election by a fairly comfortable margin—53 percent of the popular votes compared to McCain’s 46 percent—and an overwhelming majority of the electoral vote.
On the day president-elect Obama swore his oath to uphold the Constitution, he and his country faced a host of serious problems both foreign and domestic. At home, he inherited a failing economy teetering between a recession and a full-fledged depression. Unemployment stood at a 25-year high at 7.6 percent, 600,000 Americans lost their jobs every month, 265,000 homeowners received foreclosure notices in a single month, and giant brokerage houses and banks stood on the verge of bankruptcy, requiring $517 billion in bailout loans to sustain them. In the worst week in its history, the Dow Jones stock market average lost 22.1 percent of its value. Overseas, the United States was actively involved in two wars, a belligerent Iran was on the verge of
developing nuclear weapons, and a hostile North Korea probably already had them. In the face of all these problems an all-time high number of 83 percent of those polled said that the country was “headed in the wrong direction.”
This chapter was written barely four months after Obama assumed office. It is therefore impossible at the time of this writing to know how successfully he dealt with the problems that faced him or how he handled events that challenged him in the future. You will be presented with a few of the many promises made by Obama in a campaign document called “Blueprint for Change.” You will be asked how well he has kept these promises.
**Economy and Taxes**
- Enact a plan for immediate relief for the economy\(^2\)
- Protect and promote home ownership
- Invest in manufacturing sector and create five million new “green” jobs (see Energy and Environment)
- Cut taxes for middle-class families, veterans, and senior citizens, and expand EITC (Earned Income Tax Credit)
- Repeal the Bush tax cut for wealthy Americans
- Pay for new government programs by increasing taxes or making cuts in other programs
**Defense**
- Withdraw U.S. troops from Iraq in a responsible manner, preferably within 16 months after taking office
- Deploy an additional 17,000 troops to Afghanistan
- Cooperate with allies to prevent Iran from acquiring nuclear weapons and North Korea from expanding its weapons program
**Energy and Environment**
- Raise fuel economy requirements significantly
- Encourage use of renewable energy
- Create five million “green” jobs
- Reduce greenhouse gasses by 80 percent by 2050 under a “cap and trade” system
---
\(^2\) After much wrangling with Republicans, Congress passed a $787 billion stimulus package in March 2009. It included $215 billion dollars in tax cuts, $116 billion in medical care (mainly to help states pay their obligations), $123 billion for education and job training, $51 billion for energy and the environment, $45 billion for transportation, $41 billion for the unemployed, $21 billion for food assistance, and $11 billion for direct state aid. This did not include the money spent to bail out large banks and brokerage houses, as well as the money intended to help automakers G.M. and Chrysler avoid bankruptcy.
Health Care
- Sign a universal health care bill providing affordable health insurance for all Americans
Education
- Extend Head Start programs to prepare disadvantaged students for school
- Fully fund No Child Left Behind, improve assessment techniques, and support public schools that need improvement
- Increase financial aid to make public, private, and community colleges affordable
Miscellaneous
- End the use of torture to extract information from prisoners
- Protect a woman’s right to choose
- End funding for abstinence-only sex education
- Allow gays and lesbians to openly serve in the military
- Assure couples in civil unions the same rights as married couples
A. Student Exercises:
1. Select five proposals that interest you and write two sentences about each, explaining why you think it would or would not be good for the country.
2. Give an overall evaluation of President Obama’s campaign promises and write a few sentences explaining why you believe one of the following:
a. Obama has made promises that he will be unable to keep and should not have made.
b. Obama has made a large number of campaign promises that will help the country in many different ways.
c. Obama is trying to do too many things for the people of this country that they should be doing for themselves.
At the time he took office, President Obama faced an incredible number of foreign problems in addition to the domestic problems already discussed. Many 20th-century presidents had, for the most part, concentrated on a single foreign policy issue, such as the Cold War with the Soviet Union, the war in Vietnam, the invasion of Kuwait, or the danger allegedly posed by Iraq. In contrast, Obama faced an unusually large number of challenges. The Iraq war was winding down, but the U.S. still had 130,000 soldiers there. Its neighbor, Iran, was thought to be on the verge of developing nuclear weapons that would pose a threat to Israel. The Palestinians, longing for a country of their own, still would not recognize Israel's right to exist, and the Israelis would not stop building settlements on land they had taken from the Palestinians. In Asia, Al-Qaeda and the Taliban had the upper hand in the war in Afghanistan and threatened to destabilize Pakistan. The danger of terrorism by Muslim extremists continued to threaten the U.S., its allies, and other countries. In addition to these major threats to America's security, North Korea probably possessed nuclear weapons, most Africans were living in misery, and much of the world economy lay in shambles.
Obama’s approach to all of these problems can be summarized in his own words. Read what he had to say and be prepared to decide whether you agree with his approach to America’s security and values.
**In His Own Words**
**In General**
To the Muslim world, we seek a new way forward, based on mutual interest and mutual respect. To those leaders around the globe who seek to sow conflict, or blame their society’s ills on the West, know that your people will judge you on what you can build, not what you destroy.
To those who cling to power through corruption and deceit and the silencing of dissent, know that you are on the wrong side of history, but that we will extend a hand if you are willing to unclench your fist.
**On Pakistan and Afghanistan**
So I want the American people to understand that we have a clear and focused goal: to disrupt, dismantle, and defeat al Qaeda in Pakistan and Afghanistan, and to prevent their return to either country in the future. That’s the goal that must be achieved. That is a cause that could not be more just.
On Iraq
By August 31, 2010, our combat mission in Iraq will end and Iraqi Security Forces will have full responsibility for major combat missions. After August 31, 2010, the mission of United States forces in Iraq will fundamentally change. Our forces will have three tasks: train, equip, and advise the Iraqi Security Forces; conduct targeted counterterrorism operations; and provide force protection for military and civilian personnel. The president intends to keep our commitment under the Status of Forces Agreement to remove all of our troops from Iraq by the end of 2011.
On the Israel and the Palestinians
For decades then, there has been a stalemate: two peoples with legitimate aspirations, each with a painful history that makes compromise elusive. It’s easy to point fingers—for Palestinians to point to the displacement brought about by Israel’s founding, and for Israelis to point to the constant hostility and attacks throughout its history from within its borders as well as beyond. But if we see this conflict only from one side or the other, then we will be blind to the truth: The only resolution is for the aspirations of both sides to be met through two states, where Israelis and Palestinians each live in peace and security.
On Iran and Nuclear Weapons
I recognize it will be hard to overcome decades of mistrust, but we will proceed with courage, rectitude, and resolve. There will be many issues to discuss between our two countries, and we are willing to move forward without preconditions on the basis of mutual respect. But it is clear to all concerned that when it comes to nuclear weapons, we have reached a decisive point. This is not simply about America’s interests. It’s about preventing a nuclear arms race in the Middle East that could lead this region and the world down a hugely dangerous path.
After reading these quotations from President Obama, select two, and in a paragraph or two explain why you agree or disagree with them. Come to class prepared to share your opinion, listen to the ideas of others, and either defend your own or change your thinking. | ee4df1aa-8cf6-4dc4-8513-de401ff7dc56 | CC-MAIN-2022-40 | https://www.socialstudies.com/pdf/ZP477EX_AmericanPresidents.pdf | 2022-10-04T03:03:19+00:00 | crawl-data/CC-MAIN-2022-40/segments/1664030337473.26/warc/CC-MAIN-20221004023206-20221004053206-00235.warc.gz | 1,001,689,009 | 8,872 | eng_Latn | eng_Latn | 0.947925 | eng_Latn | 0.998427 | [
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Feed frequently to prevent your breasts from becoming swollen.
If one or both of your breasts become painful or hot to the touch, see a health care provider.
Check for sores and thrush in your baby's mouth. If you find any, see a health care provider.
**Things to remember**
- Exclusive breastfeeding during the first six months can help to protect you from getting pregnant as long as your periods have not returned.
- When your baby is six months old, continue breastfeeding and begin giving other nutritious foods.
- Do not feed your baby from a nipple that is cracked or bleeding. Feed from the other breast and express and discard the milk from the breast that is affected.
- Watch for signs of diarrhoea, fever, difficulty breathing, or refusal to feed; these need prompt attention and may require treatment.
- Practice safe sex by using condoms consistently and correctly. Consult a family planning counsellor.
HOW TO BREASTFEED YOUR BABY
Breastfeeding
What do you need to know?
❖ Breastmilk provides all the food and water that your baby needs during the first six months of life.
❖ The thick, yellowish milk known as colostrum, produced during the first few days after delivery, protects your baby from many diseases. Start breastfeeding within the first hour of birth.
❖ Exclusive breastfeeding means giving breastmilk only, and nothing else (no other milks, foods, or liquids, not even sips of water), except for medicines prescribed by a doctor or nurse.
❖ Exclusive breastfeeding reduces the chance of passing HIV to your baby – especially when you and your baby receive special medicine antiretrovirals (ARVs). To protect your baby, know your HIV status.
❖ Avoid mixed feeding of both breastmilk and other foods or liquids, including infant formula, animal milks, or water, before six months of age.
❖ If you are HIV infected, mixed feeding greatly increases the chance of passing HIV to your baby.
How do I position my baby?
Your baby is well-positioned if:
❖ Baby's head and body are in a straight line.
❖ Baby's body is facing you.
❖ Baby is close to you.
❖ Baby's whole body is supported.
Good attachment helps to ensure that your baby suckles well.
The four signs of good attachment are:
1. Baby's mouth is wide open.
2. You can see more of the darker skin (areola) above the baby's mouth than below.
3. Baby's lower lip is turned outward.
4. Baby's chin is touching your breast. Good attachment helps to prevent sore and cracked nipples. Your baby should take slow, deep sucks while breastfeeding, sometimes pausing.
How often do I breastfeed?
❖ Feed your baby often, at least 8 to 12 times, day and night.
❖ Frequent breastfeeding will help your body to produce enough breastmilk.
❖ Continue to feed until your baby empties the breast and comes off on his own. This will ensure that your baby gets the most nutritious and satisfying milk. Offer the other breast and let your baby decide if he or she wants more or not.
❖ You will know your baby is taking enough breastmilk when he or she passes urine at least six times a day and is gaining weight.
How to prevent common breastfeeding difficulties
❖ Position and attach your baby correctly on the breast.
❖ Breastfeeding should not hurt. If you develop cracked nipples, put some breastmilk on them. Do not use any types of creams or ointments. | 5f06c10b-98f3-4324-9d90-d2e385f6d351 | CC-MAIN-2025-08 | https://nfnc.org.zm/download/how-to-breastfeed-your-baby/?wpdmdl=2162&refresh=678a6f0be41241737125643 | 2025-02-18T05:36:56+00:00 | crawl-data/CC-MAIN-2025-08/segments/1738832259865.69/warc/CC-MAIN-20250218050323-20250218080323-00100.warc.gz | 381,945,633 | 732 | eng_Latn | eng_Latn | 0.999144 | eng_Latn | 0.999187 | [
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Once upon a time, there lived three little pigs. One day, they built their own houses of straw, sticks and bricks.
The next day, a big bad wolf came to the first house. “Little pig, little pig, let me come in,” he snarled.
“Not by the hair on my chinny, chin, chin, I will not let you in!” cried the first little pig.
“Then I’ll huff and I’ll puff and I’ll blow your house down!” growled the big bad wolf. He blew the house down! The first little pig ran to the second house.
The big bad wolf came to the second house. “Little pig, little pig, let me come in,” he snarled.
“Not by the hair on my chinny, chin, chin, I will not let you in!” cried the second little pig.
“Then I’ll huff and I’ll puff and I’ll blow your house down!” growled the big bad wolf. He blew the house down! The two little pigs ran to the third house.
The big bad wolf came to the third house. “Little pig, little pig, let me come in,” he snarled.
“Not by the hair on my chinny, chin, chin, I will not let you in!” cried the third little pig.
“Then I’ll huff and I’ll puff and I’ll blow your house down!” growled the big bad wolf. He huffed and he puffed, but he could not blow it down! So he climbed down the chimney and landed in a big pot of stew. SPLASH! He jumped out and ran away. He never came back again.
The three little pigs lived happily ever after in the house made of bricks.
The end.
The Three Little Pigs
Answer the questions below in full sentences.
1. What did the first little pig build his house out of?
2. What did the second little pig build his house out of?
3. What did the third little pig build his house out of?
4. What did the big bad wolf do to the houses made of straw and sticks?
5. Did the big bad wolf blow down the third house?
6. What did the big bad wolf climb down in the third house?
7. What did the big bad wolf land in after climbing down the chimney?
8. Where did the three little pigs live happily ever after?
1. What did the first little pig build his house out of?
The first little pig built his house out of straw.
2. What did the second little pig build his house out of?
The second little pig built his house out of sticks.
3. What did the third little pig build his house out of?
The third little pig built his house out of bricks.
4. What did the big bad wolf do to the houses made of straw and sticks?
The big bad wolf blew the two houses down.
5. Did the big bad wolf blow down the third house?
He huffed and he puffed, but he could not blow it down!
6. What did the big bad wolf climb down in the third house?
He climbed down the chimney.
7. What did the big bad wolf land in after climbing down the chimney?
He landed in a big pot of stew.
8. Where did the three little pigs live happily ever after?
The three little pigs lived happily ever after in the house made of bricks.
Once upon a time, there lived three little pigs. One day, they went to build houses of their own. The first little pig built his house with straw. The second little pig built his house with sticks. The third little pig built his house with bricks because he thought that it would make his house strong.
The next day, a big bad wolf came to the house of straw. “Little pig, little pig, let me come in,” he snarled.
“Not by the hair on my chinny, chin, chin, I will not let you in!” cried the first little pig.
“Then I’ll huff and I’ll puff and I’ll blow your house down!” growled the big bad wolf. So he huffed and he puffed and he blew the house down! The first little pig ran to the house made of sticks.
The big bad wolf followed the little pig to the house made of sticks. “Little pig, little pig, let me come in,” he snarled.
“Not by the hair on my chinny, chin, chin, I will not let you in!” cried the second little pig.
“Then I’ll huff and I’ll puff and I’ll blow your house down!” growled the big bad wolf. So he huffed and he puffed and he blew the house down! The two little pigs ran to the house made of bricks.
The big bad wolf followed the little pigs to the house made of bricks. “Little pig, little pig, let me come in,” he snarled.
“Not by the hair on my chinny, chin, chin, I will not let you in!” cried the third little pig.
“Then I’ll huff and I’ll puff and I’ll blow your house down!” growled the big bad wolf. He huffed and he puffed, but he could not blow it down! So he climbed down the chimney. But the third little pig had been cooking a big pot of stew and SPLASH! The wolf fell right into the pot! He jumped out of the pot and ran out of the house. He never came back again. The three little pigs lived happily ever after in the house made of bricks.
The end.
The Three Little Pigs
Answer the questions below in full sentences.
1. What did the first and second little pigs build their houses out of?
2. Which is your favourite word or phrase in the story?
3. What does the wolf say over and over again?
4. Which was the strongest house?
5. Where did the first and second little pig go after the wolf blew down the house of sticks?
6. What did the big bad wolf do to try to get in after he couldn’t blow down the house made of bricks?
7. What else do you think he could have tried to get into the house made of bricks?
8. Do you like the fact that the wolf landed in the pot. Why?
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
9. What do you think the three little pigs should have done with the wolf at the end?
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
1. What did the first and second little pigs build their houses out of?
The first little pig built his house with straw and the second little pig used sticks.
2. Which is your favourite word or phrase in the story?
(Answers will vary, accept any reasonable response.)
E.g. I like it when the little pigs cry, “Not by the hair on my chinny, chin, chin.”
3. What does the wolf say over and over again?
The wolf says, “Little pig, little pig, let me come in,” over and over.
4. Which was the strongest house?
The third little pig’s house made of bricks was the strongest.
5. Where did the first and second little pig go after the wolf blew down the house of sticks?
They ran to the third little pig’s house that was made of bricks.
6. What did the big bad wolf do to try to get in after he couldn’t blow down the house made of bricks?
He climbed down the chimney.
7. What else do you think he could have tried to get into the house made of bricks?
(Answers will vary, accept reasonable responses.)
E.g. The big bad wolf could have tried climbing through the windows.
8. Do you like the fact that the wolf landed in the pot. Why?
(Answers will vary, accept reasonable responses with reasons.)
E.g. I liked that the big bad wolf landed in the pot of stew because he would have burned his bottom and that would have taught him a lesson.
9. What do you think the three little pigs should have done with the wolf at the end?
(Answers will vary, accept reasonable responses.)
E.g. The three little pigs should have trapped him in the pot by putting the lid on it.
Once upon a time, there lived three little pigs. One day, they decided to leave home and build houses of their own. The first little pig thought that straw would make a good house. He built the house very quickly and he was very pleased with it. The second little pig thought that sticks would make a fine house. He built the house very quickly and he was very pleased with his house too. The third little pig thought that bricks would make a strong house. It took him a long time to build the house, but he was very pleased with it.
The next day, a big bad wolf came along. He saw the first little pig in his house of straw. “Little pig, little pig, let me come in,” he called.
“Not by the hair on my chinny, chin, chin, I will not let you in!” cried the first little pig.
“Then I’ll huff and I’ll puff and I’ll blow your house down!” growled the big bad wolf. So he huffed and he puffed and he blew the house down! Terrified, the first little pig escaped and ran to join his brother in the house made of sticks.
The big bad wolf followed the little pig to the house made of sticks. “Little pig, little pig, let me come in,” he snarled.
“Not by the hair on my chinny, chin, chin, I will not let you in!” shouted the second little pig.
“Then I’ll huff and I’ll puff and I’ll blow your house down!” warned the big bad wolf. So he huffed and he puffed and he blew the house down! The two little pigs escaped and ran to join their brother in the house made of bricks.
The big bad wolf followed the little pigs to the house made of bricks. “Little pig, little pig, let me come in,” he called again.
"Not by the hair on my chinny, chin, chin, I will not let you in!" yelled the third little pig.
"Then I'll huff and I'll puff and I'll blow your house down!" threatened the big bad wolf. He huffed and he puffed, but the house was too strong. He could not blow it down! This made the big bad wolf very angry. He climbed onto the roof of the house so he could crawl down the chimney. The big bad wolf was in for a big surprise! The third little pig had been cooking a big pot of stew and SPLASH! The wolf fell right into the pot! The wolf was very shocked. He jumped out of the pot and ran straight out of the house. He never came back again. The three little pigs lived happily ever after in the house made of bricks.
The end.
1. What materials did the three pigs build use to build their houses?
2. Which is your favourite word or phrase in the story. Why?
3. Write down two phrases that are repeated throughout this traditional tale.
4. How did the wolf know where to find the house of sticks and house of bricks?
5. What did the wolf do after the first little pig said that he couldn’t come in?
6. Why didn’t the third house blow down?
1. What materials did the three pigs build use to build their houses?
The first little pig used straw, the second little pig used sticks and the third little pig used bricks.
2. Which is your favourite word or phrase in the story. Why?
(Answers will vary, accept any reasonable response.)
E.g. I like it when the little pigs cry, “Not by the hair on my chinny, chin, chin,” because it’s funny imagining a pig with a hairy chin!
3. Write down two phrases that are repeated throughout this traditional tale.
(Answers will vary, accept any of the repeated lines.)
E.g. “Little pig, little pig, let me come in,” and “Then I’ll huff and I’ll puff and I’ll blow your house down!” are two phrases that are repeated.
4. How did the wolf know where to find the house of sticks and house of bricks?
The big bad wolf followed the little pig to the house made of sticks and then two of the little pigs to the house made of bricks.
5. What did the wolf do after the first little pig said that he couldn’t come in?
He huffed and he puffed and he blew the house made of straw down.
6. Why didn’t the third house blow down?
The house was too strong. He could not blow it down!
7. How do you think the three little pigs were feeling while the big bad wolf was trying to blow down their houses and then after he’d climbed down the chimney?
(Answers will vary, accept any reasonable response.)
E.g. I think they were feeling scared and frightened when the big bad wolf was trying to blow their houses down. I think they were surprised and pleased that the wolf landed in the pot.
8. Explain whether this story has a happy ending for all the characters.
It is happy for the three little pigs because they lived happily ever after in the house made of bricks. It wasn’t happy for the wolf because he landed in the pot and then ran away. He might have been hurt.
9. Describe the wolf using three adjectives.
(Answers will vary, accept any three reasonable adjectives.)
E.g. mean, angry, scary, frightening, grey, creepy, terrifying and petrifying
10. What would be an alternative ending for the story?
(Answers will vary, accept reasonable alternative endings.)
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CHAPTER 1
The unique nature of the healthcare environment
Gary Williams
LEARNING OBJECTIVES
After reading this chapter and completing the activities, you will be able to:
- discuss the historical foundations of healthcare in Australia and their impact on current healthcare provision
- describe the different frameworks for healthcare in Australia
- evaluate the political and policy drivers for healthcare provision in Australia
- critically examine the impact of socio-economics in relation to both accessing health services and the delivery of health services.
KEY TERMS
Frameworks for healthcare
Liberal individualist
Health policy
Person-centred care
Social determinants of health
Socio-economics
Social gradient
Social liberal
Universal healthcare
Introduction
When asked to describe the healthcare environment, many people will begin to describe a physical environment: a hospital, or a doctor’s surgery or another of the many places that people can go to receive care.
However, this chapter will consider the healthcare environment as a combination of elements. These elements have shaped healthcare in Australia and continue to shape healthcare now and into the future. Healthcare is such a broad term that, aside from numerous definitions, we all have our own unique way of defining healthcare. Take a moment to consider a more personal definition of healthcare. Now think about people studying at university, and people in shopping centres on the weekend and a group of friends at the football: do they all have the same definition as everyone else? They probably don’t.
Just like our understanding of health, people have many different definitions of healthcare. These many different beliefs, views, ideologies and definitions create a very unique healthcare environment in Australia.
In this chapter, the elements that shape the healthcare environment will be explored, including the historical foundations, political ideologies, political and policy drivers, the impact of socio-economics, and models and frameworks.
Political ideologies
To truly understand the healthcare environment in Australia, it is important to gain some insight into the ideological differences that have long existed between the two most prominent political parties in this country: the Liberal Party—or, in some periods, the Liberal/National Coalition—and the Australian Labor Party. The Liberal Party and the Coalition partnership with the National Party have often taken a liberal individualist approach towards the provision of healthcare (Gray 2005). This approach favours minimal government intervention in health policy, and increased roles for private medicine and private health insurance. On the other hand, the Australian Labor Party has often taken a social liberal approach, suggesting that health should be publicly funded to ensure access and equity to all citizens. The result of these differences is a continual movement in Australia between public and private health insurance systems (Gray 2005).
How health is delivered or how a healthcare system is structured is individual to the needs of the community. There are a number of different healthcare systems; some are primarily government funded through tax systems, while others are primarily funded by the individual (pay-for-service). This continued movement between public and private approaches is unique to Australia, especially when compared to other OECD (Organization for Economic Co-operation and Development) countries (Gray 2005). This unique relationship between public and private sectors extends beyond the underlying politics of healthcare, reaching into everyday healthcare.
practice and resulting in both positive and negative outcomes. Given the politics of healthcare and the link between healthcare consumer/professional interaction, communication, health outcomes and perceptions of healthcare quality (Asnani 2009; Clark 2003; Wanzer et al. 2004), a deeper understanding of the origins, inner workings and future directions of healthcare should result in improved interactions, improved health outcomes and improved quality perceptions.
**Universal healthcare in Australia**
Australia’s current *universal healthcare* system is recent; however the history of its development and introduction is complex. Medicare, as we know it today, has only been in place since 1984, after being introduced by Labor Prime Minister Bob Hawke. The Hawke Government, although credited with the introduction of a long-term, stable universal healthcare system, cannot be credited with the inception of national universal healthcare in Australia. The movement towards national universal healthcare came almost 40 years before the introduction of Medicare.
In 1945, when the Chifley Labor Government came to power, a number of social reforms around health and pharmaceuticals began to take shape, as the government focused on shifting from a wartime economy (Swan 2009). Among the social reforms were changes to the constitution that gave the federal government more power over health matters. Prior to these changes in 1946, federal administration relating to health was limited to quarantine matters (Duckett & Wilcox 2011). This period was the beginning of a movement towards universal healthcare in Australia.
However, this movement towards universal healthcare was short lived. In 1949, the Menzies Liberal/Country Party Government came to power and modified the plans for national healthcare set in place by the Chifley Government. The Menzies Government opted for a health scheme that would provide free healthcare for those who couldn’t afford it, and required the rest of the population to purchase private health insurance. This approach to healthcare required means testing, resulting in the very disadvantaged having access to free healthcare and the wealthy having private cover (Willis et al. 2009). However, means testing has a tendency to disadvantage those who fall between very disadvantaged and wealthy, as they are unable to access free healthcare but unable to afford private cover. This is exactly the scenario experienced in Australia during the 1960s, resulting from a two-tiered system of healthcare provision, leaving approximately 17 per cent of the population without any health cover at all (Willis et al. 2009).
The Menzies Government remained in power from 1949–1966 (NAA 2014). Sir Robert Menzies retired as prime minister in 1966, but the Liberal/Country Party coalition continued in power until 1972, when the Whitlam Labor Government came to power. By this stage, public dissatisfaction with the healthcare system was
evident and the Whitlam Government seized the opportunity to introduce a new healthcare system similar to that proposed by the Chifley Government (Biggs 2004).
In July 1975, the Whitlam Government introduced Medibank (although credit for the Medibank concept should go to health economists John Deeble and Richard Scotton). However, the Whitlam Government was short lived, being dismissed by the Governor-General; as a result, Medibank failed to provide a long-term universal healthcare system. The Fraser Liberal/Country Party coalition came to power in November 1975 and quickly moved to modify the Medibank system. Medibank Mark II was introduced in 1976. Medibank Mark II attracted a 2.5 per cent levy on income, with the option of taking out private health cover to avoid the levy (Biggs 2004). In later years, the Fraser Government would enact a number of changes to the Medibank system, leaving it somewhat unrecognisable as a universal healthcare system.
It took until 1984 and the Hawke Labor Government for the introduction of a stable, long-term, universal healthcare system. Much like the original 1975 Medibank, the new system would undergo a name change along with changes to financing, including amendments to the *Health Insurance Act 1973*, the *National Health Act 1953* and the *Health Insurance Commission Act 1973* in an attempt to ensure its longevity.
The provision and arrangements for healthcare in any country present a number of challenges, one of the most noticeable being funding. Healthcare is expensive and needs to be financed somehow. Government-funded universal healthcare is usually funded by government income, such as taxes; however, as populations grow, the costs of healthcare also grow.
**TABLE 1.1** Universal healthcare in Australia
| Year | Event |
|------|-------|
| 1945 | Chifley Labor Government introduces social and health reforms. |
| 1946 | Changes to the constitution to allow Commonwealth powers over healthcare. |
| 1949 | Menzies Liberal/Country Party Government provides means-tested healthcare: very disadvantaged receive government-funded healthcare; all others must have private health cover. |
| 1975 | Whitlam Labor Government introduces the Medibank medical insurance scheme. |
| 1976 | Fraser Liberal Coalition Government restructures Medibank, introduces Medibank Mark II. |
| 1984 | Hawke Labor Government introduces Medicare on 2 February 1984 as a long-term, universal healthcare system in Australia. |
Continued change
The differing ideologies regarding the provision and financing of health services in Australia has led to a system of constant change. However, many of the basic principles first introduced by the Whitlam Government remain in place, creating what appears to be a stable, long-term, universal healthcare system. Although stability in healthcare provision appears to be a desired outcome, change is inevitable, as Australia’s population profile has dramatically changed since the 1975 introduction of Medibank. In 1975, Australia’s population was around 14 million people (ABS 2001), and in 2014 the estimated population was around 23.5 million people. The dramatic increase in numbers is not the only change in the population profile. Increases in life expectancy, changes in disease and illness—with decreases in infectious disease and increases in chronic disease—fluctuations in fertility rates, unemployment, home ownership, interest rates and inflation, have all had an impact on the transition of a population, leading to changing demands for healthcare. These changes are not just in consumption of healthcare, but in demands for its provision and funding.
The Australian health expenditure report (AIHW 2013) estimated health spending in Australia 2011–2012 at $140.2 billion, compared to an estimated $72.2 billion in 2002–2003 (AIHW 2004). In this short period of time, total health expenditure had almost doubled. The amount spent on health can increase for a number of reasons, such as increasing population demands, increasing costs of goods, new technologies or changes in the use of technology; even the social and economic structure of a population can influence how much is spent on health. Given the propensity of populations to change, it is easy to see why healthcare provision and consumption are so dynamic in nature. The ever-increasing cost of healthcare is quite often a political tug of war, with one side believing that, regardless of cost, universal healthcare should remain relatively unchanged, while the other believes that significant changes must be introduced to ensure the longevity of universal healthcare in Australia. Regardless of these opposing viewpoints, healthcare costs continue to rise and at some point someone will need to pay for the increases.
The dynamic nature of the healthcare environment also creates a continually evolving client–professional relationship that requires constant attention from all parties. Political influence and healthcare funding, pay-for-service arrangements, access to health information, social media and changing health needs all create a client–professional relationship that demands continual evolution. The healthcare environment is one of few sectors where macro and micro components, communication and influences combine to alter the interaction and communication between client and professional.
HEALTHCARE PROGRESS
Take a moment to think about health information access and consider the following scenario.
AUGUST 1980, SYDNEY, AUSTRALIA
Mr Rogerson is a 25-year-old male. He is experiencing a slight bulge in the middle of his abdominal region, approximately two centimetres above his belly button. He has noticed over the past weeks that the bulge is becoming larger, and it is quite painful. He decides he should probably see a doctor, and calls his GP. The receptionist for his GP explains that they are very busy, and won’t have any appointments until early next month (September).
- When Mr Rogerson is told he will need to wait for an available appointment, what might his response be?
- What might Mr Rogerson take with him to prepare for his GP appointment, if anything?
- Is it likely that Mr Rogerson will make any treatment or diagnostic request at the appointment?
- If so, what might those requests be? If not, why do you think he wouldn’t make any requests?
- Now change the date of the scenario to today, and consider the same questions again.
Since the introduction of universal healthcare in Australia there have been many changes associated with health and healthcare. The needs of populations have changed, and access to information about health and healthcare needs has changed dramatically, too. This access to information—although more evident in some sub-populations and specific age groups comfortable with technology and social media—has influenced the way that people access healthcare, communicate healthcare needs and consume healthcare. The introduction of the internet has enabled easy access to substantial amounts of health information (Hesse, Nelson, Kreps et al. 2005). The presence of this information, our understanding of health, what health means to us, and our ideologies regarding the provision of healthcare help to create our own individual model of healthcare. This information has also bought about a shift in the balance of power in health needs communication.
Since Australia’s settlement, there has been a continued shift in communication of healthcare needs. From a macro perspective, government organisations traditionally communicated the needs to the people. However, communication has evolved, resulting in a move away from government and private organisations communicating what individuals and communities require, to individuals and
communities directing the communication about their specific healthcare needs. From a micro perspective, individual–health professional interactions have also evolved in favour of the individual, allowing for far greater communication of needs. The greater access to information, the greater the shift in both micro and macro communications.
Consider your own model of healthcare.
- What does health mean to you?
- What does healthcare provision mean to you?
- Consider how you established your understanding of health.
- Where do your ideologies stem from?
- Who influenced you?
- What information influenced you?
- Now think about how other people (clients or patients) might see health or the provision of healthcare.
- As a health professional, it is likely that your ideologies will differ from those of your clients or patients. How might this impact on your interaction with them?
Without really knowing it, we create our own healthcare model to suit our own individual ideologies; this conceptualisation can then be expanded to the community around us. What we create individually or as a community can be referred to as a model or framework for healthcare. Frameworks for healthcare generally reflect how health is conceptualised by individuals or communities (Taylor et al. 2008), and can be seen as the way in which healthcare is approached. However, it is unlikely that any two people will conceptualise the exact same framework, nor will any two communities. Like many aspects of health and healthcare, this is not a one-size-fits-all process.
**Frameworks for healthcare**
How health is conceptualised is reflected in the way that individuals, communities, government or private organisations approach healthcare.
So why are frameworks for healthcare necessary when governments and experts can tell us what healthcare needs to be delivered? Frameworks for healthcare actually guide health policy and the delivery of health services. We should really consider health frameworks as continually evolving concepts that can be shaped, adjusted or reinvented as the populations change and new evidence is introduced. As with different individual conceptualisations and different communities, the diversity of health practice areas, health-related sectors, and even the practitioners’ ideologies, create the need for a large array of frameworks. A simple internet search
will demonstrate the diversity of healthcare frameworks. In this chapter we will focus on four primary frameworks:
- biomedical
- bio-psychosocial
- International Classification of Functioning (ICF)
- socio-ecological framework.
**The biomedical model**
The biomedical model is a model that people are most likely familiar with and, although they may not know it by name, it has most likely influenced health and healthcare beliefs of individuals and communities. The biomedical model has for a very long time provided the basis for healthcare, based on the premise that health is the absence of disease (Taylor et al. 2008; Wade & Halligan 2004). The biomedical model is entrenched in scientific understanding, suggesting that scientific processes can explain health and illness as the cause of disease; it is limited to biological causes, somewhat dismissing any causation related to psychological factors. As we learn more about health and wellbeing, it may seem easy to dismiss a model of care that only really considers the biological aspects of health or illness. However, the biomedical model still underpins a great deal of our medical understanding; it is the model we use to educate health professionals, and it still has a place in some health settings. The biomedical approach is somewhat limited regarding rehabilitation medicine, as the scientific nature of the model suggests that knowledge lies with the practitioner, creating barriers to effective therapeutic communication.
As mentioned earlier, the models or frameworks for healthcare are reflected in health policy and, to some extent, health spending. The biomedical model is quite clearly reflected in health spending. In 2008/2009 the proportion of public health spending to total recurrent government health spending was 2.8 per cent (AIHW 2011), and although this amount was an increase from previous years, it still remains a small proportion of total government recurrent spending, reflecting the focus of the biomedical model on physiological outcomes. However, the total amount spent on health is not necessarily a reflection of health outcomes, as the proportion of public health spending is more important regarding health outcomes (Baum 2011). The US provides a good example, as it has one of the highest health expenditures in the world while at the same time infant mortality remains higher than the average of the top ten OECD nations (Baum 2011). Although health spending would appear to be concerned with the macro level of health, the micro level is also impacted through resource allocation and utilisation. Resources in health can be physical, human or time, and their allocation and utilisation can influence client–professional interaction, health outcomes and perceptions of quality. A biomedical approach emphasising physiological outcomes may force resource allocation away from interventions or approaches that foster client-centred outcomes.
TABLE 1.2 Biomedical model of health and illness
Health and illness is physiological: the presence or absence of disease.
The aetiology of a disease is physiological and has a physiological or biological cause with the host body.
Balance of power in the relationship is significantly shifted towards the practitioner, who is the only expert in the equation.
Disease is curable and the systems are restorable as a result of medical intervention and cure.
Life experiences, psychological trauma and socio-economics are not considered contributing factors in the disease process.
Functioning of systems can be considered normal or abnormal; abnormal indicates some form of malfunctioning in the synchronisation of body systems.
Adapted from Taylor et al. 2008
The bio-psychosocial model
The bio-psychosocial model accommodates psychological and social contexts; however, it also encompasses a number of elements of the biomedical model. The bio-psychosocial model provides an example of the evolution of models or frameworks in response to changing needs and understanding about health and illness. The bio-psychosocial model evolved from the biomedical model in response to claims that the biomedical model was too narrow in its focus (Borrell-Carrio et al., 2004).
The bio-psychosocial model takes a holistic approach that considers the molecular and also the social context of disease (Borrell-Carrio et al. 2004; Taylor et al. 2008). However, given its origins are entrenched in the biomedical approach to health and illness, there is significant conflict regarding treatment and the balance of power between the health professional and the patient. Recognising the social context to health, barriers to therapeutic communication resulting from the biomedical component are slightly reduced under this model. These barriers can be further reduced when health practitioners acknowledge the existence of power relationships.
The impact of power relations on communication and interaction can be further reduced—or in some cases exacerbated—through individual–health professional terminology. For example, the term ‘patient’ traditionally demonstrates an imbalance in power, as the patient generally receives treatment or is acted upon. Although ‘patient’ may not carry the same meaning for everyone, it does carry an element of power shifting towards the health professional. On the other hand, the
terms ‘client’ or ‘consumer’ reset the balance of power, suggesting that the client or consumer is now acquiring services for their own personal needs; there is an element of control in the hands of the receiver. The use of different terminology proposes an underlying framework or belief from either party, which may result in either negative or positive communication outcomes.
**TABLE 1.3** Bio-psychosocial model
| Encompasses a worldview of health, and recognises the relationship between physical, psychological and social wellbeing. |
| --- |
| Physical components of health, illness and function can be considered normal or abnormal; abnormal indicates some form of malfunctioning in the synchronisation of body systems. |
| Curative approach to physical systems. |
| Balance of power remains with the practitioner as the expert; the patient requires a curative approach to restore system functions. |
| Presenting symptoms approach: focus on the individual. |
| Recognises a relationship exists between physiological, psychological and social determinants of health; able to take a holistic approach to intervention. |
Adapted from Taylor et al. 2008
**International Classification of Functioning, Disability and Health (ICF)**
The biomedical and the bio-psychosocial models provide a basis to drive health policy in a direction that considers more than just the physiological components of health and illness. However, as health and medical research continues to provide greater insight into the mechanisms of wellness it becomes evident that the previous models have limitations.
Health or wellness is far more than just physical and social contexts; it is individual and continually evolving via multiple inputs that include physical and social inputs, as well as environmental inputs, experiences, and much more. In 2001, the World Health Assembly (WHA), along with many governing bodies, adopted a new framework for healthcare: the International Classification of Functioning, Disability and Health (ICF) (Taylor et al. 2008). Although referred to as a new framework, it is an earlier framework redesigned to incorporate the changing needs of and understandings about health and wellness. The ICF actually
owes its origins to the International Classification of Impairments, Disabilities and Handicaps introduced in 1975 (Taylor et al. 2008).
The ICF moves beyond the biomedical and bio-psychosocial models of health: it recognises that health is for more than a physiological or social component, and recognises that wellness exists as a relationship between health and functioning. A key assumption within this framework is the continuum of health, illness and wellness: all three elements are dynamic (Taylor et al. 2008). Interestingly, this framework recognises that health and wellbeing are actually separate entities, and one does not necessarily suggest the presence of the other. The move towards this framework supports the very concept of rehabilitation medicine and it also suggests a directional change in health policy. The support from the World Health Organization (WHO) demonstrates a move away from a biomedical approach towards policy that addresses quality of life, engagement in activity and the reduction of the burden of disease. The ICF model enables therapeutic communication, as opposed to creating barriers, as the client now plays a significant role in the relationship and in their own treatment, thus leading to a need for higher levels of communication, as well as higher levels of awareness from the client. However, there is potential for a less positive outcome through use of this framework if the client group is firmly fixed in the biomedical approach. This emphasises the need for health professionals to be aware of individual health beliefs, allowing their models and approaches to evolve and adapt with changing client needs.
**TABLE 1.4** International classification of functions as a framework for healthcare
| Health is not static, but dynamic across the life span. |
| Recognises that health and wellness change in response to both physiological and environmental exposures. |
| Disability does not necessarily equal poor health; relationship between biological and social function suggesting quality of life and engagement in meaningful activity is significant to self-rated health and wellbeing. |
| The whole environment is associated with wellbeing, ranging from access to services and technology to the policies that impact on an individual or a community. |
| Participation in activities or daily life is vital to health and wellbeing; participation in meaningful activities or occupations is even more important. |
| The level of participation relates to physical, psychological and social wellbeing. |
| Recognises the relationship exists between physiological, psychological and social determinants of health; able to take a holistic approach to intervention. |
Adapted from Taylor et al. 2008
The socio-ecological framework
The socio-ecological framework considers a population approach to health that, in its very nature, could be considered a true healthcare approach. The socio-ecological approach focuses on health at all levels of society (Taylor et al. 2008). Rather than just attending to the needs of the individual, a socio-ecological approach attends also to the needs of the whole community. It is a ‘public health’ approach: rather than treating illness, this approach is entrenched in promoting health and wellbeing. Although this appears to be the ideal framework for healthcare, it should be noted that in order for the socio-ecological framework to be applied successfully, elements from the biomedical model, the bio-psychosocial model and the ICF are required.
Reflect and apply
- Consider the four models discussed and identify which components overlap.
- From the four models, select the elements that best suit your health ideologies and create your own model.
- Talk to someone older, such as a family member or friend, and build a framework for them. Consider the differences in your frameworks. How might insight into their framework for healthcare impact on your approaches to the delivery of health services?
TABLE 1.5 Socio-ecological framework for healthcare
Wellbeing is dependent on the interrelationship between person-to-person interaction, society and the environment.
Health, wellbeing and illness are complex beyond physiological matters; they are determined by life exposure, experience and beliefs.
Health and wellbeing go beyond the individual and encompass the community; expanding populations, interventions, policy and financing must recognise the relationships so that all components can reach their full potential.
The relationship between health and wellness goes beyond individual benefit; it can become a valuable resource for the community and the expanding population.
Health practitioners aim to prevent disease and illness, and to promote health and wellness.
Health is not the sole responsibility of health disciplines; preventative and promotive approaches cross disciplines and sectors, making health the responsibility of all.
Adapted from Taylor et al. 2008
Frameworks for healthcare extend well beyond the models presented in this chapter, and don’t necessarily have to be published in textbooks or journal articles. They are conceptualisations that begin life belonging to an individual, based on the combination of exposures, experiences, education and personal beliefs for both the individual and the health professional. Each party’s conceptualisation of health and healthcare has substantial influence on the balance of power in the healthcare relationship. For example, frameworks or approaches to healthcare—such as person-centred, family-centred or consumer-directed care—all view the individual as central to the provision of care, in essence creating a balanced partnership giving the individual sufficient power to direct their care. In order to reach a balance of power, both parties first need to communicate their healthcare beliefs and create an appropriate individualised framework that draws on multiple approaches. For a health professional, no single framework is likely to cater for all clients; instead, a constantly evolving framework based on primary care principles may be more appropriate.
**The driving force of health policy**
Healthcare models and frameworks provide a significant driving force in the development and implementation of health policy, and there are a number of associated stakeholders, ranging from politicians to private organisations. However, the politics of health policy is a double-edged sword: while one edge may nurture opportunities to advance health, the other edge may inadvertently (or knowingly) hinder any progress. Many undergraduate health professionals struggle to recognise the impact that politics might have on their own practice; however, the health professional is quite possibly the most affected—apart from the consumer—while also having the potential to be influential in health policy reform. It is not until entering the health workforce that graduates are faced with both sides of health policy: the elation when policy supports progress and the immense frustration when it hinders progress.
The predominant driver of health policy is money: health costs money. Going to the doctor, an allied health professional or any form of health service: at some point, someone has to be paid by someone else. Health is an industry driven by money. In Australia, it is driven by over $140 billion a year (AIHW 2013). The fiscal nature of health creates interest from multiple stakeholders, some of whom are interested in the improvement of health and some of whom are interested in making money. As discussed earlier, the constant oscillation between public and private provision is unique to Australia, and balancing this oscillation remains a significant challenge to the universal healthcare system. This challenge is made even more difficult by multiple stakeholders with multiple interests.
Health is one of Australia’s largest industries, estimated in 2005 at more than five times larger than defence (Gray 2005), and it continues to grow at a substantial...
rate, offering multiple opportunities for great financial gain. AIHW figures suggest that health consumed approximately 9.5 per cent of the gross domestic product (GDP) in the 2008–2009 period (AIHW 2011). This figure is around 1 per cent more than the OECD average. The size and financial complexities of the health industry create conflict when trying to balance health policy. For example, providers want high profits and incomes while consumers seek access to quality services at affordable prices (Gray 2005), at the same time that governments want to keep tight control over health expenditure. This trio of players generates a conflict that requires continual nurturing to maintain an appropriate and acceptable balance.
Governments, both state and federal, are responsible for a large proportion of health expenditure; therefore, a key policy driver from a government perspective is to minimise health inflation. This outcome is challenging, as healthcare costs have a tendency to increase faster than other costs because of new technologies and increasing utilisation. Also, private healthcare providers and health professionals tend to resist policy that may impact on, or place restraints on, their income. So providers and professionals are likely to oppose policy that aims to limit growth in expenditure unless they can find ways of ensuring that someone makes up the shortfall (Gray 2005). This ‘someone’ is usually the consumer, and the shortfall is generally made up through user charges (such as co-payments) or private health insurance premiums. This alters the relationship between professional and client, too, as the client still wants services and the professional still wants to provide services; however, a pay-for-service situation potentially creates a retail environment with the power shifting towards the consumer.
**FIGURE 1.1:** The health dollar
The conflict between the different stakeholders creates a number of problems with policy development and implementation. One problem is inconsistency within the policy itself, as well as inconsistency in implementation. The tension that exists between the stakeholders is often reflected in their interpretation and implementation of policy, as each stakeholder is likely to have a different view of
the policy outcome. This difference in interpretation and implementation often results in a reactive approach to health policy rather than a proactive approach to health policy. Unfortunately, the end result of this policy cycle is often failure to truly meet the needs of the consumer, at the same time as failing to meet the goals of the stakeholders. Reactive policy has a tendency to cost all of the stakeholders far more in the long run.
Policy drivers and flawed policy outcomes are not unique to Australia; many governments in other parts of the world experience the same problems, particularly with health policy. What is unique to Australia is significant government input, not just in raw funding but in the maintenance of power. Regardless of funding arrangements or service structure, Australian governments maintain control over healthcare. How they balance the funding and responsibilities depends greatly on the political party in power and their ideology, but it is clear that political parties in Australia recognise that health is held in high regard among voters, and that health policy has the potential to attract votes. That governments have maintained the balance of power over health despite mounting pressure from private interests is commendable; however, the power of health policy to attract votes only adds to the reactive nature of health policy in Australia.
**Health, wealth and the consumer**
Although the consumer is an extremely important stakeholder in health policy development and the delivery of health services, their input is often overlooked or given far less attention than it merits. The consumer provides significant insight into just what sort of healthcare should be provided. Historically, consumer input into health is one-sided, with health policy tending to favour the least disadvantaged of the population, regardless of the original intent of the policy. Unfortunately, opportunities for input from socially and economically disadvantaged consumers are less evident; however, the health professional has the potential to be an avenue of communication, allowing micro-level communication (client) to migrate to the macro level (government or policy maker), essentially playing the role of advocate.
One element that impacts health and wellbeing as well as access to health services or health information is **socio-economics**. In very simple terms, it appears that wealthy populations are healthier than poorer populations (Keleher & MacDougall 2011). Much has been written over the past two decades about health and social determinants (Begg et al. 2007; Keleher & Macdougall 2011; Marmot & Wilkinson 2006), in particular socio-economics and health. Research suggests that population groups experiencing low socio-economic status experience a far greater burden of disease (Begg et al. 2007) than other population groups. The most disadvantaged groups in Australia experience 31.7 per cent greater burden of disease than the most advantaged groups (Begg et al. 2007). Higher mortality rates have also been associated with lower socio-economic population groups across a
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**Socio-economics**
The interaction between economics and social processes. Socio-economic status is a measure of an individual’s economic and social position based on education, income and occupation.
number of causes of death (Draper et al. 2004), with the most disadvantaged people experiencing the highest mortality rates in Australia. Life expectancies have also been shown to differ between socio-economic populations, with the most disadvantaged groups of males having an expected longevity of almost four years less than the least disadvantaged group of males; for females, the difference is approximately two years. Graded relationships can also be found in a number of diseases, such as cardiovascular disease, diabetes and some cancers, with the most disadvantaged groups experiencing higher rates of disease.
Evidence to support the contribution of social and economic status to health continues to grow (Berg et al. 2007; Draper et al. 2004; Keleher & MacDougall 2011; Marmot & Wilkinson 2006). Medicare was built on the principles of universality, access, equity, efficiency and simplicity, the main objective being to break down the financial barriers to healthcare access for all Australians. Given the principles of Medicare, how is it possible that we are still able to identify disparities in health in relation to socio-economic status? Unfortunately there is no simple solution; however, what is known is that a number of social determinants can be linked to health and wellbeing, the most notable being social status, income and work (Fanany & Fanany 2012; Keleher & MacDougall 2011).
The concept of socio-economic status is often described along a *social gradient*, with health improving or getting better as you move up the gradient (Fanany & Fanany 2012). We can further explore the concept of socio-economic status by including work as part of the health determinant. Given that much of our lives are spent working, it is evident that the type of work we do, the level of control we have over our work and the income it generates will also impact upon our health (Fanany & Fanany 2012). Socio-economics and the social gradient also create particular challenges for the health professional: the further down the social gradient the client is, the less likely that they have accessed significant education opportunities; this results in a mix of inputs used to create their own model of healthcare, ranging from cultural upbringing to social media and hearsay. This mix of inputs and conflict of healthcare attitudes creates a unique challenge in forming client–professional relationships, as well as in developing communication pathways to support positive health outcomes and healthcare experiences.
Declines in socio-economic status lead to decreases in health, regardless of the services provided. Financial access to services is only one step towards improving health in disadvantaged populations. A number of elements play a role in health and wellbeing, such as maintaining a healthy diet, drinking in moderation, avoiding addictions, maintaining physical fitness, making time to relax, and taking care of personal hygiene.
The relationship between financial stability and diet, drinking, addictions, physical fitness, relaxation and hygiene is easily recognised; however, consider how other social factors may impact on these elements. Many of the factors identified in the preceding discussion are very similar to the social determinants of health. Table 1.6 outlines the key social determinants of health.
FIGURE 1.2: Socio-economics and the health relationship
TABLE 1.6 Social determinants of health
The social gradient: Social and economic circumstances affect health, both individually and at a community level.
Stress: Lack of control can lead to stress, particularly in the workplace. Exposure to unfavourable social and psychological situations can lead to long-term stress.
Early life: Early development and education impact on health throughout life. The foundations for good health begin in early development.
Social exclusion: Social exclusion can be linked to depression; often linked to marginalised groups.
Work and unemployment: Work can contribute significantly to stress, increasing the risk of disease. Job security adds to wellbeing; unemployment or lack of job security increases psychological stress, further amplified by lack of financial security.
Social support: The presence of social support through friends and family contributes to good health and wellbeing; the absence of such support can negatively affect health and wellbeing.
(continued)
Transport: Healthy transport encourages better health through walking and cycling; this is also supported through reliable and affordable public transport. Apart from reducing pollution and road accidents, effective public transport also provides access to health services.
Gender: The impact of gender on health includes social roles, power and control in the community, family, environment and the workplace, as well as access to and engagement with health services.
Culture: Views and understanding of health and healthcare. Cultural and religious beliefs can impact on access to and utilisation of health services.
Healthcare in Australia is not a one-size-fits-all approach. Although many policies and programs exist in an attempt to improve the health of disadvantaged populations, positive health outcomes are limited. Several challenges that lay outside the realm of health policy limit the success of health programs; however, are all linked to socio-economics and social determinants of health. It is possible to provide substantial health services targeted at the needs of disadvantaged populations, although positive health outcomes also require that communities are aware of the services and have adequate access to them. Transport, education, working conditions, gender and culture all impact on how or if individuals or communities will access health services. These same social determinants also impact on the individual and the community’s healthcare framework, thus determining access and utilisation of services. Achieving positive health outcomes goes beyond just providing the care or service needed: it is far more complex than simply increasing the number of allied health professionals, midwives or GPs in an area. As much as this perspective is imperative for the policy-makers, it is just as imperative for the practising health professional in every role, from the frontline health worker to the service manager.
As an individual you have developed your own framework for healthcare, and as a developing health professional it is likely that your framework will evolve as you progress through your undergraduate degree to become a practising health professional. The beliefs, ideologies and experiences that have gone into constructing your personal healthcare framework are important to you, and may differ substantially from someone else’s framework. Consider how knowing or not knowing about the construct of another person’s healthcare framework might impact on your approach to practice as:
- a frontline health professional
- a service manager
- a policy maker.
Conclusion
The current healthcare environment in Australia goes well beyond the physical location of health service delivery. Rather than just the physical, the healthcare environment is a conceptualisation of beliefs, ideologies, culture, history, interactions and evidence that continues to evolve and adapt to changing health needs and also in response to the changing ideologies of the Commonwealth Government. The evolution of the healthcare environment is reflected in the ways in which we deliver healthcare, and the way in which we view health and illness. It is complex and dynamic, and while there are many elements that individuals and communities share in the understanding of health and illness, there are also many elements that differ. These differences add to the complexities: the unique nature of the healthcare environment and the challenges in balancing the needs of the many stakeholders, which all play a role in maintaining the healthcare environment and allowing it to evolve. Biomedical approaches to health may have formed the basis of the current healthcare environment; however, evidence clearly suggests that there is far more to health and healthcare than this approach can accommodate. There are numerous social factors that influence health, healthcare and health policy that require careful examination and exploration when preparing for health services. Healthcare in Australia is not a one-size-fits-all scenario and, while no single stakeholder possesses all the answers, it is likely that a combination of ideologies from all players, combined with an ability to evolve and adapt, may provide an effective healthcare framework in the future. For the health professional, a deep understanding and engagement with all elements of the environment from policy making to client beliefs is likely to result in a modified framework capable of evolving to meet the needs of the health professional and the client, leading to improved client–professional communication, better health outcomes and improved resource utilisation.
SUMMARY POINTS
- Health and healthcare in Australia is an ever-evolving entity. The evolution of healthcare in Australia is not only dictated by the political ideologies but also directed by healthcare consumers. While healthcare stability is important, change is both inevitable and required to ensure population needs are continually met.
- The major political forces in Australian politics demonstrate substantially different ideologies towards the provision of healthcare in Australia; however, these differences act as a conduit for continual change, development and improvement of healthcare in Australia.
- The complexities of healthcare provision are further exacerbated by the complexities of the populations requiring healthcare. Individuals and communities differ in their
healthcare needs and beliefs—or how they conceptualise health and healthcare. Frameworks for healthcare help to communicate what health means from an individual perspective as well as from a population or community perspective. A deeper understanding of the meaning of health supports the provision of meaningful health services.
- Healthcare and health policy in Australia has multiple stakeholders with multiple interests; some stakeholders are interested in profit, some are interested in services and some are interested in reducing expenditure and input. Consumers, providers and government are all stakeholders in health policy.
- Healthcare communication is a complex entity that goes beyond the micro level of client–professional interaction. The macro level is concerned with the broader communication of health needs. Consumers communicate their needs at a micro level through healthcare providers, and at a macro level via the polling booth. Providers communicate their needs through advocating policy, or by resisting policy changes that impact upon them at a personal or organisational level. Provider interactions can be both micro and macro: micro when communicating individual needs, and macro when communicating client or community needs.
- Political drivers are not the only element shaping healthcare. Health, healthcare and health policy are all influenced by a multitude of social factors. Balancing the differing needs of individuals and communities adds an extra layer of complexity.
**Critical thinking questions**
1. The future of Medicare is constantly in the political spotlight. What are your views on current debates? Do you have a secret solution? How might your solution impact on vulnerable and affluent people in our society?
2. It is often said that Australians possess the best healthcare system in the world. Why might this attitude prevail? Reflect on your knowledge of healthcare in other countries and make the comparisons.
**WEBLINKS**
http://www.humanservices.gov.au/
Australian Government Department of Human Resources.
http://www.aph.gov.au/About_Parliament/Parliamentary_Departments/Parliamentary_Library/Publications_Archive/archive/medicareMedicareBackground: Parliament of Australia.
http://www.euro.who.int/en/publications/abstracts/social-determinants-of-health--the-solid-factsSocialDeterminants of Health: The Solid Facts (2nd edn).
http://www.who.int/topics/social_determinants/en/WorldHealth Organization: Social Determinants of Health.
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Willis, E., Reynolds, L., & Keleher, H. (2009). *Understanding the Australian Health Care System*. Sydney: Elsevier. | <urn:uuid:f22865a2-5672-4c08-a0a2-7f6091f8acab> | CC-MAIN-2019-09 | https://www.oup.com.au/__data/assets/file/0013/132025/9780195596144_SC.pdf | 2019-02-16T13:37:56Z | crawl-data/CC-MAIN-2019-09/segments/1550247480472.38/warc/CC-MAIN-20190216125709-20190216151709-00005.warc.gz | 949,730,791 | 10,357 | eng_Latn | eng_Latn | 0.972702 | eng_Latn | 0.997912 | [
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Visual arts guide
First examinations 2017
Visual arts guide
First examinations 2017
Published on behalf of the International Baccalaureate Organization, a not-for-profit educational foundation of 15 Route des Morillons, 1218 Le Grand-Saconnex, Geneva, Switzerland by the
International Baccalaureate Organization (UK) Ltd
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United Kingdom
Website: www.ibo.org
© International Baccalaureate Organization 2014
The International Baccalaureate Organization (known as the IB) offers four high-quality and challenging educational programmes for a worldwide community of schools, aiming to create a better, more peaceful world. This publication is one of a range of materials produced to support these programmes.
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IB mission statement
The International Baccalaureate aims to develop inquiring, knowledgeable and caring young people who help to create a better and more peaceful world through intercultural understanding and respect.
To this end the organization works with schools, governments and international organizations to develop challenging programmes of international education and rigorous assessment.
These programmes encourage students across the world to become active, compassionate and lifelong learners who understand that other people, with their differences, can also be right.
The aim of all IB programmes is to develop internationally minded people who, recognizing their common humanity and shared guardianship of the planet, help to create a better and more peaceful world.
As IB learners we strive to be:
**INQUIRERS**
We nurture our curiosity, developing skills for inquiry and research. We know how to learn independently and with others. We learn with enthusiasm and sustain our love of learning throughout life.
**KNOWLEDGEABLE**
We develop and use conceptual understanding, exploring knowledge across a range of disciplines. We engage with issues and ideas that have local and global significance.
**THINKERS**
We use critical and creative thinking skills to analyse and take responsible action on complex problems. We exercise initiative in making reasoned, ethical decisions.
**COMMUNICATORS**
We express ourselves confidently and creatively in more than one language and in many ways. We collaborate effectively, listening carefully to the perspectives of other individuals and groups.
**PRINCIPLED**
We act with integrity and honesty, with a strong sense of fairness and justice, and with respect for the dignity and rights of people everywhere. We take responsibility for our actions and their consequences.
**OPEN-MINDED**
We critically appreciate our own cultures and personal histories, as well as the values and traditions of others. We seek and evaluate a range of points of view, and we are willing to grow from the experience.
**CARING**
We show empathy, compassion and respect. We have a commitment to service, and we act to make a positive difference in the lives of others and in the world around us.
**RISK-TAKERS**
We approach uncertainty with forethought and determination; we work independently and cooperatively to explore new ideas and innovative strategies. We are resourceful and resilient in the face of challenges and change.
**BALANCED**
We understand the importance of balancing different aspects of our lives—intellectual, physical, and emotional—to achieve well-being for ourselves and others. We recognize our interdependence with other people and with the world in which we live.
**REFLECTIVE**
We thoughtfully consider the world and our own ideas and experience. We work to understand our strengths and weaknesses in order to support our learning and personal development.
The IB learner profile represents 10 attributes valued by IB World Schools. We believe these attributes, and others like them, can help individuals and groups become responsible members of local, national and global communities.
# Contents
| Section | Page |
|----------------------------------------------|------|
| Introduction | 1 |
| Purpose of this document | 1 |
| The Diploma Programme | 2 |
| Nature of the subject | 6 |
| Aims | 12 |
| Assessment objectives | 13 |
| Assessment objectives in practice | 14 |
| Approaches to teaching and learning in visual arts | 15 |
| Syllabus | 18 |
| Syllabus outline | 18 |
| Syllabus content | 22 |
| Linking the visual arts core syllabus areas to the assessment tasks | 28 |
| Assessment | 30 |
| Assessment in the Diploma Programme | 30 |
| Assessment outline—SL | 32 |
| Assessment outline—HL | 34 |
| External assessment | 36 |
| Internal assessment | 51 |
| Appendices | 62 |
| Glossary of command terms | 62 |
Purpose of this document
This publication is intended to guide the planning, teaching and assessment of visual arts in schools. Subject teachers are the primary audience, although it is expected that teachers will use the guide to inform students and parents about the subject.
This guide can be found on the subject page of the online curriculum centre (OCC) at http://occ.ibo.org, a password-protected IB website designed to support IB teachers. It can also be purchased from the IB store at http://store.ibo.org.
Additional resources
Additional publications such as specimen papers and markschemes, teacher support materials, subject reports and grade descriptors can also be found on the OCC. Past examination papers as well as markschemes can be purchased from the IB store.
Teachers are encouraged to check the OCC for additional resources created or used by other teachers. Teachers can provide details of useful resources, for example: websites, books, videos, journals or teaching ideas.
Acknowledgment
The IB wishes to thank the educators and associated schools for generously contributing time and resources to the production of this guide.
The Diploma Programme
The Diploma Programme is a rigorous pre-university course of study designed for students in the 16 to 19 age range. It is a broad-based two-year course that aims to encourage students to be knowledgeable and inquiring, but also caring and compassionate. There is a strong emphasis on encouraging students to develop intercultural understanding, open-mindedness, and the attitudes necessary for them to respect and evaluate a range of points of view.
The Diploma Programme model
The course is presented as six academic areas enclosing a central core (see figure 1). It encourages the concurrent study of a broad range of academic areas. Students study two modern languages (or a modern language and a classical language), a humanities or social science subject, an experimental science, mathematics and one of the creative arts. It is this comprehensive range of subjects that makes the Diploma Programme a demanding course of study designed to prepare students effectively for university entrance. In each of the academic areas students have flexibility in making their choices, which means they can choose subjects that particularly interest them and that they may wish to study further at university.
Figure 1
Diploma Programme model
Choosing the right combination
Students are required to choose one subject from each of the six academic areas, although they can, instead of an arts subject, choose two subjects from another area. Normally, three subjects (and not more than four) are taken at higher level (HL), and the others are taken at standard level (SL). The IB recommends 240 teaching hours for HL subjects and 150 hours for SL. Subjects at HL are studied in greater depth and breadth than at SL.
At both levels, many skills are developed, especially those of critical thinking and analysis. At the end of the course, students’ abilities are measured by means of external assessment. Many subjects contain some element of coursework assessed by teachers.
The core of the Diploma Programme model
All Diploma Programme students participate in the three course elements that make up the core of the model.
Theory of knowledge (TOK) is a course that is fundamentally about critical thinking and inquiry into the process of knowing rather than about learning a specific body of knowledge. The TOK course examines the nature of knowledge and how we know what we claim to know. It does this by encouraging students to analyse knowledge claims and explore questions about the construction of knowledge. The task of TOK is to emphasize connections between areas of shared knowledge and link them to personal knowledge in such a way that an individual becomes more aware of his or her own perspectives and how they might differ from others.
Creativity, activity, service (CAS) is at the heart of the Diploma Programme. The emphasis in CAS is on helping students to develop their own identities, in accordance with the ethical principles embodied in the IB mission statement and the IB learner profile. It involves students in a range of activities alongside their academic studies throughout the Diploma Programme. The three strands of CAS are Creativity (arts, and other experiences that involve creative thinking), Activity (physical exertion contributing to a healthy lifestyle) and Service (an unpaid and voluntary exchange that has a learning benefit for the student). Possibly, more than any other component in the Diploma Programme, CAS contributes to the IB’s mission to create a better and more peaceful world through intercultural understanding and respect.
The extended essay, including the world studies extended essay, offers the opportunity for IB students to investigate a topic of special interest, in the form of a 4,000-word piece of independent research. The area of research undertaken is chosen from one of the students’ six Diploma Programme subjects, or in the case of the interdisciplinary world studies essay, two subjects, and acquaints them with the independent research and writing skills expected at university. This leads to a major piece of formally presented, structured writing, in which ideas and findings are communicated in a reasoned and coherent manner, appropriate to the subject or subjects chosen. It is intended to promote high-level research and writing skills, intellectual discovery and creativity. An authentic learning experience, it provides students with an opportunity to engage in personal research on a topic of choice, under the guidance of a supervisor.
Approaches to teaching and learning
Approaches to teaching and learning (ATL) across the Diploma Programme refers to deliberate strategies, skills and attitudes which permeate the teaching and learning environment. These approaches and tools, intrinsically linked with the learner profile attributes, enhance student learning and assist student preparation for the Diploma Programme assessment and beyond. The aims of approaches to teaching and learning in the Diploma Programme are to:
- empower teachers as teachers of learners as well as teachers of content
- empower teachers to create clearer strategies for facilitating learning experiences in which students are more meaningfully engaged in structured inquiry and greater critical and creative thinking
• promote both the aims of individual subjects (making them more than course aspirations) and linking previously isolated knowledge (concurrency of learning)
• encourage students to develop an explicit variety of skills that will equip them to continue to be actively engaged in learning after they leave school, and to help them not only obtain university admission through better grades but also prepare for success during tertiary education and beyond
• enhance further the coherence and relevance of the students’ Diploma Programme experience
• allow schools to identify the distinctive nature of an IB Diploma Programme education, with its blend of idealism and practicality.
The five approaches to learning (developing thinking skills, social skills, communication skills, self-management skills and research skills) along with the six approaches to teaching (teaching that is inquiry-based, conceptually focused, contextualized, collaborative, differentiated and informed by assessment) encompass the key values and principles that underpin IB pedagogy.
**The IB mission statement and the IB learner profile**
The Diploma Programme aims to develop in students the knowledge, skills and attitudes they will need to fulfill the aims of the IB, as expressed in the organization’s mission statement and the learner profile. Teaching and learning in the Diploma Programme represent the reality in daily practice of the organization’s educational philosophy.
**Academic honesty**
Academic honesty in the Diploma Programme is a set of values and behaviours informed by the attributes of the learner profile. In teaching, learning and assessment, academic honesty serves to promote personal integrity, engender respect for the integrity of others and their work, and ensure that all students have an equal opportunity to demonstrate the knowledge and skills they acquire during their studies.
All coursework—including work submitted for assessment—is to be authentic, based on the student’s individual and original ideas with the ideas and work of others always fully acknowledged at point of use and included in a list of sources. Assessment tasks that require teachers to provide guidance to students or that require students to work collaboratively must be completed in full compliance with the detailed guidelines provided by the IB for the relevant subjects.
For further information on academic honesty in the IB and the Diploma Programme, please consult the IB publications *Academic honesty in the IB educational context*, *The Diploma Programme: From principles into practice* and the *General regulations: Diploma Programme*. Specific information regarding academic honesty as it pertains to external and internal assessment tasks of this Diploma Programme subject can be found in this guide.
**Acknowledging the ideas or work of another person**
Coordinators and teachers are reminded that candidates must acknowledge all sources used in work submitted for assessment. The following is intended as a clarification of this requirement.
Diploma Programme candidates submit work for assessment in a variety of forms that may include audio-visual material, text, graphs, images and/or data published in print or electronic sources. If a candidate uses
the work or ideas of another person the candidate must acknowledge the source using a standard style of referencing in a consistent manner. A candidate’s failure to acknowledge a source will be investigated by the IB as a potential breach of regulations that may result in a penalty imposed by the IB final award committee.
The IB does not prescribe which style(s) of referencing or in-text citation should be used by candidates; this is left to the discretion of appropriate faculty/staff in the candidate’s school. The wide range of subjects, three response languages and the diversity of referencing styles make it impractical and restrictive to insist on particular styles. In practice, certain styles may prove most commonly used, but schools are free to choose a style that is appropriate for the subject concerned and the language in which candidates’ work is written. Regardless of the reference style adopted by the school for a given subject, it is expected that the minimum information given includes: name of author, date of publication, title of source, and page numbers as applicable.
Candidates are expected to use a standard style and use it consistently so that credit is given to all sources used, including sources that have been paraphrased or summarized. When writing text a candidate must always clearly distinguish between their words and those of others by the use of quotation marks (or other method, such as indentation) followed by an appropriate citation that denotes an entry in the bibliography. If an electronic source is cited, the date of access must be indicated. Candidates are not expected to show faultless expertise in referencing, but are expected to demonstrate that all sources have been acknowledged. Candidates must be advised that audio-visual material, text, graphs, images and/or data published in print or in electronic sources that is not their own must also always attribute the source. Again, an appropriate style of referencing/citation must be used.
**Learning diversity and learning support requirements**
Schools must ensure that equal access arrangements and reasonable adjustments are provided to candidates with learning support requirements that are in line with the IB documents *Candidates with assessment access requirements* and *Learning diversity and inclusion in IB programmes*.
Nature of the subject
Visual arts
The visual arts are an integral part of everyday life, permeating all levels of human creativity, expression, communication and understanding. They range from traditional forms embedded in local and wider communities, societies and cultures, to the varied and divergent practices associated with new, emerging and contemporary forms of visual language. They may have sociopolitical impact as well as ritual, spiritual, decorative and functional value; they can be persuasive and subversive in some instances, enlightening and uplifting in others. We celebrate the visual arts not only in the way we create images and objects, but also in the way we appreciate, enjoy, respect and respond to the practices of art-making by others from around the world. Theories and practices in visual arts are dynamic and ever-changing, and connect many areas of knowledge and human experience through individual and collaborative exploration, creative production and critical interpretation.
The IB Diploma Programme visual arts course encourages students to challenge their own creative and cultural expectations and boundaries. It is a thought-provoking course in which students develop analytical skills in problem-solving and divergent thinking, while working towards technical proficiency and confidence as art-makers. In addition to exploring and comparing visual arts from different perspectives and in different contexts, students are expected to engage in, experiment with and critically reflect upon a wide range of contemporary practices and media. The course is designed for students who want to go on to study visual arts in higher education as well as for those who are seeking lifelong enrichment through visual arts.
Supporting the International Baccalaureate mission statement and learner profile, the course encourages students to actively explore the visual arts within and across a variety of local, regional, national, international and intercultural contexts. Through inquiry, investigation, reflection and creative application, visual arts students develop an appreciation for the expressive and aesthetic diversity in the world around them, becoming critically informed makers and consumers of visual culture.
Distinction between SL and HL
The visual arts syllabus demonstrates a clear distinction between the course at SL and at HL, with additional assessment requirements at HL that allow for breadth and greater depth in the teaching and learning. The assessment tasks require HL students to reflect on how their own work has been influenced by exposure to other artists and for them to experiment in greater depth with additional art-making media, techniques and forms. HL students are encouraged to produce a larger body of resolved works and to demonstrate a deeper consideration of how their resolved works communicate with a potential viewer.
Visual arts and the Diploma Programme core
Visual arts and the extended essay
Writing an extended essay in visual arts provides students with an opportunity to undertake independent research into a topic of special interest. Students are encouraged to apply a range of skills in order to develop and explore a focused research question appropriate to visual arts in an imaginative and critical way, and to test and validate their research by considering its effect on the particular visual arts area.
The outcome of the research should be a coherent and structured piece of writing (with appropriate visuals) that effectively addresses a particular issue or research question, appropriate to the visual arts (broadly defined to include architecture, design and contemporary forms of visual culture). The research may be generated or inspired by the student’s direct experience of artwork, craftwork or design, or interest in the work of a particular artist, style or period. This might be related to the student’s own culture or another culture. Personal contact with artists, curators and so on is strongly encouraged, as is the use of local and other primary sources.
Examples of suitable extended essays in visual arts include the following titles:
- A critical evaluation of the ways in which Wassily Kandisky used colour
- An analysis of the extent to which African influences are evident in the work of Henry Moore (b.1898)
- An analysis of the term “apartment art” examined through the work of Xiao Lu.
Detailed guidance on extended essays in visual arts can be found in the *Extended essay guide*.
Visual arts and CAS
Studying visual arts provides excellent opportunities for students to make links with their CAS activities. The practical and experiential nature of the subject combines effectively with a range of CAS activities that complement and counterbalance the academic rigour of the Diploma Programme. The challenge and enjoyment of CAS activities can often have a profound effect on visual arts students, who might choose to engage with CAS in the following ways.
- Participation in a range of creative activities within the school, such as art projects for school productions, designing publications and promotional materials, and exhibiting at showcase events—there is great scope for students to extend their creative thinking through participation in the planning, development and presentation of a wide range of school-based arts activities and events involving different audiences.
- Participation in a range of artistic activities, workshops and exhibitions in collaboration with others outside of the school context—these might include designing projects with organizations in the local community or creating artworks with other local schools targeted at a specific audience with specific needs.
It is important to note that CAS must be distinct from, and may not be included or used in, any aspect of the student’s course requirements for any subject.
Teacher support material
Further opportunities for making links between the visual arts course and CAS can be found in the *Visual arts teacher support material*.
Visual arts and TOK
The TOK course requires students to reflect on the nature of knowledge and on how we know what we claim to know. The course identifies eight ways of knowing: reason, emotion, language, sense perception, intuition, imagination, faith and memory. Students explore these means of producing knowledge within the context of various areas of knowledge: the natural sciences, the social sciences, the arts, ethics, history, mathematics, religious knowledge systems and indigenous knowledge systems. The course also requires students to make comparisons between the different areas of knowledge, reflecting on how knowledge is arrived at in the various disciplines, what the disciplines have in common and the differences between them.
Students of the arts subjects study the various artistic ways through which knowledge, skills and attitudes from different cultural contexts are developed and transmitted. These subjects allow students to investigate and reflect on the complexities of the human condition. By exploring a range of materials and technologies, students should aim to develop an understanding of the technical, creative, expressive and communicative aspects of the arts.
Students of the arts subjects have the opportunity to analyse artistic knowledge from various perspectives, and they acquire this knowledge through experiential means as well as more traditional academic methods. The nature of the arts is such that an exploration of the areas of knowledge in general, and knowledge of the different art forms specifically, can combine to help us understand ourselves, our patterns of behaviour and our relationship to each other and our wider environment.
The arts subjects complement the TOK ethos by revealing interdisciplinary connections and allowing students to explore the strengths and limitations of individual and cultural perspectives. Studying the arts requires students to reflect on and question their own bases of knowledge. In addition, by exploring other Diploma Programme subjects with an artistic bias, students can gain an understanding of the interdependent nature of knowledge through which they are encouraged to become, “active, compassionate and lifelong learners who understand that other people, with their differences, can also be right” (IB mission statement).
Questions related to TOK that a visual arts student might consider include the following.
- To what extent is artistic knowledge something which cannot be expressed in any other way?
- Are ways of knowing employed in radically different ways in the arts than in other areas of knowledge?
- To what extent does imagination play a special role in the visual arts?
- What moral responsibilities do artists have?
- How can the subjective viewpoint of an individual contribute to knowledge in the arts?
- What are the standards by which we judge artworks?
- Why might we be more concerned with process rather than product in the search for knowledge?
- Do the arts have a social function?
- To what extent is truth different in the arts, mathematics and ethics?
Visual arts and international-mindedness
International-mindedness represents an openness and curiosity about the world and its people. It begins with students understanding themselves in order to effectively connect with others. The arts provide a unique opportunity for students to recognize the dynamic cultural influences around them. The IB Diploma Programme visual arts course gives students the opportunity to study a wide variety of visual arts disciplines and forms. Students are expected to explore and engage with art from a variety of contexts. Through making, investigating and critically analysing and appreciating differing art forms, students deepen their
understanding of the visual arts, as well as their knowledge, understanding and experience of the visual arts within the global community. They become more informed and reflective, and develop their abilities to become enriched practitioners, communicators and visual thinkers. They learn to acknowledge the aspects that appear in all art forms and art cultures, and also to recognize the unique ways in which particular cultures express and represent their values and identity visually.
**Culture**
For the purposes of this visual arts guide, “culture” is defined as learned and shared beliefs, values, interests, attitudes, products and all patterns of behaviour created by society. This view of culture includes an organized system of symbols, ideas, explanations, beliefs and material production that humans create and manipulate in their daily lives. Culture is dynamic and organic, operating on many levels in the global context—international, national, regional and local, as well as among different social groups within a society. Culture is seen as fluid and subject to change.
Culture can be seen as providing the overall framework within which humans learn to organize their thoughts, emotions and behaviours in relation to their environment, and within this framework “cultural context”, which specifically appears in both the taught syllabus and assessment tasks of the visual arts course, refers to the conditions that influence and are influenced by culture. These include historical, geographical, political, social and technological factors.
**Engaging with sensitive topics**
Studying visual arts gives students the opportunity to engage with exciting, stimulating and personally relevant topics and issues. However, it should be noted that often such topics and issues can also be sensitive and personally challenging for some students. Teachers should be aware of this and provide guidance on how to approach and engage with such topics in a responsible manner. Consideration should also be given to the personal, political and spiritual values of others, particularly in relation to race, gender or religious beliefs.
As part of the collective consideration of the school, visual arts students must be supported in maintaining an ethical perspective during their course. Schools must be vigilant in ensuring that work undertaken by the student does not damage the environment, include excessive or gratuitous violence or reference to explicit sexual activity.
**Prior learning**
The visual arts course at both SL and HL requires no previous experience. The course is designed to enable students to experience visual arts on a personal level and achievement in this subject is reflected in how students demonstrate the knowledge they have gained as well as the skills and attitudes they have developed that are necessary for studying visual arts. Students’ individual abilities to be creative and imaginative and to communicate in artistic form will be developed and extended through the theoretical and practical content of the visual arts course.
The visual arts course provides a relevant learning opportunity for a diverse range of students as it lays an appropriate foundation for further study in visual arts, performing arts and other related subjects. In addition, by instilling discipline and refining creative communication and collaborative skills, it offers a valuable course of study for students who may wish to pursue a career or further education studies in areas unconnected to the arts.
Links to the Middle Years Programme
Although the visual arts course requires no formal prior learning, the IB Middle Years Programme (MYP) arts subject area provides a valuable grounding that students might find beneficial.
The MYP is designed for students aged 11 to 16. It provides a framework of learning that encourages students to become creative, critical and reflective thinkers. The MYP emphasizes intellectual challenge, encouraging students to make connections between their studies in traditional subjects and the real world. It fosters the development of skills for communication, intercultural understanding and global engagement—essential qualities for young people who are becoming global leaders.
The arts subject area in the MYP gives students the opportunity to develop as artists as well as learning about the arts through conceptual understandings essential to the discipline. Learning takes place within contexts relevant to the student, whether personal, local, national, international or globally significant. Throughout the MYP, arts students are required to use knowledge, develop skills, think creatively and respond to a variety of artworks. The MYP arts subject area, and specifically the MYP discipline of visual arts, provides a solid foundation for the Diploma Programme visual arts course.
In MYP arts, students are provided opportunities to prepare for the Diploma Programme visual arts course by:
- understanding the role of visual arts in context and using this understanding to inform their work and artistic decisions
- discovering the aesthetics of visual arts, and analysing and expressing this in various forms
- acquiring, developing and applying skills in the process of making and communicating visual arts
- being encouraged to think laterally, develop curiosity and purposefully explore and challenge boundaries
- responding to their world, to their own art and its audience, and to the visual arts of others.
In the MYP, students not only learn about the arts, they are provided with opportunities to develop themselves as artists. The MYP Arts guide fosters autonomous experimentation and understanding which is valued and developed further in the Diploma Programme. In thinking creatively the students become successful learners of visual arts through inquiry and problem-solving. Emphasis is placed on the artistic process allowing the students to plan, create, present, reflect and evaluate on the process of communicating visual arts. Students further develop their repertoire to engage and convey feelings, experiences and ideas and build on the skills developed in the PYP.
Visual arts and academic honesty
**Academic honesty**
Key opportunities for guiding students on academic honesty issues are highlighted in each of the assessment tasks later in this guide.
Assessment components across the arts vary considerably, from oral presentations to formal written work, from the presentation of finished works to the collection of ideas and stimuli that inspire the creative process. Although guidelines for maintaining academic honesty are consistent for all subjects and components
across the Diploma Programme, the variety and richness of tasks in the arts means that each component raises its own challenges for maintaining academic honesty. For more information please see IB publications relating to academic honesty.
**Referencing sources**
If a candidate uses content from any source, including the internet, these sources must be acknowledged consistently in accordance with the school’s academic honesty policy. These should be recorded in a style that clearly identifies exactly what in the student’s work has been taken from another source and its origin. When a student is aware that another person’s work, ideas or images have influenced their own but it has not been referred to directly in their work, the source must be cited at point of use in the student’s work and then included as a list of sources. This is particularly relevant to the arts where the creative process will be the result of a contrasting range of stimuli, influences and sources of inspiration.
**Meeting formal requirements**
Most of the assessment tasks in the arts are completed as coursework, and as such have strict conditions under which student work must be completed, presented and, in the case of internally assessed work, assessed. There are formal requirements that must be followed to ensure that the work received by examiners and moderators is consistent and can be assessed against the marking criteria. Since these conditions and formal requirements are designed to ensure that each candidate is given an equal opportunity to demonstrate achievement, failure to follow them is a form of academic misconduct as it can lead to candidates having an unfair advantage.
**Submitting exhibition works**
Please note that any work selected for final assessment in the visual arts course must have been made or constructed by the student. For example, a piece of clothing designed as part of a student’s study of fashion or a piece of jewelry cannot be presented for assessment in realized form if the student did not create it themselves. Where a student has taken found objects and created a new artwork with those found objects, the resulting artwork would be considered as a piece constructed by the student. The same principle must be applied to the use of additional elements used to create an atmosphere or a specific experience for an audience (even though any audio component will not be assessed in this visual course). If the student uses music or sound effects, for instance, they must be copyright free with appropriate citations provided or have been created by the student.
When submitting artworks for assessment, students are required to include exhibition text for each selected piece. The exhibition text outlines the title, medium, size and provides an outline of intentions and/or references to sources of inspiration for each piece. Students should identify if objects are self-made, found or purchased under the “medium” section when compiling exhibition text.
**Authenticity**
Most of the assessment tasks in the arts are completed as coursework, and so have strict conditions under which student work must be completed, presented and—in the case of internally assessed work—assessed. There are also formal requirements that must be followed to ensure that the work received by examiners and moderators is consistent and can be assessed against marking criteria. Since these conditions and formal requirements are designed to provide each student with equal opportunity to demonstrate achievement, failure to follow them is a form of academic misconduct as it can lead to students being unfairly advantaged.
Coursework authentication form (6/VACAF)
During the creation of assessment work in visual arts, teachers are required to meet with students at various intervals in order to discuss the progress being made by each student and to verify the origin and credibility of the coursework being created. These one-to-one interactions, which might be formal meetings and/or informal discussions in the classroom, provide the teacher with the necessary evidence to authenticate each student’s work.
For some of the assessment tasks for the DP visual arts course, teachers must provide a written summary of the authentication conversations using the DP visual arts Coursework authentication form (6/VACAF), which is submitted to the IB as part of the upload of external assessment material. Further details regarding the authentication requirements for each assessment task are identified later in this guide.
By the very practical nature of arts subjects, the creation and progress of student work for some of the assessment tasks is continually witnessed by teachers. Therefore, not all components will require written teacher comments on the 6/VACAF. However, it is expected that the teacher will continue to scrutinize the ongoing work of each candidate and seek assurance that every element of the work is authentic.
Aims
The arts aims
The aims of the arts subjects are to enable students to:
1. enjoy lifelong engagement with the arts
2. become informed, reflective and critical practitioners in the arts
3. understand the dynamic and changing nature of the arts
4. explore and value the diversity of the arts across time, place and cultures
5. express ideas with confidence and competence
6. develop perceptual and analytical skills.
Visual arts aims
In addition, the aims of the visual arts course at SL and HL are to enable students to:
7. make artwork that is influenced by personal and cultural contexts
8. become informed and critical observers and makers of visual culture and media
9. develop skills, techniques and processes in order to communicate concepts and ideas.
Assessment objectives
Having followed the visual arts course at SL or HL, students will be expected to:
**Assessment objective 1: demonstrate knowledge and understanding of specified content**
a. Identify various contexts in which the visual arts can be created and presented
b. Describe artwork from differing contexts, and identify the ideas, conventions and techniques employed by the art-makers
c. Recognize the skills, techniques, media, forms and processes associated with the visual arts
d. Present work, using appropriate visual arts language, as appropriate to intentions
**Assessment objective 2: demonstrate application and analysis of knowledge and understanding**
a. Express concepts, ideas and meaning through visual communication
b. Analyse artworks from a variety of different contexts
c. Apply knowledge and understanding of skills, techniques, media, forms and processes related to art-making
**Assessment objective 3: demonstrate synthesis and evaluation**
a. Critically analyse and discuss artworks created by themselves and others and articulate an informed personal response
b. Formulate personal intentions for the planning, development and making of artworks that consider how meaning can be conveyed to an audience
c. Demonstrate the use of critical reflection to highlight success and failure in order to progress work
d. Evaluate how and why art-making evolves and justify the choices made in their own visual practice
**Assessment objective 4: select, use and apply a variety of appropriate skills and techniques**
a. Experiment with different media, materials and techniques in art-making
b. Make appropriate choices in the selection of images, media, materials and techniques in art-making
c. Demonstrate technical proficiency in the use and application of skills, techniques, media, images, forms and processes
d. Produce a body of resolved and unresolved artworks as appropriate to intentions
This table illustrates where assessment objectives are directly addressed within the visual arts taught syllabus and assessment tasks.
| Assessment tasks | Core syllabus |
|------------------|---------------|
| | AO1 | AO2 | AO3 | AO4 |
| | a | b | c | d | a | b | c | d | a | b | c | d |
| Visual arts in context | • | | | | • | | | | • | | | |
| Visual arts methods | | • | | | | • | | | | • | | |
| Communicating visual arts | • | | | | • | | | | • | | | |
| Part 1 (SL and HL) | • | | | | • | | | | • | | | |
| Part 2 (SL and HL) | • | | | | • | | | | • | | | |
| Part 3 (SL and HL) | • | | | | • | | | | • | | | |
Approaches to teaching and learning in visual arts
Approaches to the teaching of visual arts
The Diploma Programme visual arts course has been designed to reflect the dynamic nature of visual arts. When designing and delivering their own visual arts curriculum, it is important to note that teachers have a free choice in the selection of artists and art media, forms and studies through which to meet the requirements of the guide and from within the art-making forms table (see section “Art-making forms”).
Although the core syllabus is identified in this guide through subdivided segments, teachers are encouraged to approach the teaching of the visual arts course in a holistic way. Suggestions for taught activities are included in this guide with the intention of stimulating a broad range of exciting and engaging approaches. These approaches are not intended to be prescriptive nor restrictive activities, but are included to illustrate some of the many possible pathways that can fully prepare students for the demands of the assessment tasks. Teachers are encouraged to interpret this holistic syllabus creatively according to their local circumstances and the context of the individual school. This is an international visual arts course and how teachers choose to explore art and artists from various cultural contexts is left to their own discretion. Teachers should not only teach practices with which they themselves are familiar and about which they are knowledgeable, but should also be risk-takers and expose their students to unfamiliar traditions from around the world.
Visual arts teachers are not expected to be sources of all knowledge, deliverers of information or experts. Their role should be to actively and carefully organize learning experiences for the students, directing their study to enable them to reach their potential and satisfy the demands of the course. Students should be empowered to become autonomous, informed and skilled visual artists. No time allocation is given for any individual area of the syllabus because art-making activities will invariably cover various parts of the course. Careful planning of class activities and, where feasible, visits to exhibitions and workshops with practitioners, however, are needed to make the best use of the time and resources available.
Although the course is designed to stand on its own, some schools may wish to arrange extra-curricular activities for visitors to teach skills in some media, or for activities that may be better undertaken over a longer period of time, such as observational drawing, perhaps from life.
Teacher support material
Key resources to underpin the delivery of this course can be found in the Visual arts teacher support material.
Approaches to learning in visual arts
The visual arts course is student-centred and places student exploration at the heart of a holistic learning experience. Students have a free choice to identify, select and explore artists, artworks, cultural contexts, and media and forms for study which interest and excite them. They also have freedom to present their studies in a variety of creative ways, including presentations, demonstrations and exhibitions.
Learning about visual arts relies on action and the course must be experienced practically. Communication is essential to the visual arts and students should experience and reflect on the processes of communicating their work, and the benefits and challenges of doing so. Organization, self-management and independent study skills are important, as well as higher-order thinking skills, such as analysis and synthesis. Students should also learn to make decisions about what is relevant and useful for their own investigations and how to put their knowledge and understanding into practice, transforming ideas into action.
Through this course students should learn not only about visual arts from a variety of cultural contexts, but also about the importance of making their own practical work with integrity, informed by theory and research, with an awareness of the impact their work and ideas may have on the world.
The visual arts course encourages students to research using not only traditional academic methods but also by experimenting and coming to understandings through their own embodied experiences. The visual arts embody many of the approaches to teaching and learning (ATL) skills (social, research, thinking, communication and self-management) that empower teachers and students to facilitate meaningful learning experiences. For example, the visual arts journal, a central element of the visual arts course, brings together a number of ATL skills through the process of reflection, which features as a taught activity throughout the course.
Syllabus outline
Core areas
The visual arts core syllabus at SL and HL consists of three equal interrelated areas as shown in figure 2.
These core areas, which have been designed to fully interlink with the assessment tasks, must be central to the planning of the taught course that is designed and delivered by the teacher. Students are required to understand the relationship between these areas and how each area informs and impacts their work in visual arts.
Visual arts in context
The visual arts in context part of the syllabus provides a lens through which students are encouraged to explore perspectives, theories and cultures that inform and influence visual arts practice. Students should be able to research, understand and appreciate a variety of contexts and traditions and be able to identify links between them.
Through the visual arts in context area, students will:
- be informed about the wider world of visual arts and they will begin to understand and appreciate the cultural contexts within which they produce their own works
- observe the conventions and techniques of the artworks they investigate, thinking critically and experimenting with techniques, and identifying possible uses within their own art-making practice
- investigate work from a variety of cultural contexts and develop increasingly sophisticated, informed responses to work they have seen and experienced.
Visual arts methods
The visual arts methods part of the syllabus addresses ways of making artwork through the exploration and acquisition of skills, techniques and processes, and through engagement with a variety of media and methods.
Through the visual arts methods area, students will:
- understand and appreciate that a diverse range of media, processes, techniques and skills are required in the making of visual arts, and how and why these have evolved
• engage with the work of others in order to understand the complexities associated with different art-making methods and use this inquiry to inspire their own experimentation and art-making practice
• understand how a body of work can communicate meaning and purpose for different audiences.
**Communicating visual arts**
The communicating visual arts part of the syllabus involves students investigating, understanding and applying the processes involved in selecting work for exhibition and public display. It engages students in making decisions about the selection of their own work.
Through the communicating visual arts area, students will:
• understand the many ways in which visual arts can communicate and appreciate that presentation constructs meaning and may influence the way in which individual works are valued and understood
• produce a body of artwork through a process of reflection and evaluation and select artworks for exhibition, articulating the reasoning behind their choices and identifying the ways in which selected works are connected
• explore the role of the curator; acknowledging that the concept of an exhibition is wide ranging and encompasses many variables, but most importantly, the potential impact on audiences and viewers.
**Mapping the course**
Students are required to investigate the core syllabus areas through exploration of the following practices:
• theoretical practice
• art-making practice
• curatorial practice.
The table below shows how these activities link with the core syllabus areas at both SL and HL.
| Visual arts in context | Visual arts methods | Communicating visual arts |
|-----------------------|---------------------|--------------------------|
| **Theoretical practice** | Students examine and compare the work of artists from different cultural contexts. Students consider the contexts influencing their own work and the work of others. | Students look at different techniques for making art. Students investigate and compare how and why different techniques have evolved and the processes involved. | Students explore ways of communicating through visual and written means. Students make artistic choices about how to most effectively communicate knowledge and understanding. |
| **Art-making practice** | Students make art through a process of investigation, thinking critically and experimenting with techniques. Students apply identified techniques to their own developing work. | Students experiment with diverse media and explore techniques for making art. Students develop concepts through processes that are informed by skills, techniques and media. | Students produce a body of artwork through a process of reflection and evaluation, showing a synthesis of skill, media and concept. |
To fully prepare students for the demands of the assessment tasks teachers should ensure that their planning addresses each of the syllabus activities outlined above, the content and focus of which is not prescribed. The connections between the syllabus areas and the assessment tasks can be seen in the table in the section “Linking the visual arts core syllabus areas to the assessment tasks”.
**The visual arts journal**
Throughout the course students at both SL and HL are required to maintain a visual arts journal. This is their own record of the two years of study and should be used to document:
- the development of art-making skills and techniques
- experiments with media and technologies
- the investigation of their own art development in the context of related art genres
- personal reflections
- their responses to first-hand observations
- creative ideas for exploration and development
- their evaluations of art practices and art-making experiences
- their responses to diverse stimuli and to artists and their works, especially in relation to their own art
- detailed evaluations and critical analysis
- records of valued feedback received
- challenges they have faced and their achievements.
Students should be encouraged to find the most appropriate ways of recording their development and have free choice in deciding what form the visual arts journal should take. The aim of the visual arts journal is to support and nurture the acquisition of skills and ideas, to record developments, and to critique challenges and successes. It is expected that much of the written work submitted for the assessment tasks at the end of the course will have evolved and been drawn from the contents of the visual arts journal.
Although sections of the journal will be selected, adapted and presented for assessment, the journal itself is not directly assessed or moderated. It is, however, regarded as a fundamental activity of the course.
**Using the visual arts journal in assessment tasks**
Key opportunities for using the visual arts journal within assessed elements of this course are highlighted in each of the assessment tasks later in this guide.
Art-making forms
Throughout the course students are expected to experience working with a variety of different art-making and conceptual forms. SL students should, as a minimum, experience working with at least two art-making forms, each selected from separate columns of the table below. HL students should, as a minimum, experience working with at least three art-making forms, selected from a minimum of two columns of the table below. The examples given are for guidance only and are not intended to represent a definitive list.
| Two-dimensional forms | Three-dimensional forms | Lens-based, electronic and screen-based forms |
|-----------------------|-------------------------|-----------------------------------------------|
| • **Drawing**: such as charcoal, pencil, ink, collage
• **Painting**: such as acrylic, oil, watercolour, murals
• **Printmaking**: such as relief, intaglio, planographic, chine collé
• **Graphics**: such as illustration and design, graphic novel, storyboard | • **Carved sculpture**: such as carved wood, stone, block
• **Modelled sculpture**: such as wax, polymer clays
• **Constructed sculpture**: such as assemblage, bricolage, wood, plastic, paper, glass
• **Cast sculpture**: such as plaster, wax, bronze, paper, plastic, glass
• **Ceramics**: such as hand-built forms, thrown vessels, mould-made objects
• **Designed objects**: such as models, interior design, jewellery
• **Site specific/ephemeral**: such as land art, installation, performance art
• **Textiles**: such as fibre, weaving, constructed textiles | • **Time-based and sequential art**: such as stop-motion, digital animation, video art
• **Lens media**: such as analogue (wet) photography, digital photography, montage
• **Lens-less media**: such as photogram/rayograph, scenography, pinhole photography, cyanotype, salted paper
• **Digital/screen based**: such as vector graphics, software developed painting, design and illustration |
Interaction and engagement with local artists or collections as well as visits to museums, galleries, exhibitions and other kinds of presentations provide valuable first-hand opportunities for investigation and should be used to inform student work wherever possible. Personal responses to these experiences should be documented in the visual arts journal.
Research
When carrying out research, students should be encouraged to consult a suitable range of primary and secondary sources. As well as the more obvious sources (books, websites, videos, DVDs, articles) research may also include art-making experiences and encounters such as workshops, lectures, correspondence with experts and visits to exhibitions. All sources consulted during the course must be cited following the protocol of the referencing style chosen by the school and be presented both at point of use and, when required, in a list of sources.
Syllabus content
The visual arts course provides a framework that allows teachers to choose content and activities appropriate to the school context with the precise taught activities and subject materials generated by the teacher and students. When constructing a holistic course of study, the teacher must understand and appreciate how the assessment tasks are drawn from the syllabus areas and design a curriculum which ensures that students are fully equipped and informed in accordance with the visual arts aims and assessment objectives. An integrated relationship between the core areas of visual arts in context, visual arts methods and communicating visual arts is essential throughout the course. The connections between the visual arts syllabus areas and the assessment tasks can be seen in the table “Linking the visual arts core syllabus areas to the assessment tasks”.
Cultural context
For this visual arts guide “cultural context” refers to the conditions that influence and are influenced by culture. These include historical, geographical, political, social and technological factors.
Visual arts in context
The visual arts in context area provides a framework for understanding the contexts of visual arts through theoretical practice, art-making practice and curatorial practice. Students are encouraged to consider works of artists from a variety of cultural contexts and consider how these contexts have influenced their creation and informed how meaning and significance is transferred to an audience. Students investigate and identify the techniques and conventions used by artists when making art and consider how the range of forms, media, processes and techniques are used to realize artistic intentions. Students are required to view artworks and respond to them in exhibition and other settings, considering how curatorial interventions can also contribute to the ways works are perceived. Students are required to explore this area through a variety of art-making forms.
The visual arts in context area should provide a range of opportunities for students to explore theoretical practice, art-making practice and curatorial practice.
Theoretical practice
Teachers must ensure that students at SL and HL have experience of examining and comparing the work of artists from different times, places and cultures, using a range of critical methodologies, considering the cultural contexts influencing their own work and the work of others.
Students should develop the ability to research and analyse art-making practices from a variety of cultural contexts and to make informed comparisons between them. Students should be guided through the process of critical analysis, identifying and critiquing the formal qualities of a range of artworks, objects and artifacts from a range of origins. They should interpret the function and purpose of works, evaluate their significance within the cultural contexts in which they were created, and compare and contrast different pieces, demonstrating that they are able to articulate their understanding in both visual and written forms. Within the “cultural context”, students should be encouraged to consider the historical, political, social, aesthetic and intellectual contexts from which art can evolve and to which it can contribute.
Taught activities for this area might include:
- an introduction to the use of the visual arts journal as a record of individual inquiry and investigation, with particular emphasis on how to appropriately cite sources
- demonstrations, discussions, oral and written presentations about how to begin critiquing artworks, with reference to various cultural contexts, differing art forms and artists
- lessons in art history—these might include an overview of developments and movements from earliest times to the present day, the provision of timelines for reference, with accompanying contextual background (such as historical and sociopolitical influences, cultural and technological achievements and events)
- identifying and engaging with available secondary sources (such as books and audio-visual materials) through the use of the art department library, school resource centre or appropriate art-specific internet sites
- identifying and discussing the formal qualities of particular works as a whole class
- providing an introduction to a range of models for analysing, critiquing, interpreting and deconstructing artworks, offering opportunities for students to engage with these and become familiar with them
- identifying and engaging with primary and secondary sources such as galleries, libraries and working artists
- learning models for engaging in arts based research
- learning how to engage in art criticism or responding to art
- learning specialist art vocabulary and terms through the use of a glossary.
**Art-making practice**
Teachers must ensure that students at SL and HL have experience of making art through a process of investigation, thinking critically and experimenting with techniques, applying identified techniques to their own developing work.
Students should be given the opportunity to experiment with art-making practices they have identified in their research and their analysis of art-making practices from a variety of cultural contexts. They should engage with artists and artworks that particularly inspire them and experiment with the skills, media, materials, techniques and processes involved. These can take the form of simple transcriptions, through which the students seek to find out how particular elements of artworks have been created or how specific effects have been achieved, or more in-depth studies through which students follow a process through to creating a larger body of work inspired by the artist, artwork or artifact. To enable students to develop proficiency in their own preferred areas of expertise as they progress through the course it is expected that they will have been exposed to a breadth of contrasting skills, techniques, media, production processes, materials and practices and incorporate these into their own repertoire of art-making strategies.
Taught activities for this area might include:
- technical instruction and demonstrations in the use of particular media (such as oil painting, ink drawing, clay modeling, digital techniques and so on) with reference to particular artists
- investigating the historical and technological changes and developments of particular media and techniques
- hands-on, guided workshop sessions for students in the use of media and techniques, supported by visiting specialists where appropriate
• guided projects influenced by particular artists, with particular reference to the media and techniques used and the methods involved
• associated relevant class theory lessons (such as colour theory, history of pigments and so on).
**Curatorial practice**
Teachers must ensure that students at SL and HL have experience of developing an informed response to work, with students beginning to formulate personal intentions for creating and displaying their own artworks.
Students must be encouraged to develop their own informed individual responses to work and exhibitions they have seen and experienced. They should begin to formulate their own intentions for making original artworks and identify inspirations from a variety of different sources. Students should be capable of clearly expressing their own unique voice through their art-making.
Taught activities for this area might include:
• guided visits to local galleries and community arts initiatives, with particular attention to the curatorial aspects and to identifying individual artists’ purposes, influences and inspirations through their artist statements
• sharing feedback after such visits in a variety of forms (teacher-led, pair and group discussions and presentations, written reflections in the visual arts journal and occasionally more formal assignments)
• consideration of how students’ own work will be affected by that of other artists. Discussions might include the use of transcription as a valid learning tool and the role of appropriation in visual arts work
• creating Mind Maps® of individual ideas for artwork as inspired by work seen elsewhere.
**Visual arts methods**
The visual arts methods area of the course allows students to explore the different processes involved in art-making. It should provide students with the opportunity to develop the necessary skills and techniques required to make art as well as to observe and reflect upon their own developing art practice. Students should be encouraged to identify their preferred modes of working, their preferred use of media, techniques and processes and begin to realize their strengths and intentions. Students are required to explore this area through a variety of different art-making forms.
The visual arts methods area should provide a range of opportunities for students to explore theoretical practice, art-making practice and curatorial practice.
**Theoretical practice**
Teachers must ensure that students at SL and HL have experience of looking at different techniques for making art, investigating and comparing how and why different techniques have evolved and the processes involved.
Students should look at different practices for making art from a variety of cultural contexts. They should investigate how different techniques and practices have evolved and through this be able to articulate an understanding of the range of possible approaches to creating original artwork.
Taught activities for this area might include:
• investigating how processes in art have changed and how media or techniques have developed or technologically evolved over time
• familiarization with various art genres, styles, regional schools and associations
• presentation of the range of media, techniques and equipment available to students within the art department and elsewhere within the school
• identification of expertise available to students, within the school and locally (such as local practising artists, the areas of special interest of art department staff and other relevant staff expertise in ICT, design technology and so on)
• demonstrations of available practices and techniques as used by a range of artists and provision of practical guides (such as books, audio-visual material and so on) which deal with specific techniques.
**Art-making practices**
Teachers must ensure that students at SL and HL have experience of experimenting with diverse media, exploring techniques for making art and developing concepts through processes that are informed by skills, techniques and media.
Students should experiment with a variety of different media, techniques and processes that are appropriate to their own contexts, conceptual development and intentions.
Taught activities for this area might include:
• group or whole-class workshops and demonstrations as well as individual studio practice to facilitate individual experiences in media and techniques (including two-dimensional forms, three-dimensional forms and lens-based, electronic and screen-based forms) with particular reference to the historical development of processes and techniques and different cultural and traditional uses of these
• guiding students to consider and record the potential of these experiences in the visual arts journal, reflecting on students’ individual intentions and ideas
• visual recordings of individual student practical processes
• exploring digital means of capturing art-making practice as it occurs and creating a record of experimentation and exploration with acquired skills.
**Curatorial practice**
Teachers must ensure that students at SL and HL have experience of evaluating how their ongoing work communicates meaning and purpose, considering the nature of “exhibition” and thinking about the process of selection and the potential impact of their work on different audiences.
Students should be encouraged to reflect upon their developing work with particular focus on how the intended meaning and purpose are communicated. Students need to identify opportunities for further development in the work being undertaken. Students should be encouraged to consider the nature of “exhibition” and consider the role and functions of galleries and museums. They should critique their successes and failures in relation to their intentions and consider how their developing work might impact on an audience if presented for public display.
Taught activities for this area might include:
• talks given by visiting artists about how they put together exhibitions of their own work, with particular emphasis on deciding what to include, what to leave out and why
• looking at and critiquing exhibition reviews in journals
• TOK-linked discussions about the ethics of museums and curatorial artifacts
• exemplar sessions led by the teacher or visiting artist which detail art projects from inquiry and ideas, action and development, application of techniques to concepts, through to evaluation and reflection upon work in progress and/or final product—students are taught to critique in terms of meaning, purpose and success in communication of the idea(s) and development of technique
• student presentations in the same vein, with group discussions and feedback
• renewed approaches and application to individual studio work following these review sessions
• use of the visual arts journal to identify not only successes, but also reflecting on “finest failures” within the art-making process and considering how these might drive further experimentation and inquiry.
Communicating visual arts
The communicating visual arts area of the course leads on from, and is informed by, the visual arts in context and visual arts methods core syllabus areas. As students begin to resolve a range of developing pieces of art, it encourages them to engage with the breadth of curatorial strategies that underpin exhibitions and the presentation of work for an audience. It involves them thinking about the process of selecting and rejecting works for exhibition, and considering how they can best be displayed. Students can consider chronological or thematic methods of display, making technical or conceptual connections between works and considering how this may influence the way the audience perceive the works of art. They will demonstrate understanding of how form, media and composition affect meaning.
The communicating visual arts area should provide a range of opportunities for students to explore theoretical practice, art-making practice and curatorial practice.
Theoretical practice
Teachers must ensure that students at SL and HL have experience of exploring ways of communicating through visual and written means, making artistic choices about how to most effectively communicate knowledge and understanding.
Students are encouraged to identify how their own work or that of others fulfills stated intentions and what meanings are communicated and how. They will understand that the concept of an exhibition is broad and encompasses many variables. They will investigate where and why finished pieces are selected for public display, explore the role of the curator and curatorial practices, and begin to understand and appreciate the decision-making process involved in communicating with audiences and presenting work. This syllabus area also examines the impact that diverse modes of presentation can have on an audience or viewers.
Taught activities for this area might include:
• guided investigations into the role of the curator and curatorial practices through visits to galleries and artists’ studios, reviewing catalogues for local exhibitions, presentations by visiting artists and exploration of alternative display spaces—this is supported by individual research with entries in the visual arts journal and shared oral feedback
• the study of artist statements and accepted conventions for titling and annotating exhibited works
• practice in applying the knowledge gained to their own work and that of others through the creation of mini-exhibitions of students’ own work supported by appropriate artist statements, with attention to display and labeling
• curating an imaginary exhibition, identifying an appropriate exhibition context, selecting a particular artist’s work or using artwork from a selected movement, culture or tradition and producing appropriate accompanying documentation.
Art-making practice
Teachers must ensure that students at SL and HL have experience of producing a body of artwork through a process of reflection and evaluation, showing a synthesis of skill, media and concept.
Students will develop their own work for presentation, consider what messages they want to communicate about it to an audience and begin selecting a sample for exhibition. Students will produce a body of their own resolved and unresolved artworks that demonstrate both technical proficiency and conceptual strengths.
Taught activities for this area might include:
- reviewing resolved and unresolved works, individual reflection and guided decision-making
- regular individual drafting and redrafting of artist statements of intention
- ongoing individual guided studio work, in the light of student’s own developing artist statements
- workshops in presentation techniques which include refining personal statements, matting, mounts, layout and producing exhibition text.
**Curatorial practice**
Teachers must ensure that students at SL and HL have experience of selecting and presenting resolved works for exhibition, explaining the ways in which the works are connected and discussing how artistic judgments impact the overall presentation.
Students will select a sample of resolved work and reflect on what makes these effective pieces for exhibition, particularly in response to their own clearly stated intentions and the messages they wanted to communicate about their artwork. The taught syllabus should be flexible enough to ensure that students can create and display a range of artworks. An integral part of this experience is the process of self-reflection and an awareness of how viewers can engage with artwork in different kinds of exhibition contexts and venues.
Taught activities for this area might include:
- learning how to engage in art criticism or responding to art via various models
- practice in compiling reflective commentaries on individual artworks
- individual presentations supported by group and class discussions which consider work for exhibition—this process involves identifying projects and pieces which communicate and interest the viewer as well as critiquing work from a technical point of view; discussions focus on improving and developing work in progress
- modeling and monitoring student compilation of exhibition text and other accompanying written material; students identify, contextualize and justify their selections for exhibition.
**Teacher support material**
The suggestions for taught activities outlined above are intended to stimulate a broad range of exciting and engaging approaches to fulfilling the requirements of the course. These are not intended to be prescriptive nor restrictive activities, but to illustrate some of the many possible pathways to fully preparing students for the demands of the assessment tasks. Further resources to underpin the planning and delivery of this course can be found in the *Visual arts teacher support material*.
## Linking the visual arts core syllabus areas to the assessment tasks
As part of the core syllabus students will be expected to:
(in a variety of media selected from the art-making forms table)
| Visual arts in context | Visual arts methods | Communicating visual arts |
|------------------------|---------------------|--------------------------|
| **Artists and why they make art** | **Ways of making artwork** | **Ways of presenting art** |
| Examine and compare the work of artists from different times, places and cultures, using a range of critical methodologies. Consider the cultural contexts (historical, geographical, political, social and technological factors) influencing their own work and the work of others. | Look at different techniques for making art. Investigate and compare how and why different techniques have evolved and the processes involved. | Explore ways of communicating through visual and written means. Make artistic choices about how to most effectively communicate knowledge and understanding. |
### Theoretical practice
PART 1
At SL: Compare at least 3 different artworks by at least 2 different artists, with commentary over 10–15 screens.
At HL: As SL plus a reflection on the extent to which their work and practices have been influenced by any of the art/artist examined (3–5 additional screens).
### Art-making practice
PART 2
Make art through a process of investigation, thinking critically and experimenting with techniques. Apply identified techniques to their own developing work.
Experiment with diverse media and explore techniques for making art. Develop concepts through processes that are informed by skills, techniques and media.
Produce a body of artwork through a process of reflection and evaluation, showing a synthesis of skill, media and concept.
At HL: 13–25 screens. The submitted work should be in at least two different art-making forms.
At SL: 9–18 screens. The submitted work should be in at least three different art-making forms.
---
For assessment students will be expected to:
(Combining all they have learned from visual arts in context, visual arts methods and communicating visual arts core syllabus areas):
| | Ext/Int | SL | HL |
|---|---------|----|----|
| **Comparative study** Students analyse and compare different artworks by different artists. This independent critical and contextual investigation explores artworks, objects and artifacts from differing cultural contexts. | | | |
| **Process portfolio** Students submit carefully selected materials which evidence their experimentation, exploration, manipulation and refinement of a variety of visual arts activities during the two-year course. | | | |
| | | | |
| Visual arts in context | Visual arts methods (Ways of making artwork) | Communicating visual arts (Ways of presenting art) |
|------------------------|---------------------------------------------|--------------------------------------------------|
| **Practices** | | |
| Curatorial practice | Develop an informed response to work and exhibitions they have seen and experienced. Begin to formulate personal intentions for creating and displaying their own artworks. | Evaluate how their ongoing work communicates meaning and purpose. Consider the nature of ‘exhibition’ and think about the process of selection and the potential impact of their work on different audiences. |
| | | Select and present resolved works for exhibition. Explain the ways in which the works are connected. Discuss how artistic judgments impact the overall presentation. |
| | | At SL: 4–7 art pieces with exhibition text for each, two exhibition photographs. A curatorial rationale (400 words maximum). |
| | | At HL 8–11 art pieces with exhibition text for each. Two exhibition photographs. A curatorial rationale (700 words maximum). |
The visual arts journal underpins every aspect of the course. Students will use the journal which can take many forms, to record all aspects of their art-making journey, including experiments with media, research, reflections, observations and personal responses. Although not directly assessed, elements of this journal will contribute directly to the work submitted for assessment.
This table illustrates a snapshot of the visual arts course at a glance. The assessment tasks (on the right) are drawn horizontally from across the three core curriculum areas (on the left). Please refer to the relevant core syllabus or assessment task sections of this guide for the full requirements of each area or task.
Students must follow the principles of academic honesty in all their work in this visual arts course; they must ensure they always acknowledge sources as well as the work, words and ideas of others in line with the consistent referencing style adopted by their school.
For assessment students will be expected to:
(in a variety of media selected from the art-making forms table)
Combining all they have learned from visual arts in context, visual arts methods and communicating visual arts core syllabus areas:
Exhibition: Students submit for assessment a selection of resolved artworks from their exhibition. The selected pieces should show evidence of their technical accomplishment during the visual arts course and an understanding of the use of materials, ideas and practices appropriate to visual communication.
Int 40% 40%
Linking the visual arts core syllabus areas to the assessment tasks
Assessment in the Diploma Programme
General
Assessment is an integral part of teaching and learning. The most important aims of assessment in the Diploma Programme are that it should support curricular goals and encourage appropriate student learning. Both external and internal assessments are used in the Diploma Programme. IB examiners mark work produced for external assessment, while work produced for internal assessment is marked by teachers and externally moderated by the IB.
There are two types of assessment identified by the IB.
- Formative assessment informs both teaching and learning. It is concerned with providing accurate and helpful feedback to students and teachers on the kind of learning taking place and the nature of students’ strengths and weaknesses in order to help develop students’ understanding and capabilities. Formative assessment can also help to improve teaching quality, as it can provide information to monitor progress towards meeting the course aims and objectives.
- Summative assessment gives an overview of previous learning and is concerned with measuring student achievement.
The Diploma Programme primarily focuses on summative assessment designed to record student achievement at, or towards the end of, the course of study. However, many of the assessment instruments can also be used formatively during the course of teaching and learning, and teachers are encouraged to do this. A comprehensive assessment plan is viewed as being integral with teaching, learning and course organization. For further information, see the IB *Programme standards and practices* document.
The approach to assessment used by the IB is criterion-related, not norm-referenced. This approach to assessment judges students’ work by their performance in relation to identified levels of attainment, and not in relation to the work of other students. For further information on assessment within the Diploma Programme please refer to the publication *Diploma Programme assessment: principles and practice*.
To support teachers in the planning, delivery and assessment of the Diploma Programme courses, a variety of resources can be found on the OCC or purchased from the IB store (http://store.ibo.org). Additional publications such as specimen papers and markschemes, teacher support materials, subject reports and grade descriptors can also be found on the OCC. Past examination papers as well as markschemes can be purchased from the IB store.
Methods of assessment
The IB uses several methods to assess work produced by students.
Assessment criteria
Assessment criteria are used when the assessment task is open-ended. Each criterion concentrates on a particular aspect of knowledge, understanding or skill that students are expected to demonstrate. An assessment objective describes what students should be able to do, and assessment criteria describe how well they should be able to do it. Using assessment criteria allows discrimination between different
answers and encourages a variety of responses. Each criterion comprises a set of hierarchically ordered level descriptors. Each level descriptor is worth one or more marks. Each criterion is applied independently using a best-fit model. The maximum marks for each criterion may differ according to the criterion’s importance. The marks awarded for each criterion are added together to give the total mark for the piece of work.
**Markbands**
Markbands are a comprehensive statement of expected performance against which responses are judged. They represent a single holistic criterion divided into level descriptors. Each level descriptor corresponds to a range of marks to differentiate student performance. A best-fit approach is used to ascertain which particular mark to use from the possible range for each level descriptor.
**Analytic markschemes**
Analytic markschemes are prepared for those examination questions that expect a particular kind of response and/or a given final answer from students. They give detailed instructions to examiners on how to break down the total mark for each question for different parts of the response.
**Marking notes**
For some assessment components marked using assessment criteria, marking notes are provided. Marking notes give guidance on how to apply assessment criteria to the particular requirements of a question.
**Inclusive assessment arrangements**
Inclusive assessment arrangements are available for candidates with assessment access requirements. These arrangements enable candidates with diverse needs to access the examinations and demonstrate their knowledge and understanding of the constructs being assessed.
The IB document *Candidates with assessment access requirements* provides details on all the inclusive assessment arrangements available to candidates with learning support requirements. The IB document *Learning diversity and inclusion in IB programmes* outlines the position of the IB with regard to candidates with diverse learning needs in the IB programmes. For candidates affected by adverse circumstances, the IB documents *General regulations: Diploma Programme* and the *Handbook of procedures for the Diploma Programme* provide details on access consideration.
**Responsibilities of the school**
The school is required to ensure that equal access arrangements and reasonable adjustments are provided to candidates with learning support requirements that are in line with the IB documents *Candidates with assessment access requirements* and *Learning diversity and inclusion in IB programmes*.
**Teacher support material**
Please note that the advice for structuring assessment materials contained within each of the assessment tasks is for guidance only and is not intended to be prescriptive nor restrictive. Further examples of how to structure assessment work can be found in the *Visual arts teacher support material*.
## Assessment outline—SL
### External assessment
**Part 1: Comparative study**
Students at SL analyse and compare different artworks by different artists. This independent critical and contextual investigation explores artworks, objects and artifacts from differing cultural contexts.
- SL students submit 10–15 screens which examine and compare at least three artworks, at least two of which should be by different artists. The work selected for comparison and analysis should come from contrasting contexts (local, national, international and/or intercultural).
- SL students submit a list of sources used.
**Weighting**: 20%
**Part 2: Process portfolio**
Students at SL submit carefully selected materials which evidence their experimentation, exploration, manipulation and refinement of a variety of visual arts activities during the two-year course.
- SL students submit 9–18 screens which evidence their sustained experimentation, exploration, manipulation and refinement of a variety of art-making activities. For SL students the submitted work must be in at least **two** art-making forms, each from separate columns of the art-making forms table.
**Weighting**: 40%
## Internal assessment
This task is internally assessed by the teacher and externally moderated by the IB at the end of the course.
### Part 3: Exhibition
Students at SL submit for assessment a selection of resolved artworks from their exhibition. The selected pieces should show evidence of their technical accomplishment during the visual arts course and an understanding of the use of materials, ideas and practices appropriate to visual communication.
- SL students submit a curatorial rationale that does not exceed 400 words.
- SL students submit 4–7 artworks.
- SL students submit exhibition text (stating the title, medium, size and intention) for each selected artwork.
SL students must submit two photographs of their overall exhibition. These exhibition photographs provide an understanding of the context of the exhibition and the size and scope of the works. While the photographs will not be used to assess individual artworks, they also give the moderator insight into how a candidate has considered the overall experience of the viewer in their exhibition.
## Assessment outline—HL
### External assessment
**Part 1: Comparative study**
Students at HL analyse and compare different artworks by different artists. This independent critical and contextual investigation explores artworks, objects and artefacts from differing cultural contexts.
- HL students submit 10–15 screens which examine and compare at least three artworks, at least two of which need to be by different artists. The works selected for comparison and analysis should come from contrasting contexts (local, national, international and/or intercultural).
- HL students submit 3–5 additional screens which analyse the extent to which their work and practices have been influenced by the art and artists examined.
- HL students submit a list of sources used.
**Weighting:** 20%
**Part 2: Process portfolio**
Students at HL submit carefully selected materials which evidence their experimentation, exploration, manipulation and refinement of a variety of visual arts activities during the two-year course.
- HL students submit 13–25 screens which evidence their sustained experimentation, exploration, manipulation and refinement of a variety of art-making activities. For HL students the submitted work must have been created in at least **three** art-making forms, selected from a minimum of two columns of the art-making forms table.
**Weighting:** 40%
Internal assessment
This task is internally assessed by the teacher and externally moderated by the IB at the end of the course.
Part 3: Exhibition
Students at HL submit for assessment a selection of resolved artworks from their exhibition. The selected pieces should show evidence of their technical accomplishment during the visual arts course and an understanding of the use of materials, ideas and practices appropriate to visual communication.
- HL students submit a curatorial rationale that does not exceed 700 words.
- HL students submit 8–11 artworks.
- HL students submit exhibition text (stating the title, medium, size and intention) for each selected artwork.
HL students must submit two photographs of their overall exhibition. These exhibition photographs provide an understanding of the context of the exhibition and the size and scope of the works. While the photographs will not be used to assess individual artworks, they also give the moderator insight into how a candidate has considered the overall experience of the viewer in their exhibition.
The method used to assess students in visual arts is detailed assessment criteria specific to each assessment task. The assessment criteria are published in this guide and are related to the assessment objectives established for the visual arts course and the arts grade descriptors.
**External assessment tasks—SL and HL**
**Part 1: Comparative study**
*Weighting: 20%*
Students are required to analyse and compare artworks, objects or artifacts by different artists. This independent critical and contextual investigation should explore artworks, objects and artifacts from differing cultural contexts.
Throughout the course, students will have investigated a range of artists, styles, images and objects from a range of cultural contexts, through an integrated approach to exploring the three syllabus areas: visual arts in context, visual arts methods and communicating visual arts. Students select artworks, objects and artifacts for comparison from differing cultural contexts that may have been produced across any of the art-making forms, and that hold individual resonance for the student and have relevance to their own art-making practice. This is of particular importance to HL students.
Students at both SL and HL must examine and compare at least three pieces, at least two of which should be by different artists. It is valuable for students to have experienced at least one of the works in real time and space, such as a painting at a gallery, a sculpture in a park or an artifact from the local community that is brought into the school, although this is not essential. Good quality reproductions can be referred to when a student’s location limits their access to such works first hand. The works selected for comparison and analysis should come from contrasting cultural contexts.
Students use research and inquiry skills to investigate and interpret the selected pieces, applying aspects of critical theory and methodologies to the works examined and presenting their findings as a personal and critically reflective analysis, using both visual and written forms of notation. Students must support their interpretation with references to sound and reliable sources. Candidates are required to submit the list of sources used and in-text referencing is required throughout the comparative study. A recognized system of academic referencing must be used in line with the school’s academic honesty policy. A candidate’s failure to acknowledge a source will be investigated by the IB as a potential breach of regulations that may result in a penalty imposed by the IB final award committee.
Preparation process
In preparation for this task, within the core syllabus students at SL and HL must have had experience of the following.
| Theoretical practice | Visual arts in context | Visual arts methods | Communicating visual arts |
|----------------------|----------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------|------------------------------------------------------------------------------------------|
| | Examining and comparing the work of artists from different cultural contexts using a range of critical methodologies. | Looking at different techniques for making art. Investigating and comparing how and why different techniques have evolved and the processes involved. | Exploring ways of communicating through visual and written means. Making artistic choices about how to most effectively communicate knowledge and understanding. |
| | Considering the contexts influencing their own work and the work of others. | | |
| Visual arts journal | Recording their experiences and learning, together with impressions, reflections and any relevant research that they need to be able to reference, in the visual arts journal. | | |
Students then undertake the process outlined below for assessment.
Task details
Students at both SL and HL must select at least three artworks, objects or artifacts, at least two of which should be by different artists. For each of the selected pieces, students should:
- carry out research from a range of different sources (that they must be able to reference)
- analyse the cultural contexts in which the selected pieces were created
- identify the formal qualities of the selected pieces
- interpret the function and purpose of the selected pieces
- evaluate the material, conceptual and cultural significance of the selected pieces to the cultural contexts within which they were created.
Students at both SL and HL should then:
- compare the selected pieces, identifying links in cultural context, formal qualities, function, purpose, material, conceptual and cultural significance
- present a list of sources used during the study.
Students at HL should also reflect on the investigation outcomes and the extent to which their own art-making practices and pieces have subsequently been influenced by artworks, objects or artifacts examined in the comparative study.
Using the visual arts journal in this task
Students should use their visual arts journal to specifically document their investigation and responses to the selected pieces. This includes their detailed interpretations, evaluations and comparisons. Students will select, adapt and present what they have recorded in their journal as the basis for the comparative study task.
The role of the teacher
Teachers must ensure that their students are appropriately prepared for the demands of this task through the careful planning and delivery of the core syllabus activities outlined above. This assessment task must not be teacher led and students must be made fully aware of the assessment criteria against which their work will be judged.
Teachers are required to meet with students at each stage of inquiry, action and reflection to discuss the progress made to date, and to verify the authenticity of the coursework being created by each student. The key outcomes of these one-to-one interactions, which might be formal meetings and/or informal discussions in the classroom, must be summarized by the teacher on the DP visual arts Coursework authentication form (6/VACAF), which is submitted to the IB as part of the upload of external assessment material. This form can be found on the visual arts page of the OCC.
The teacher should discuss the choice of selected artworks, objects and artifacts with each student. It is important that the selected pieces are the student’s own choice. Teachers should also ensure that the students are acknowledging all sources used and referencing them appropriately.
Teachers should read and give advice to students on one draft of the comparative study. The teacher should provide oral or written advice on how the comparative study could be improved, but should not edit the draft. The next version handed to the teacher must be the final version for submission.
Structuring the comparative study
Students should articulate their understanding through both visual and written forms, depending on the most appropriate means of presenting and communicating their findings. While the comparative study may include text-based analysis, it may also include diagrammatic and graphic elements such as annotated sketches and diagrams, annotations on copies of artworks as well as other visual organizing techniques (such as flowcharts, relative importance graphs, concept webs and Mind Maps®). An introduction to the study should summarize the scope of the investigation from which the focus artworks, objects and artifacts have been selected. Students should aim for a balance of visual and written content, and use an appropriate means of acknowledging sources. Students must ensure that their work makes effective use of subject-specific language where appropriate.
For each of the selected artworks, objects or artifacts, students at both SL and HL are encouraged to focus their analysis and interpretation of works through consideration of the role of the artist, the artwork, the audience and the cultural context. The scope and scale of the comparative study task will depend largely on the materials selected for investigation. Students may wish, however, to adapt the following structure to suit their needs. This structure is for guidance only and is neither prescriptive nor restrictive.
Introduction
Students summarize the scope of the investigation from which the focus artworks, objects and artifacts have been selected, and any thematic or conceptual framework used to draw the investigation together.
The artworks, objects or artifacts and their contexts
Students summarize their research from a range of different sources and present their inquiry into the identification and interpretation of selected artworks, objects and artifacts. They also explain how they have applied a range and combination of critical theories and methodologies to the works. Areas of investigation might include:
- identification of the cultural contexts of the selected pieces
- identification and analysis of the formal qualities of the selected pieces (elements such as shape/form, space, tone, colour, line, texture and principles such as balance, rhythm, proportion, emphasis, pattern, variety)
- analysis and understanding of the function and purpose of the selected pieces (such as the meanings of motifs, signs and symbols used in the work)
- analysis and evaluation of the material, conceptual and cultural significance of the pieces and the cultural contexts in which they were created.
Making connections
Students present their comparisons of the different pieces, clearly identifying links between them. These comparisons might include:
- comparing and contrasting the cultural contexts of the selected pieces
- comparing and contrasting the formal qualities of the selected pieces
- comparing and contrasting the function and purpose of the selected pieces
- comparing and contrasting the material, conceptual and cultural significance of the pieces.
Connecting to own art-making practice (HL only)
Students analyse and evaluate their research outcomes and the extent to which their own art-making practices and pieces have subsequently been influenced by artworks, objects, artifacts and their creators examined in the comparative study. These influences and personal connections, which should be evidenced in both visual and written forms, might include:
- cultural context
- formal qualities
- function and purpose
- materials, conceptual and cultural significance.
When referring to their own artwork and practices, HL students must be sure to identify and acknowledge their own artworks with the same rigorous attention to detail as with images from other sources.
Sources
Students must cite any source at point of use and include a list of sources used during the study.
Academic honesty
Every image used within the comparative study must be appropriately referenced to acknowledge the title, artist, medium and date (where this information is known) and the source, following the protocol of the referencing style chosen by the school. When HL students include any images of their own original work, these must also be identified and acknowledged in the same way. Candidates are required to submit the list of sources that they used and in-text referencing is required throughout the comparative study.
Formal requirements of the task—SL
- SL students submit 10–15 screens which examine and compare at least three artworks, objects or artifacts, at least two of which need to be by different artists. The works selected for comparison and analysis should come from differing cultural contexts.
- SL students submit a list of sources used.
Formal requirements of the task—HL
- HL students submit 10–15 screens which examine and compare at least three artworks, objects or artifacts, at least two of which need to be by different artists. The works selected for comparison and analysis should come from differing cultural contexts.
- HL students submit 3–5 additional screens which analyse the extent to which their work and practices have been influenced by the art and artists examined.
- HL students submit a list of sources used.
Submitting assessment work
The size and format of screens submitted for assessment is not prescribed. Submitted materials are assessed on screen and students must ensure that their work is clear and legible when presented in a digital, on-screen format. Students should not scan multiple pages of work from their journals and submit them as a single screen, for example, as overcrowded or illegible materials may result in examiners being unable to interpret and understand the intentions of the work.
The procedure for submitting work for assessment can be found in the *Handbook of procedures for the Diploma Programme*. Where submitted materials exceed the prescribed screen limits examiners are instructed to base their assessment solely on the materials that appear within the limits.
External assessment criteria—SL and HL
Part 1: Comparative study
Summary
| Part 1: Comparative study | Marks | Total |
|---------------------------|-------|-------|
| A Identification and analysis of formal qualities | 6 | |
| B Analysis and understanding of function and purpose | 6 | |
| C Analysis and evaluation of cultural significance | 6 | |
| D Making comparisons and connections | 6 | |
| E Presentation and subject-specific language | 6 | |
| F (HL only) Making connections to own art-making practice | 12 | 42 |
Total: 30
Criteria
A. Identification and analysis of formal qualities
To what extent does the work demonstrate:
• informed identification and analysis of the formal qualities of the selected artworks, objects and artifacts?
| Mark | Descriptor |
|------|---------------------------------------------------------------------------|
| 0 | The work does not reach a standard identified by the descriptors below |
| 1–2 | The work provides an outline of the formal qualities of the selected pieces but this is limited, superficial or relies heavily on personal opinion. |
| 3–4 | The work provides a largely descriptive account of the identified formal qualities of the selected pieces. There is some evidence of informed analysis, but this is underdeveloped. |
| 5–6 | The work provides a consistent, insightful and informed identification and analysis of the formal qualities of the selected pieces. |
B. Analysis and understanding of function and purpose
To what extent does the work demonstrate:
• informed analysis and understanding of the function and purpose of the selected artworks, objects and artifacts within the cultural context in which they were created?
Candidates who do not examine and compare at least three artworks by at least two different artists from at least two contrasting cultural contexts will not be awarded a mark higher than 2 in this criterion.
| Mark | Descriptor |
|------|---------------------------------------------------------------------------|
| 0 | The work does not reach a standard identified by the descriptors below |
| 1–2 | The work provides an outline of the function and purpose of the selected pieces, but this is limited, superficial or relies heavily on personal opinion. |
| 3–4 | The work provides a largely descriptive account of the function and purpose of the selected pieces from at least two contrasting cultural contexts. There is some evidence of informed analysis and understanding, but these are not fully developed. |
| 5–6 | The work provides a consistent, insightful and informed analysis and demonstrates thorough understanding of the function and purpose of the selected pieces from at least two contrasting cultural contexts. |
C. Analysis and evaluation of cultural significance
To what extent does the work demonstrate:
• informed analysis and evaluation of the cultural significance of the selected artworks, objects and artifacts within the specific context in which they were created (such as the cultural, sociopolitical and historical significance of the works, with respect to the original audience and purpose, as well as to a contemporary audience)?
Candidates who do not examine and compare at least three artworks by at least two different artists from at least two contrasting cultural contexts will not be awarded a mark higher than 2 in this criterion.
| Mark | Descriptor |
|------|------------------------------------------------------------------------------------------------------------------------------------------|
| 0 | The work does not reach a standard identified by the descriptors below |
| 1–2 | The work provides an outline of the material, conceptual and cultural significance of the selected pieces, but this is limited, superficial or relies heavily on personal opinion. |
| 3–4 | The work provides a largely descriptive account of the material, conceptual and cultural significance of the selected pieces from at least two contrasting cultural contexts. There is some evidence of informed analysis and evaluation, but these are not fully developed. |
| 5–6 | The work provides a consistently insightful and informed analysis and thorough evaluation of the material, conceptual and cultural significance of the selected pieces from at least two contrasting cultural contexts. |
**D. Making comparisons and connections**
To what extent does the work demonstrate:
- effective critical analysis and discussion of the connections, similarities and differences between the selected artworks, objects and artifacts?
Candidates who do not examine and compare at least three artworks by at least two different artists will not be awarded a mark higher than 3 in this criterion.
| Mark | Descriptor |
|------|------------------------------------------------------------------------------------------------------------------------------------------|
| 0 | The work does not reach a standard identified by the descriptors below |
| 1–2 | The work outlines connections, similarities and differences between the selected pieces, with little analysis. These connections are largely superficial or inappropriate and demonstrate a basic understanding of how the pieces compare and contrast. |
| 3–4 | The work analyses and describes the connections, similarities and differences between the selected pieces, with some critical analysis. The connections are logical and coherent and demonstrate an adequate understanding of how the pieces compare and contrast. |
| 5–6 | The work critically analyses and discusses the connections, similarities and differences between the selected pieces. These connections are logical and coherent, showing a thorough understanding of how the pieces compare and contrast. |
**E. Presentation and subject-specific language**
To what extent does the work:
- ensure that information is conveyed clearly and coherently in a visually appropriate and legible manner, supported by the consistent use of appropriate subject-specific language?
| Mark | Descriptor |
|------|------------------------------------------------------------------------------------------------------------------------------------------|
| 0 | The work does not reach a standard identified by the descriptors below |
| 1–2 | The work is limited or inconsistent in conveying information clearly or in a visually appropriate manner. The work contains some appropriate subject-specific language, but this is limited. |
| Mark | Descriptor |
|------|------------------------------------------------------------------------------------------------------------------------------------------|
| 3–4 | The work clearly and coherently conveys information, in a visually appropriate and legible manner, with some consistent use of appropriate subject-specific language. |
| 5–6 | The work clearly and coherently conveys information which results in a visually creative and legible study that enhances the impact of the work and the reader’s understanding. Subject-specific language is used accurately and appropriately throughout. |
**At HL only**
**F. Making connections to own art-making practice**
To what extent does the work:
- analyse and evaluate the outcomes of the comparative study investigation and on how this has influenced the student’s own development as an artist, identifying connections between one or more of the selected works and the student’s own art-making processes and practices?
| Mark | Descriptor |
|------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| 0 | The work does not reach a standard identified by the descriptors below |
| 1–3 | The work outlines the outcomes of the investigation in a limited way. There are few or only superficial connections to their own art-making practice. |
| 4–6 | The work provides some analysis of the outcomes of the investigation. The student describes the extent to which their own art-making and pieces have been influenced by artworks, objects and artifacts examined in the comparative study, making inconsistent or incomplete connections. |
| 7–9 | The work provides an analysis of the outcomes of the investigation. The student explains the extent to which their own art-making and pieces have been influenced by artworks, objects and artifacts examined in the comparative study, making adequate connections. |
| 10–12| The work provides a consistent and insightful evaluation on the outcomes of the investigation. The student effectively analyses and evaluates the extent to which their own art-making and pieces have been influenced by artworks, objects and artifacts examined in the comparative study, making informed and meaningful connections throughout. |
External assessment tasks—SL and HL
Part 2: Process portfolio
Weighting: 40%
Students at SL and HL submit carefully selected materials which demonstrate their experimentation, exploration, manipulation and refinement of a variety of visual arts activities during the two-year course. The work, which may be extracted from their visual arts journal and other sketch books, notebooks, folios and so on, should have led to the creation of both resolved and unresolved works. The selected process portfolio work should show evidence of their technical accomplishment during the visual arts course and an understanding of the use of materials, ideas and practices appropriate to visual communication. They should be carefully selected to match the requirements of the assessment criteria at the highest possible level.
The work selected for submission should show how students have explored and worked with a variety of techniques, effects and processes in order to extend their art-making skills base. This will include focused, experimental, developmental, observational, skill-based, reflective, imaginative and creative experiments which may have led to refined outcomes.
Preparation process
In preparation for this task, within the core syllabus students at SL and HL must have had experience of the following.
| Art-making practice | Visual arts in context | Visual arts methods | Communicating visual arts |
|---------------------|---------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------|------------------------------------------------------------------------------------------|
| | Making art through a process of investigation, thinking critically and experimenting with techniques. Applying identified techniques to their own developing work. | Experimenting with diverse media and explore techniques for making art. Developing concepts through processes that are informed by skills, techniques and media. | Producing a body of artwork through a process of reflection and evaluation, showing a synthesis of skill, media and concept. |
| Visual arts journal | Recording their experiences and learning, together with impressions, reflections and any relevant research that they need to be able to reference, in the visual arts journal. |
Students then undertake the process outlined below for assessment.
Task details
Students at SL and HL should:
- explore and work with a variety of techniques, technologies, effects and processes in order to extend their skills base, making independent decisions about the choices of media, form and purpose that are appropriate to their intentions
- reflect on their own processes as well as learning about the processes of experimenting, exploring, manipulating and refining the use of media in a variety of ways
- develop a body of work that evidences investigation, development of ideas and artworks and demonstrates a synthesis of ideas and media.
Using the visual arts journal in this task
All students should use their visual arts journal to carry out their explorations with techniques, technologies, effects and processes and to record their discoveries. They should chart and reflect on their experiments with media, their decision-making and formation of artistic intentions. Students will select, adapt and present what they have recorded in their journal as the basis for material submitted for the process portfolio task.
The role of the teacher
Teachers must ensure that their students are appropriately prepared for the demands of this task through the careful planning and delivery of the core syllabus activities outlined above. This assessment task must not be teacher led and students must be made fully aware of the assessment criteria against which their work will be judged.
Teachers are required to meet with students at each stage of inquiry, action and reflection to discuss the progress made to date, and to verify the authenticity of the coursework being created by each student.
While the student is working on the process portfolio task the teacher should discuss with each student their experimentation with techniques, effects and processes. It is important that the submitted screens of the process portfolio are the student’s own choice. Teachers must ensure that students are acknowledging all sources used and referencing them appropriately. Teachers should also ensure that students have worked in the correct number of art-making forms, as outlined in the art-making forms table.
Structuring the process portfolio
Students will have pursued their own interests, ideas and strengths, and their submitted work should highlight the key milestones in this journey. The submission may come from scanned pages, photographs or digital files. The process portfolio screens may take a variety of forms, such as sketches, images, digital drawings, photographs or text. While there is no limit to the number of items students may wish to include on each screen, students should be reminded that overcrowded or illegible materials may result in examiners being unable to interpret and understand their intentions.
The selected screens should evidence a sustained inquiry into the techniques the student has used for making art, the way in which they have experimented, explored, manipulated and refined materials, technologies and techniques and how these have been applied to developing work. Students should show where they have made independent decisions about the choices of media, form and purpose that are appropriate to their intentions. The portfolio should communicate their investigation, development of ideas and artworks and evidence a synthesis of ideas and media. This process will have inevitably resulted in both resolved and unresolved artworks and candidates should consider their successes and failures as equally valuable learning experiences.
Examiners are looking to reward evidence of the following:
- sustained experimentation and manipulation of a variety of media and techniques and an ability to select art-making materials and media appropriate to stated intentions
- sustained working that has been informed by critical investigation of artists, artworks and artistic genres and evidence of how these have influenced and impacted own practice
- how initial ideas and intentions have been formed and how connections have been made between skills, chosen media and ideas
- how ideas, skills, processes and techniques are reviewed and refined along with reflection on the acquisition of skills and analysis of development as a visual artist
- how the submitted screens are clearly and coherently presented with competent and consistent use of appropriate subject-specific language.
Students must ensure that their work makes effective use of appropriate subject-specific language.
**Academic honesty**
Every image used within the process portfolio must be appropriately referenced to acknowledge the title, artist, medium and date (where this information is known) and the source, following the protocol of the referencing style chosen by the school. Students must ensure their own original work is identified and acknowledged in the same way to ensure examiners are clear about the origins of the materials. When the student is aware that another person’s work, ideas or images have influenced their conceptual or developmental work, the source must be cited at point of use and must also be included in a list of sources. Students should declare when an image in the final version of the work is also used in part 3: exhibition assessment task.
**Art-making forms**
For SL students the submitted work must be in at least **two** art-making forms, each from separate columns of the table below. For HL students the submitted work must have been created in at least **three** art-making forms, selected from a minimum of two columns of the art-making forms table below. The examples given are for guidance only and are not intended to represent a definitive list.
| Two-dimensional forms | Three-dimensional forms | Lens-based, electronic and screen-based forms |
|-----------------------|-------------------------|-----------------------------------------------|
| • **Drawing**: such as charcoal, pencil, ink, collage
• **Painting**: such as acrylic, oil, watercolour, murals
• **Printmaking**: such as relief, intaglio, planographic, chine collé
• **Graphics**: such as illustration and design, graphic novel, storyboard | • **Carved sculpture**: such as carved wood, stone, block
• **Modelled sculpture**: such as wax, polymer clays
• **Constructed sculpture**: such as assemblage, bricolage, wood, plastic, paper, glass
• **Cast sculpture**: such as plaster, wax, bronze, paper, plastic, glass
• **Ceramics**: such as hand-built forms, thrown vessels, mould-made objects
• **Designed objects**: such as fashion, architectural models, interior design, jewelry
• **Site specific/ephemeral**: such as land art, installation, performance art
• **Textiles**: such as fibre, weaving, constructed textiles | • **Time-based and sequential art**: such as stop-motion, digital animation, video art
• **Lens media**: such as analogue (wet) photography, digital photography, montage
• **Lens-less media**: such as photogram/rayograph, scenography, pinhole photography, cyanotype, salted paper
• **Digital/screen based**: such as vector graphics, software developed painting, design and illustration |
Submitted work might well include experiments undertaken during (and reflections upon) taster sessions in particular media, demonstrations of techniques, workshops, master classes, guided experimentation and studio practice experienced as part of the core syllabus activities outlined above.
Formal requirements of the task—SL
- SL students submit 9–18 screens which evidence their sustained experimentation, exploration, manipulation and refinement of a variety of art-making activities. For SL students the submitted work must be in at least two art-making forms, each from separate columns of the art-making forms table.
Formal requirements of the task—HL
- HL students submit 13–25 screens which evidence their sustained experimentation, exploration, manipulation and refinement of a variety of art-making activities. For HL students the submitted work must have been created in at least three art-making forms, selected from a minimum of two columns of the art-making forms table.
Submitting assessment work
The submitted screens may include resolved works that are also submitted for part 3: exhibition assessment task, but these must be clearly labelled to identify them as such.
The size and format of screens submitted for assessment is not prescribed. Submitted materials are assessed on screen and students must ensure that their work is clear and legible when presented in a digital, on-screen format. Students should not scan multiple pages of work from their journals and submit them as a single screen, for example, as overcrowded or illegible materials may result in examiners being unable to interpret and understand the intentions of the work.
The procedure for submitting work for assessment can be found in the *Handbook of procedures for the Diploma Programme*. Where submitted materials exceed the prescribed screen limits examiners are instructed to base their assessment solely on the materials that appear within the limits.
External assessment criteria—SL and HL
Part 2: Process portfolio
Summary
| Part 2: Process portfolio | SL marks | SL total | HL marks | HL total |
|---------------------------|----------|----------|----------|----------|
| A Skills, techniques and processes | 12 | 34 | 12 | 34 |
| B Critical investigation | 6 | 6 | 6 | 6 |
| C Communication of ideas and intentions | 6 | 6 | 6 | 6 |
| D Reviewing, refining and reflecting | 6 | 6 | 6 | 6 |
| E Presentation and subject-specific language | 4 | 4 | 4 | 4 |
Criteria
A. Skills, techniques and processes
Using the required number of art-making forms from the art-making forms table, to what extent does the portfolio demonstrate:
- the student’s sustained experimentation and manipulation of a range of skills, techniques and processes, showing the ability to select and use materials appropriate to their intentions?
Candidates who do not submit portfolios reflecting the minimum required number of media and forms will not be awarded a mark higher than 3 in this criterion.
| Mark | Descriptor |
|------|------------|
| 0 | The portfolio does not reach a standard identified by the descriptors below |
| 1–3 | The portfolio demonstrates some experimentation and manipulation of skills, techniques, processes and selection of materials, which may not be appropriate or related to intentions. |
| 4–6 | Working across at least the minimum required number of media and forms, the portfolio demonstrates experimentation and manipulation of some skills, techniques, processes and the appropriate selection of materials, which are largely consistent with intentions. |
| 7–9 | Working across at least the minimum required number of media and forms, the portfolio demonstrates purposeful experimentation and manipulation of a range of skills, techniques and processes. The selection of materials is largely consistent with intentions. |
| 10–12 | Working across at least the required minimum number of media and forms, the portfolio demonstrates assured and sustained experimentation and manipulation of a range of skills, techniques and processes, and a highly appropriate selection of materials, consistent with intentions. |
B. Critical investigation
To what extent does the portfolio demonstrate:
- the student’s critical investigation of artists, artworks and artistic genres, communicating a growing awareness of how this investigation influences and impacts upon their own developing art-making practices and intentions?
| Mark | Descriptor |
|------|------------|
| 0 | The portfolio does not reach a standard identified by the descriptors below |
| 1–2 | The portfolio shows superficial critical investigation into other artist’s art-making practices with little or limited awareness of the impact on the student’s own developing art practices or intentions. |
| 3–4 | The portfolio shows adequate critical investigation into other artist’s art-making practices which displays an awareness of the impact on the student’s own developing art practices and/or intentions. |
| 5–6 | The portfolio shows in-depth critical investigation into other artist’s art-making practices, clearly communicating a secure and insightful awareness of how this investigation has impacted upon the student’s own developing practices and intentions. |
C. Communication of ideas and intentions (in both visual and written forms)
Using the required number of art-making forms from the art-making forms table, to what extent does the portfolio demonstrate:
- the student’s ability to clearly articulate how their initial ideas and intentions have been formed and developed and how they have assimilated technical skills, chosen media and ideas to develop their work further?
| Mark | Descriptor |
|------|------------|
| 0 | The portfolio does not reach a standard identified by the descriptors below. |
| 1–2 | The portfolio presents limited evidence of how initial ideas or intentions have been formed or developed. The portfolio rarely communicates how technical skills, media and/or ideas have contributed to the processes in their art-making. |
| 3–4 | The portfolio adequately identifies how initial ideas and intentions have been formed and developed. The portfolio adequately communicates how technical skills, media and ideas have been assimilated. |
| 5–6 | The portfolio clearly articulates how initial ideas and intentions have been formed and developed. The portfolio effectively communicates how technical skills, media and ideas have been assimilated to develop the portfolio further. |
D. Reviewing, refining and reflecting (in both visual and written forms)
To what extent does the portfolio demonstrate:
- the student’s ability to review and refine selected ideas, skills, processes and techniques, and to reflect on the acquisition of skills and their development as a visual artist?
| Mark | Descriptor |
|------|------------|
| 0 | The portfolio does not reach a standard identified by the descriptors below. |
| 1–2 | The portfolio demonstrates limited evidence of the process of reviewing or refining ideas, skills, processes or techniques. Reflection is mostly descriptive or superficial. |
| 3–4 | The portfolio demonstrates a process of reviewing and refining ideas, skills, processes and techniques. The portfolio presents an adequate reflection upon the student’s acquisition of skills as an artist. |
| 5–6 | The portfolio demonstrates an effective and consistent process of reviewing and refining ideas, skills, processes and techniques. The portfolio presents a meaningful and assured reflection upon the acquisition of skills and analysis of the student’s development as an artist. |
E. Presentation and subject-specific language
To what extent does the portfolio:
- ensure that information is conveyed clearly and coherently in a visually appropriate and legible manner, supported by the consistent use of appropriate subject-specific language?
| Mark | Descriptor |
|------|-------------------------------------------------------------------------------------------------------------------------------------------|
| 0 | The portfolio does not reach a standard identified by the descriptors below. |
| 1 | The portfolio conveys evidence with limited clarity or coherence. There is limited visual evidence and the portfolio contains little or no subject-specific language used to document the art-making process. |
| 2 | The portfolio conveys some evidence clearly and/or coherently, however this is inconsistent. |
| | There is some range of visual evidence and some inconsistent or elementary use of subject-specific language used to document the art-making process. |
| 3 | The portfolio conveys evidence clearly, coherently and appropriately. |
| | There is a good range of visual evidence and adequate use of appropriate subject-specific language used to document the art-making process. |
| 4 | The portfolio conveys evidence clearly, coherently and in an engaging manner. There is an excellent range of visual evidence and consistent use of appropriate subject-specific language used to document the art-making process. |
Internal assessment
Purpose of internal assessment
Internal assessment is an integral part of the visual arts course and is compulsory for both SL and HL students.
Guidance and authenticity
The SL and HL tasks submitted for internal assessment must be the student’s own work. However, it is not the intention that students should decide upon a title or topic and be left to work on the internal assessment task without any further support from the teacher. The teacher should play an important role during both the planning stage and the period when the student is working on the internally assessed work. It is the responsibility of the teacher to ensure that students are familiar with:
- the requirements of the type of work to be internally assessed
- the assessment criteria; students must understand that the work submitted for assessment must address these criteria effectively.
Teachers and students must discuss the internally assessed work. Students should be encouraged to initiate discussions with the teacher to obtain advice and information, and students must not be penalized for seeking guidance. As part of the learning process, teachers should read and give advice to students on one draft of the work. The teacher should provide oral or written advice on how the work could be improved, but must not edit the draft. The next version handed to the teacher must be the final version for submission.
It is the responsibility of teachers to ensure that all students understand the basic meaning and significance of concepts that relate to academic honesty, especially authenticity and intellectual property. Teachers must ensure that all student work for assessment is prepared according to the requirements and must explain clearly to students that the internally assessed work must be entirely their own. Where collaboration between students is permitted, it must be clear to all students what the difference is between collaboration and collusion. Teachers should consider that while there is value in working on collaborative projects in the first year of the course, work submitted for assessment needs to demonstrate how well an individual student has achieved against the marking criteria and collaborative projects might risk to make this unclear.
All work submitted to the IB for moderation or assessment must be authenticated by a teacher, and must not include any known instances of suspected or confirmed academic misconduct. Each student must confirm that the work is his or her authentic work and constitutes the final version of that work. Once a student has officially submitted the final version of the work it cannot be retracted. The requirement to confirm the authenticity of work applies to the work of all students, not just the sample work that will be submitted to the IB for the purpose of moderation.
Authenticity may be checked by discussion with the student on the content of the work, and scrutiny of one or more of the following:
- the student’s initial proposal
- compare the style of the work with work known to be that of the student
- compare the final submission with the first draft of the work
• check the references cited by the student and the original sources
• interview the student in the presence of a third party
• analyse the work using a web-based plagiarism detection service such as www.turnitin.com.
It is the responsibility of supervisors to ensure that all candidates understand the basic meaning and significance of concepts that relate to academic honesty, especially authenticity and intellectual property. Supervisors must ensure that all student work for assessment is prepared according to the requirements and must explain clearly to candidates that any work submitted for assessment must be entirely their own work.
The same piece of work cannot be submitted to meet the requirements of an assessed component and the extended essay.
For further guidance on this issue and the procedures for confirming authenticity please refer to the IB publication *Academic honesty in the Diploma Programme* and the relevant articles in the *General regulations: Diploma Programme*, as well as the *Handbook of procedures for the Diploma Programme*.
**Time allocation**
Internal assessment is an integral part of the visual arts course, contributing 40% to the final assessment in the SL and the HL courses. This weighting should be reflected in the time that is allocated to teaching the knowledge, skills and understanding required to undertake the work, as well as the total time allocated to carry out the work. This should include:
• time for the teacher to explain to students the requirements of the internal assessment
• class time for students to work on the internal assessment component and ask questions
• time for consultation between the teacher and each student
• time to review and monitor progress, and to check authenticity.
**Requirements and recommendations**
It is important for the integrity of the moderation process that the internal assessment by the teacher considers and refers to the same evidence as that available to the moderator. Teachers should therefore always refer to the digital, on-screen version of the submitted work when marking the exhibition.
**Using assessment criteria for internal assessment**
For internal assessment, a number of assessment criteria have been identified. Each assessment criterion has level descriptors describing specific achievement levels, together with an appropriate range of marks. The level descriptors concentrate on positive achievement, although for the lower levels failure to achieve may be included in the description.
Teachers must judge the internally assessed work at SL and at HL against the criteria using the level descriptors.
• The same assessment criteria are provided for SL and HL students, with some additional criteria for HL only.
• The aim is to find, for each criterion, the descriptor that conveys most accurately the level attained by the student, using the best-fit model. A best-fit approach means that compensation should be made when a piece of work matches different aspects of a criterion at different levels. The mark awarded should be one that most fairly reflects the balance of achievement against the criterion. It is not necessary for every single aspect of a level descriptor to be met for that mark to be awarded.
• When assessing a student’s work, teachers should read the level descriptors for each criterion until they reach a descriptor that most appropriately describes the level of the work being assessed. If a piece of work seems to fall between two descriptors, both descriptors should be read again and the one that more appropriately describes the student’s work should be chosen.
• Where there are two or more marks available within a level, teachers should award the upper marks if the student’s work demonstrates the qualities described to a great extent; the work may be close to achieving marks in the level above. Teachers should award the lower marks if the student’s work demonstrates the qualities described to a lesser extent; the work may be close to achieving marks in the level below.
• Only whole numbers should be recorded; partial marks (fractions and decimals) are not acceptable.
• Teachers should not think in terms of a pass or fail boundary, but should concentrate on identifying the appropriate descriptor for each assessment criterion.
• The highest level descriptors do not imply faultless performance and should be achievable by a student. Teachers should not hesitate to use the extremes if they are appropriate descriptions of the work being assessed.
• A student who attains a high achievement level in relation to one criterion will not necessarily attain high achievement levels in relation to the other criteria. Similarly, a student who attains a low achievement level for one criterion will not necessarily attain low achievement levels for the other criteria. Teachers should not assume that the overall assessment of the students will produce any particular distribution of marks.
• It is strongly recommended that the assessment criteria be made available to students.
Internal assessment details—SL and HL
Part 3: Exhibition
Weighting: 40%
Students at SL and HL submit for assessment a selection of resolved artworks for their exhibition. The selected pieces should show evidence of their technical accomplishment during the visual arts course and an understanding of the use of materials, ideas and practices to realize their intentions. Students also evidence the decision-making process which underpins the selection of this connected and cohesive body of work for an audience in the form of a curatorial rationale.
During the course students will have learned the skills and techniques necessary to produce their own independent artwork in a variety of media. In order to prepare for assessment in this component, students will select the required number of pieces to best match the task requirements and demonstrate their highest achievement. Students at SL select 4–7 artworks for submission while students at HL select 8–11 artworks for submission.
The final presentation of the work is assessed in the context of the presentation as a whole (including the accompanying text) by the teacher against the task assessment criteria.
Preparation process
In preparation for this task within the core syllabus students at SL and HL must have had experience of the following.
| Curatorial practice | Visual arts in context | Visual arts methods | Communicating visual arts |
|---------------------|------------------------|---------------------|--------------------------|
| | Developing an informed response to work and exhibitions they have seen and experienced. | Evaluating how their ongoing work communicates meaning and purpose. | Selecting and presenting resolved works for exhibition. Explaining the ways in which the works are connected. |
| | Beginning to formulate personal intentions for creating and displaying their own artworks. | Considering the nature of “exhibition” and thinking about the process of selection and the potential impact of their work on different audiences. | Discussing how artistic judgments impact the overall presentation. |
| Visual arts journal | Recording their experiences and learning, together with impressions, reflections and any relevant research that they need to be able to reference, in the visual arts journal. |
Students then undertake the process outlined below for assessment.
Task details
For the exhibition task students at SL and HL should select and present their own original resolved artworks which best evidences:
- technical competence
- appropriate use of materials, techniques, processes
- resolution, communicating the stated intentions of the pieces
- cohesiveness
- breadth and depth
- consideration for the overall experience of the viewer (through exhibition, display or presentation).
Students will be assessed on their technical accomplishment, the conceptual strength of their work and the resolution of their stated intentions. To support their selected resolved artworks, students at SL and HL must also submit:
- exhibition text which states the title, medium, size and a brief outline of the original intentions of each selected artwork
- two photographs of their overall exhibition. While the photographs will not be used to assess individual artworks, they may give the moderator insight into how a student has considered the overall experience of the viewer in their exhibition. Only the selected artworks submitted for assessment should appear in the exhibition photographs.
Students at SL must also develop a curatorial rationale which accompanies their original artworks (400 words maximum). This rationale explains the intentions of the student and how they have considered the presentation of work using curatorial methodologies.
Students at HL must also develop a curatorial rationale which accompanies their original artworks (700 words maximum). This rationale explains the intentions of the student and how they have considered the presentation of work using curatorial methodologies, as well as considering the potential relationship between the artworks and the viewer.
**Using the visual arts journal in this task**
All students should use their visual arts journal to record their intentions for their original artworks and to reflect on the process of resolving them. Students will select, adapt and present what they have recorded in their journal as the basis for material submitted for the curatorial rationale. Students could also use their visual arts journal to plan their exhibitions, using floor plans of available spaces to decide which artworks they will display where. They might consider where the audience will enter from and how they might order the works. Students may wish to consider what relationships need to be established between works and their placement within the exhibition, along with consideration of the exhibition environment and factors which may affect the way in which their work is experienced.
**Structuring the exhibition**
It is expected that work developed for the exhibition will overlap or have grown from initial or in-depth investigations within part 1: comparative study and part 2: process portfolio.
Work developed for the exhibition will have been carefully supported and facilitated by both teacher-directed learning activities and independent studies by the student. In preparing for this task students will need to have engaged with a variety of skills, techniques and processes that will have enabled them to manipulate materials, media, techniques and processes in order to discover strengths and work towards technical excellence.
**Art-making forms**
Having worked within a range of art-making forms for part 2: process portfolio, students at both SL and HL may submit work created in any preferred art-making form for part 3: exhibition. The submitted pieces must be selected by the student from their total body of resolved works and should represent their most successful achievements against the assessment criteria. They should be presented in a manner suitable for an audience.
**Exhibition text (500 characters maximum per artwork)**
Each submitted artwork should be supported by exhibition text which outlines the title, medium and size of the artwork. The exhibition text should also include a brief outline of the original intentions of the work (500 characters maximum per artwork). The exhibition text must contain reference to any sources which have influenced the individual piece. Students should indicate if objects are self-made, found or purchased within the “medium” section of the exhibition text, where applicable. Where students are deliberately appropriating another artist’s image as a valid part of their art-making intentions, the exhibition text must acknowledge the source of the original image.
**Collective pieces**
Students are required to submit individual artworks for assessment. Where students wish to submit portions of work in the form of one collective piece (such as diptych, triptych, polyptych or series), this must be clearly stated as part of the title of the submitted piece in the exhibition text, presented in parentheses. For example: Title of the piece (diptych). The requirements for capturing and submitting collective pieces is the same as with other standard submissions, however students deciding to submit collective pieces need to be aware that there is a compromise in the size an image can be viewed when submitted as part of a collective piece which may prevent examiners from taking details that cannot be seen into account. Collective pieces
that are presented without the appropriate exhibition text will be considered as distinct artworks and could lead to a student exceeding the maximum number of pieces.
**Academic honesty**
Artworks presented for assessment will have been made or constructed by the student. For instance, a piece of fashion design cannot be presented for assessment in realized form if the student did not create it themselves. Where the student has not created the realized piece themselves, they would still be able to submit the design of the piece as an artwork for assessment in the exhibition, but the realized piece cannot be included. Where a student has taken found objects and created art with them this is considered as constructed by the student. Students should identify if objects are self-made, found or purchased under the “medium” section when compiling the exhibition text for each of their submitted pieces. When the student is aware that another person’s work, ideas or images have influenced their selected pieces for exhibition the source must be acknowledged within the exhibition text or in the curatorial rationale, following the protocol of the referencing style chosen by the school. In-text referencing is required for sources used to write the curatorial rationale.
**The role of the teacher**
Teachers must ensure that their students are appropriately prepared for the demands of this task through the careful planning and delivery of the core syllabus activities outlined above. This assessment task must not be teacher led and students must be made fully aware of the assessment criteria against which their work will be judged.
Teachers are required to meet with students at each stage of inquiry, action and reflection to discuss the progress made to date, and to verify the authenticity of the coursework being created by each student. The key outcomes of these one-to-one interactions, which might be formal meetings and/or informal discussions in the classroom, must be summarized by the teacher on the DP visual arts Coursework authentication form (6/VACAF), which is submitted to the IB as part of the upload of external assessment material. This form can be found on the visual arts page of the OCC.
While the student is working on the assessment task the teacher should discuss each student’s choice of selected artworks for submission. It is important that the selected pieces are the student’s own choice. The teacher should encourage the students to review the digital documentation of their artwork and advise them about the best ways to obtain an accurate and true representation of their work.
Teachers should read and give advice to students on one draft of the supporting documents. The teacher should provide oral or written advice on how the supporting documents could be improved, but should not edit them. The next version handed to the teacher must be the final version for submission. Teachers should also ensure that students accurately complete and submit the exhibition text for each of their submitted pieces.
**Structuring the curatorial rationale**
The curatorial rationale requires SL and HL students to explain why specific artworks have been chosen and presented in a particular format. It provides students with an opportunity to explain any challenges, triumphs, innovations or issues that have impacted upon the selection and presentation of the artworks. Students should use the curatorial rationale to explain the context in which particular artworks were made and presented in order to connect the work with the viewer. In addition to this, students at HL should also explain how the arrangement and presentation of artworks contributes to the audience’s ability to interpret and understand the intentions and meanings within the artworks exhibited.
SL students may find the following questions helpful when approaching this task. This structure is for guidance only and is neither prescriptive nor restrictive.
- What are you hoping to achieve by presenting this body of work? What impact will this body of work have on your audience? What are the concepts and understandings you initially intend to convey?
- How have particular issues, motifs or ideas been explored, or particular materials or techniques used?
- What themes can be identified in the work, or what experiences have influenced it?
- How does the way you have exhibited your artwork contribute to the meanings you are trying to convey to an audience?
HL students may find the following questions helpful when approaching this task. This structure is for guidance only and is neither prescriptive nor restrictive.
- What is the vision for presenting this body of work?
- How have particular issues, motifs or ideas been explored, or particular materials or techniques used?
- What themes can be identified in the work, or what experiences have influenced it?
- How does the way you have exhibited your artwork contribute to the meanings you are trying to convey to an audience?
- What strategies did you use to develop a relationship between the artwork and the viewer, for example, visual impact?
- How does the way you have arranged and presented your artworks support the relationship and connection between the artworks presented?
- What do you intend your audience to feel, think, experience, understand, see, learn, consider from the work you have selected for exhibition?
**Formal requirements of the task—SL**
- SL students submit a curatorial rationale that does not exceed 400 words.
- SL students submit 4–7 artworks.
- SL students submit exhibition text (stating the title, medium, and size of the artwork as well as an outline of intentions and/or reference to sources of inspiration) for each selected artwork.
- SL students submit two exhibition photographs: only the selected artworks submitted for assessment should appear in the exhibition photographs.
**Formal requirements of the task—HL**
- HL students submit a curatorial rationale that does not exceed 700 words.
- HL students submit 8–11 artworks.
- HL students submit exhibition text (stating the title, medium and size of the artwork as well as an outline of intentions and/or reference to sources of inspiration) for each selected artwork.
- HL students submit two exhibition photographs: only the selected artworks submitted for assessment should appear in the exhibition photographs.
The exhibition photographs provide an understanding of the context of the exhibition and the size and scope of the works. While the photographs will not be used to assess individual artworks, they may give the moderator insight into how a student has considered the overall experience of the viewer in their exhibition.
Submitting assessment work
Students may choose to capture and submit individual artworks for assessment in a variety of ways, depending on the nature of the artwork and the resources available. The work should ideally be captured in whatever electronic means is most appropriate for the selected art-making form. A two-dimensional artwork, for example, might be best captured through a still photograph, while a three-dimensional artwork might be best captured through a short video recording. Lens-based, electronic or screen-based artwork such as animation, however, might call for more unusual file types. Please note that time-based submissions such as these are limited to a maximum duration of five minutes. Clarification on the acceptable file types for capturing the assessment materials can be found in the *Handbook of procedures for the Diploma Programme*.
Additional supporting photographs
Whatever the chosen means of capturing each individual artwork, students are permitted to submit up to two additional photographs in support of each submitted artwork. These additional supporting photographs or screenshots are intended to enable students to provide an enhanced sense of scale or specific detail to the submitted artwork. These additional photographs are optional. This option should be used only when candidates find that one image is insufficient and more photographs are needed to document a single artwork. In the majority of cases this should not be necessary. Photographs of 2D objects should be taken prior to any mounting or framing. Clarification on how to submit the supporting photographs and the accepted file types can be found in the *Handbook of procedures for the Diploma Programme*.
The procedure for submitting work for assessment can be found in the *Handbook of procedures for the Diploma Programme*. Where submitted materials exceed the prescribed limits examiners are instructed to base their assessment solely on the materials that appear within the limits.
Internal assessment criteria—SL and HL
Part 3: Exhibition
Summary
| Part 3: Exhibition | SL marks | SL total | HL marks | HL total |
|--------------------|----------|----------|----------|----------|
| A | Coherent body of works | 9 | | 9 |
| B | Technical competence | 9 | | 9 |
| C | Conceptual qualities | 9 | | 9 |
| D | Curatorial practice | 3 | | 3 |
Criteria
A. **Coherent body of works**
Evidence: curatorial rationale, the submitted artworks, exhibition text and exhibition photographs
To what extent does the submitted work communicate:
- a coherent collection of works which fulfil stated artistic intentions and communicate clear thematic or stylistic relationships across individual pieces?
Candidates who fail to submit the minimum number of artworks cannot achieve a mark higher than 6.
| Mark | Descriptor |
|------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| 0 | The work does not reach a standard identified by the descriptors below. |
| 1–3 | The work shows little coherence through minimal communication of thematic or stylistic relationships across individual pieces. The selection and application of media, processes and techniques and the use of imagery show minimal consideration of intentions. |
| 4–6 | The work shows some coherence through adequate communication of thematic or stylistic relationships across individual pieces. Stated intentions are adequately fulfilled through the selection and application of media, processes and techniques and the considered use of imagery. |
| 7–9 | The work forms a coherent body of work through effective communication of thematic or stylistic relationships across individual pieces. Stated intentions are consistently and effectively fulfilled through the selection and application of media, processes and techniques and the considered use of imagery. |
B. Technical competence
Evidence: curatorial rationale, the submitted artworks, exhibition text and exhibition photographs
To what extent does the submitted work demonstrate:
- effective application and manipulation of media and materials;
- effective application and manipulation of the formal qualities?
Candidates who fail to submit the minimum number of artworks cannot achieve a mark higher than 6.
| Mark | Descriptor |
|------|------------|
| 0 | The work does not reach a standard identified by the descriptors below. |
| 1–3 | The work demonstrates minimal application and manipulation of media and materials to reach a minimal level of technical competence in the chosen forms and the minimal application and manipulation of the formal qualities. |
| 4–6 | The work demonstrates adequate application and manipulation of media and materials to reach an acceptable level of technical competence in the chosen forms and the adequate application and manipulation of the formal qualities. |
| 7–9 | The work demonstrates effective application and manipulation of media and materials to reach an assured level of technical competence in the chosen forms and the effective application and manipulation of the formal qualities. |
C. Conceptual qualities
Evidence: curatorial rationale, the submitted artworks, exhibition text and exhibition photographs
To what extent does the submitted work demonstrate:
- effective resolution of imagery, signs and symbols to realize the function, meaning and purpose of the art works, as appropriate to stated intentions?
Candidates who fail to submit the minimum number of artworks cannot achieve a mark higher than 6.
| Mark | Descriptor |
|------|------------|
| 0 | The work does not reach a standard identified by the descriptors below. |
| 1–3 | The work demonstrates minimal elaboration of ideas, themes or concepts and demonstrates minimal use of imagery, signs or symbols, or the imagery, signs or symbols used are obvious, contrived or superficial. There is minimal communication of artistic intentions. |
| 4–6 | The work visually elaborates some ideas, themes or concepts to a point of adequate realization and demonstrates the use of imagery, signs or symbols that result in adequate communication of stated artistic intentions. |
| 7–9 | The work visually elaborates ideas, themes or concepts to a sophisticated point of effective realization and demonstrates the subtle use of complex imagery, signs or symbols that result in effective communication of stated artistic intentions. |
D. Curatorial practice (SL only)
Evidence: curatorial rationale, the submitted artworks, exhibition text and exhibition photographs
To what extent does the curatorial rationale justify:
- the selection, arrangement and exhibition of a group of artworks within a designated space?
| Mark | Descriptor |
|------|------------|
| 0 | The work does not reach a standard identified by the descriptors below. |
| 1 | The curatorial rationale partially justifies the selection and arrangement of the exhibited works as appropriate to the student’s stated intentions, or the curatorial rationale may not be an accurate representation of the exhibition. |
| 2 | The curatorial rationale mostly justifies the selection and arrangement of the exhibited works, which are presented and arranged in line with the student’s stated intentions in the space made available to the student. |
| 3 | The curatorial rationale fully justifies the selection and arrangement of the exhibited works, which are presented and arranged clearly, as appropriate to the student’s stated intentions within the space made available to the student. |
D. Curatorial practice (HL only)
Evidence: curatorial rationale, the submitted artworks, exhibition text and exhibition photographs
To what extent does the curatorial rationale demonstrate:
- the justification of the selection, arrangement and exhibition of a group of artworks within a designated space?
- reflection on how the exhibition conveys an understanding of the relationship between the artworks and the viewer?
| Mark | Descriptor |
|------|------------|
| 0 | The work does not reach a standard identified by the descriptors below. |
| 1 | • The curatorial rationale partially justifies the selection and arrangement of the exhibited works as appropriate to the student’s stated intentions, or the curatorial rationale is not an accurate representation of the exhibition.
• The curatorial rationale conveys little justification for the relationship between the artworks and the viewer within the space made available to the student. |
| 2 | • The curatorial rationale mostly justifies the selection and arrangement of the exhibited works as appropriate to the student’s stated intentions.
• The curatorial rationale mostly articulates the relationship between the artworks and the viewer within the space made available to the student. |
| 3 | • The curatorial rationale fully justifies the selection and arrangement of the exhibited works as appropriate to the student’s stated intentions.
• The curatorial rationale effectively articulates the relationship between the artworks and the viewer within the space made available to the student. |
Glossary of command terms
Command terms for visual arts
Students should be familiar with the following key terms and phrases used in examination questions, which are to be understood as described below. Although these terms will be used frequently in examination questions, other terms may be used to direct students to present an argument in a specific way.
| Command term | Assessment objective | Definition |
|--------------------|----------------------|---------------------------------------------------------------------------|
| Analyse | AO2 | Break down in order to bring out the essential elements or structure. |
| Apply | AO2 | Use an idea, equation, principle, theory or law in relation to a given problem or issue. |
| Compare and contrast | AO3 | Give an account of similarities and differences between two (or more) items or situations, referring to both (all) of them throughout. |
| Contrast | AO3 | Give an account of the differences between two (or more) items or situations, referring to both (all) of them throughout. |
| Demonstrate | AO2 | Make clear by reasoning or evidence, illustrating with examples or practical application. |
| Describe | AO1 | Give a detailed account. |
| Discuss | AO3 | Offer a considered and balanced review that includes a range of arguments, factors or hypotheses. Opinions or conclusions should be presented clearly and supported by appropriate evidence. |
| Evaluate | AO3 | Make an appraisal by weighing up the strengths and limitations. |
| Examine | AO3 | Consider an argument or concept in a way that uncovers the assumptions and interrelationships of the issue. |
| Explain | AO2 | Give a detailed account including reasons or causes. |
| Explore | AO2 | Undertake a systematic process of discovery. |
| Identify | AO1 | Provide an answer from a number of possibilities. |
| Justify | AO3 | Give valid reasons or evidence to support an answer or conclusion. |
| List | AO4 | Give a sequence of brief answers with no explanation. |
| Outline | AO1 | Give a brief account or summary. |
| Present | AO1 | Offer for display, observation, examination or consideration. |
| Show | AO4 | Give the steps in a calculation or derivation. |
| To what extent | AO3 | Consider the merits or otherwise of an argument or concept. Opinions and conclusions should be presented clearly and supported with appropriate evidence and sound argument. | | 37c301e8-d109-40d1-afc3-cafd5fd48b74 | CC-MAIN-2024-51 | https://resources.finalsite.net/images/v1701373031/d11org/jplh5rls4xbnkodoe6v0/VisualArts.pdf | 2024-12-08T05:12:58+00:00 | crawl-data/CC-MAIN-2024-51/segments/1733066441563.87/warc/CC-MAIN-20241208045820-20241208075820-00866.warc.gz | 444,080,018 | 30,331 | eng_Latn | eng_Latn | 0.995764 | eng_Latn | 0.997561 | [
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Chapter 4
Multicultural Education of Pre-service Teachers: Australian and Ukrainian Approaches
Nataliya Avshenyuk & Larysa Golub
National Academy of Pedagogical Sciences, Ukraine
Introduction
The processes of integration and globalization in the modern world lead to the new approaches in education. Many countries which are cultural and linguistic diverse carry out multicultural education.
Ukraine and Australia are multicultural societies. The multicultural status of Ukraine is confirmed by the fact that over 130 nationalities, national and ethnic communities live on its territory. Among them 72.7% are Ukrainians and 22.1% are Russians. Other ethnic groups whose number is less than 1% of the total population are Byelorussians (0.6%), Moldavians (0.5%), Tatars (0.5%), Bulgarians (0.4%), Hungarians (0.3%), Romanians (0.3%), Poles (0.3%), Jews (0.2%), Armenians (0.2%), Greeks (0.2%), Gipsies (0, 1%), Georgians (0.1%), Gagauz (0.1%) and others (Sokolova, 2011).
Children of different nations with different cultures, traditions, and mentalities study together in Ukrainian schools. So, today the ability of a teacher to cooperate efficiently with the representatives of different cultures is becoming very important. Therefore, the problem of introducing in our country a new educational strategy – multicultural education – is arising. Ukraine is researching the experience of other countries which use this strategy effectively in educational process. One of such countries is Australia, where multinational and multicultural
schools are social realities as the population of Australia consists of immigrants from 200 countries: Great Britain (5.2%), New Zealand (2%), China (1%), Italy (1%), Vietnam (0.8%) and Indigenous (Aboriginal) people, whose number is 2.3% of the total population of Australia (DFAT).
We may to say, that "multiculturalism" is the official policy of Australian government in building a society of social cohesion and inclusion. It means that the government is forming such administrative, social and economic infrastructure that would meet the needs of multiethnic population to achieve social harmony between different cultures, to take advantage of the cultural diversity of the country for the benefit of all Australians. For example, today Australian newspapers are printed in 30 languages, radio broadcasts programmes in 60 languages.
Australia’s cultural diversity has played a crucial role in the implementation of multicultural education in the country. Now Australian teachers are entering schools which are rich with a diversity of ethnicities, cultures, and languages. Reforms in secondary and higher education reflect the national goals to provide equal opportunities in obtaining quality education for all people in spite of their race, nation, socio-economic background or geographic location.
Comparing the socio-cultural realities of these countries under investigation, we believe that the multicultural education of pre-service teacher is an issue of great importance to both countries.
This paper compares the present situation of multicultural teacher education in Ukraine and Australia. The review of Ukrainian and Australian social studies has revealed the problem of multicultural teacher preparation in Ukraine and Australia, namely: the majority of pre-service secondary teachers in both countries feel that their level of intercultural competence is low.
**Methodology**
This paper is based on a textual analysis of selected Australian governmental documents such as Adelaide Declaration, Melbourne Declaration on Educational Goals for Young Australians, National Professional Standards for Teachers, Aboriginal and Torres Strait Islander Education Action Plan 2010–2014, Ukrainian scholarly critique on teacher multicultural competence and the review of the optional courses for student's choice which are conducted in some Ukrainian universities. The focus of the present analysis concerns the meaning of the concept of multi/cultural competence and the ways of development of teacher's multicultural competence in Australia and Ukraine.
**Multicultural education in Australia**
The Federal and state ministers for education issued the Melbourne Declaration on Educational Goals for Young Australians in December 2008, replacing a declaration dating from 1999. This earlier Adelaide Declaration made specific reference to social justice as one of three National Goals (others being about capacities and curriculum), promoting the idea that "all students understand and acknowledge the value of cultural and linguistic diversity, and possess the knowledge, skills and understanding to contribute to, and benefit from, such diversity in the Australian community and internationally" (MCEETYA, 1999). Melbourne Declaration sets out two educational goals for young Australians:
- **Goal 1**: Australian schooling promotes equity and excellence.
- **Goal 2**: All young Australians become:
- Successful learners.
- Confident and creative individuals.
- Active and informed citizens.
Achieving these goals could be possible by:
1. Developing stronger partnerships;
2. Supporting quality teaching and school leadership;
3. Strengthening early childhood education;
4. Enhancing middle years development;
5. Supporting senior years of schooling and youth transitions;
6. Promoting world-class curriculum and assessment;
7. Improving educational outcomes for Indigenous youth and disadvantaged young Australians, especially those from low socioeconomic backgrounds;
8. Strengthening accountability and transparency (MCEETYA, 2008).
The Department of Education and Early Childhood argues that multicultural education is a perspective that frames education more widely by integrating the global with the local experience of students. Multicultural Education helps students to develop:
- proficiency in English,
- competency in a language or languages other than English,
- in depth knowledge and awareness of their own and other cultures,
- an understanding of the multicultural nature of Australia’s past and present history,
- an understanding of, and skills to interact in, intercultural settings,
- an appreciation of the importance of local, national and international interdependence in social, environmental, economic and political arenas, and
- an understanding that mutual support in these areas is vital to local and global harmony.
Schools should ensure multicultural perspectives are incorporated into all aspects of school life by:
- promoting diversity as a positive learning experience,
- incorporating multicultural perspectives across all learning domains,
- incorporating multicultural, anti-racism, and human rights perspectives in school policies and practices,
- enhancing teachers’ and students’ intercultural understanding and cross-cultural communication skills (About Multicultural Education, 2009).
The concept of “multicultural” can be broken down into its constituent parts: “multi” which means many, and “cultural” which refers to a group’s ways of thinking and living: their knowledge, values, mentality and behaviour that enable the groups’ survival as a people.
A definition by Banks and Banks (1995, p. xi) captures multicultural education in a much more profound manner: “A major aim of multicultural education is to create equal educational opportunities for students from diverse racial, ethnic, social-class, and cultural groups. One of its important goals is to help all students to acquire knowledge, attitudes, and skills needed to function effectively in a pluralistic democratic society and to interact, negotiate, and communicate with peoples from diverse groups in order to create a civic and moral community that works for the common good”.
Multicultural education in Australia has its roots in the problems of immigration and the subjugation of the indigenous population. Multiculturalism in Australia is understood from three perspectives:
- as a demographic description of the cultural and linguistic diversity of Australian society;
- as a social philosophy which recognizes the value of cultural and linguistic diversity within a framework of shared values to achieve a harmonious society;
- as a government policy, which provides for the needs of a diverse society and fosters shared values that could contribute to unity, social cohesion and productive diversity.
Joseph Lo Bianco, the Professor of Language and Literacy Education at the University of Melbourne, identifies Australian multicultural education as “a wide-ranging term which has included six essential areas of focus, with different emphases over time”:
- provision of specialist teaching programs of English as a second language for immigrants and Indigenous children and adults;
- first language maintenance for immigrant and Indigenous learners;
- teaching of community languages, i.e. immigrant and Indigenous languages, as second languages;
- infusing culturally diverse perspectives across all subject areas of the curriculum, such as history, geography, citizenship studies;
- parent participation; and
- active combating of negative and racist depictions of minority populations (Lo Bianco, 2010).
Australia has made considerable progress in the implementation of multicultural education with the determination of the criteria of intercultural competent teacher in the National Professional Standards for Teachers (AITSL, 2011). They provide a framework which makes clear the knowledge, practice and professional engagement required across teacher careers.
**Multicultural education in Ukraine**
In Ukraine the issue of multicultural education became of great importance only at the turn of XX–XXI centuries. In the Soviet society, to which Ukraine belonged for many years, the official
ideological doctrine was based on such concepts as “internationalism”, “friendship of peoples”. It was believed that in the USSR all nations were equal, their cultures "were flourishing", and national or international problems had been solved. In modern Ukrainian state the implementation of multicultural education in the learning process of educational institutions is taken into consideration. The ideas of multiculturalism in Ukrainian education are represented into a number of legal documents: the Ukrainian Education Act, the National Doctrine of Education, the Preschool Education Act, the Secondary Education Act, the State Standards for Basic and Secondary Education, the Higher Education Act, the Concept of Humanitarian Ukrainian Education and others. Ukrainian researchers discuss the importance of multicultural education at different conferences, congresses, seminars. They write a number of works in which they prove the necessity of introducing the ideas of multiculturalism in the educational process of Ukraine.
Such ukrainian researchers as L. Golik, L. Goncharenko, T. Klymchenko, M. Krasovytskyi, B. Kuzmenko, G. Levchenko study the conditions of introduction of multicultural education in Ukraine, theoretical and methodological principles of forming of multicultural competence in young generation and pre-service teachers' special training capable to work in the ethnic region. Ukraine has its own understanding of multicultural education. It is explained as the education, which helps a person to be ready for active work in the contemporary social and cultural environment, to save his (her) identity, to respect and to understand ethnic and cultural diversity and is able to live in peace and harmony with people from different racial, ethnic, cultural and religious groups (Kuzmenko, Goncharenko, 2006).
V. Bolharina and I. Loschenova give their own opinion of multicultural education – this is education for which culture is the universal phenomenon, which helps to learn ethnic and national culture, to understand peoples' aspiration for peace, harmony, progress through the cultural development.
In Ukraine, multicultural education is provided by designing optional elective courses. Many scientists are developing and implementing the optional elective courses in the educational process. These courses are a variable part of the curriculum for the student's choice. Thus the content of multicultural education of pre-service teachers is formed. So, at present stage of the
development of multicultural education in Ukraine the variable part of the curriculum forms the content of teacher's multicultural competence.
**Multicultural teacher competence: Australian approach**
Instead of the term “multicultural competence”, which is widely used in Ukrainian context, Australian scientists and institutions use the terms “cultural competence /competency”, “cross-cultural competence”, “bi-cultural competence”. All these terms variously used to focus the ability to “think, feel and act in ways that acknowledge, respect and build upon ethnic, socio-cultural and linguistic diversity” (MCEECDYA, Aboriginal and Torres Strait Islander Education Action Plan 2010–2014, p. 43). This also requires the ability to “see” issues and experiences from another person’s perspective and to know oneself in a cultural context, that is, to understand oneself as a cultural being. Cultural competence is part of a developmental process that is underpinned by relationships and self-reflectivity. It evolves over time. “Cultural competence” is a term that is used broadly across the education The closely-related concepts are: cultural awareness, cultural sensitivity and cultural proficiency.
The requirements to the cultural competence of teacher in Australia are represented in *The National Professional Standards for Teachers* (the Standards). The work on them commenced under the auspices of the Ministerial Council for Education, Early Childhood Development and Youth Affairs (MCEECDYA) in 2009. The Australian Institute for Teaching and School Leadership (AITSL) assumed responsibility for validating and finalising the Standards in July 2010. The Standards support the Melbourne Declaration on Educational Goals for Young Australians which describes aspirations for all young Australians for the next decade. The National Professional Standards for Teachers were endorsed by MCEECDYA in December 2010. Education Ministers announced the release of the National Professional Standards for Teachers on 9 February 2011.
All Australian governments, universities, school sectors and individual schools have a responsibility to work together to support high-quality teaching and school leadership, including by enhancing pre-service teacher education.
The National Professional Standards for Teachers are a public statement of what constitutes teacher quality. They define the work of teachers and make explicit the elements of high-quality, effective teaching in 21st century schools that will improve educational outcomes for students. The Standards do this by providing a framework which makes clear the knowledge, practice and professional engagement required across teachers’ careers. Teacher standards also inform the development of professional learning goals, provide a framework by which teachers can judge the success of their learning and assist self-reflection and self-assessment. Teachers can use the Standards to recognise their current and developing capabilities, professional aspirations and achievements.
The National Professional Standards for Teachers are organised into four career stages and guide the preparation, support and development of teachers. The stages reflect the continuum of a teacher’s developing professional expertise from undergraduate preparation through to being an exemplary classroom practitioner and a leader in the profession.
The Graduate Standards will underpin the accreditation of initial teacher education programs. Graduates from accredited programs qualify for registration in each state and territory. The Proficient Standards will be used to underpin processes for full registration as a teacher and to support the requirements of nationally consistent teacher registration. The Standards at the career stages of Highly Accomplished and Lead will inform voluntary certification. The National Professional Standards for Teachers comprise seven Standards which outline what teachers should know and be able to do.
The Standards are grouped into three domains of teaching; Professional Knowledge, Professional Practice and Professional Engagement. Within each Standard focus areas provide further illustration of teaching knowledge, practice and professional engagement (AITSL, 2011).
The items 1.3, 1.4 and 2.4 in the Standards are concerning the multicultural teacher competence. According to the item 1.3, the teachers should know their students well, including their diverse linguistic, cultural, religious and socioeconomic backgrounds. In the item 1.4 it is said that the teachers should know and constitute the appropriate strategies for teaching Aboriginal
and Torres Strait Islander students. In the item 2.4 it is indicated that the teacher should understand and respect Aboriginal and Torres Strait Islander people to promote reconciliation between Indigenous and non-Indigenous Australians.
**Table 1. Organisation of the National Professional Standards for Teachers**
| Domains of teaching | Standards |
|---------------------|-----------|
| Professional Knowledge | 1. Know students and how they learn
2. Know the content and how to teach it |
| Professional Practice | 3. Plan for and implement effective teaching and learning
4. Create and maintain supportive and safe learning environments
5. Assess, provide feedback and report on student learning |
| Professional Engagement | 6. Engage in professional learning
7. Engage professionally with colleagues, parents/carers and the community |
So according to the Standards, the pre-service teachers should:
1. Demonstrate knowledge of teaching strategies that are responsive to the learning strengths and needs of students from diverse linguistic, cultural, religious and socioeconomic backgrounds;
2. Demonstrate broad knowledge and understanding of the impact of culture, cultural identity and linguistic background on the education of students from Aboriginal and Torres Strait Islander backgrounds;
3. Demonstrate broad knowledge and understanding of and respect for Aboriginal and Torres Strait Islander histories, cultures and languages;
4. Set learning goals that provide achievable challenges for students of varying abilities and characteristics (AITSL, 2011).
**Multicultural teacher competence: Ukrainian approach**
Under the term of “multicultural competence” Ukrainian researchers mean “the individual’s capacity to live and work in a multicultural environment” (Kuzmenko, Goncharenko, 2006, p. 49). Teacher multicultural competence includes: 1) multiculttural literacy; 2) the ability to use knowledge in teaching activities; 3) professionally significant personal qualities (Kuzmenko, Goncharenko, 2006, p. 49).
Teacher's multicultural competence is formed through the content of curricula. Conducting the empirical researches Ukrainian scientists develop their own multicultural training courses that promote the formation of multicultural competence of pre-service teachers. In many higher educational establishments of Ukraine the optional elective courses have been introduced. Particularly, N. Yaksa has developed a model of pre-service teacher's training to the cross-cultural interaction in the educational process of the Crimean region. The researcher identifies the basic stages of teacher's professional training to the cross-cultural interaction in the educational process:
1. Mastering the basic pedagogical skills;
2. The acquisition of intercultural experience;
3. The acknowledgement of his (her) own position;
4. The acquisition of knowledge, abilities, skills, methods for cross-cultural interaction;
5. Self-perfection, self-development (Yaksa, 2008).
The other Ukrainian scientist O. Hryva offers the model of teacher's training in a multicultural region. According to this model, the compulsory subjects should include the additional themes such as: "The history of peoples living in the region", "Culture and religion of ethnic groups living in the region", "Protection of Minorities," "Art of the peoples living in the region", "The psychology of peoples living in the region", "Languages of peoples living in the region".
The technology of ethnic and cultural competence of pre-service teachers was developed by O. Hurenko (2007). According to her study, in the educational process of some Ukrainian universities located in Priaзов region (Berdyansk State Pedagogical University, Mariupol Humanitarian University) the courses on ethnic culture of Ukrainian Northern Azov national minorities – Bulgarians, Greeks, Germans and others – were introduced. The researcher also published the textbook "The Ethnic Culture of Ukrainian Northern Azov minorities" which can be successfully used by teachers in Ukrainian educational institutions (Hurenko, 2007).
Many universities in Ukraine also provide teacher's language training for schools where educational process is in national minorities' languages (Romanian, Moldavian and others.). This
guarantees people of different nationalities to get quality education in their native languages. But today the issue of integrated multicultural education of pre-service teachers are not sufficiently developed. In our opinion the most thorough study of the multicultural teacher education in Ukraine is currently the book of L. Goncharenko, A. Zubko, V. Kuzmenko “The development of secondary school teachers’ multicultural competence” (2007). In their research the authors underlines the importance of forming of teacher’s multicultural competence. They examines forms, methods, themes and structure of courses that promote teacher’s multicultural competence and readiness to work in multicultural environment. Thus, the authors offer to include the following themes to the special courses: “Ethno-Social and ethno-cultural diversity of Ukraine”, “The interaction of cultures”, “Inter-ethnic, intercultural, interfaith relations,” “Tolerance in Ukrainian society by means of the Humanities”, “Ukraine in modern international relations”, “Current issues of Euro-Atlantic integration”, “Modern social problems of mankind” and others (Goncharenko, 2007).
In Kharkiv regional scientific and methodical Institute of Lifelong Education it was developed a special course for teachers “Multicultural Education at Schools” (by Stavitsky). The purpose of this course is teachers' scientific and practical training to the implementation of multicultural education in secondary schools. Special course's objectives are:
- introducing the basic concepts, the main principles and the content of multicultural education,
- forming skills to design the educational process of multicultural education,
- improving skills of intercultural interaction etc.
Special course has 18 hours and includes the following topics: “The theoretical basis of multicultural and international experience”, “Multicultural Ukraine”, “Multicultural competence in the educational process”, “Forms and methods of forming multicultural competencies”, “Designing educational process on the principles of multiculturalism”. But, in our opinion, even with the introduction of such courses for all pre-service teachers the multicultural training of subject teachers remains unclear. Although the appropriate training courses are developed, the subjects are taught in the languages of ethnic minorities, the books on multicultural teacher training are published, multicultural ideas are not the determinants in compiling the curricula and programs and in the content of education they appear only in small parts and do not form an integrated system.
Conclusions
Analyzing the interpretations of teacher's multicultural education in Australian and Ukrainian scientific environments, we concluded that in most cases they are rather similar. The main purpose of multicultural education in Australia and Ukraine is the same: to acquire knowledge, attitudes, and skills needed to live in peace and harmony with people from different racial, ethnic, cultural and religious groups. In both countries the teacher is the key figure in educational process. In the concept of multicultural education the teacher is a coordinator, a facilitator, an assistant. This is a universal function of the teacher for all multicultural societies. It meets the main requirement for the role of teacher in multicultural society: the ability to cooperate efficiently with the representatives of different ethnic and cultural groups. Therefore the development of multicultural competence is an essential condition of teacher's efficient activity in a multicultural environment.
In Australia the formation of multicultural competence is accomplished through the development of qualifying requirements to the teacher profession in National Professional Standards. In Ukraine teacher's multicultural competence is formed through the content of curricula. In Australia the teacher multicultural competence is a measurable category due to the Teachers Professional Standards where the requirements to the cultural competence of a teacher are determined clearly. In Ukraine, on the contrary, the requirements to the teacher intercultural competence has not yet identified in any official document. This led to the absence of clear procedures of teacher multicultural competence measure. Although a lot of educators are developing their own multicultural education courses, the majority of which are not a compulsory part of the curricula. That is why in our country there is no an integral system of teacher multicultural education as well as standard requirements to it.
In the result of our studying we have found that the multicultural education of pre-service teachers is the national priority in both countries but the approaches to its implementation and standards development are different. We believe the study of progressive Australian experience will be quite valuable for the Ukrainian educational space.
References
*About Multicultural Education* (2009). Melbourne, Victoria: Department of Education and Early Childhood Development.
Australian Institute for Teaching and School Leadership (AITSL) (2011). *National Professional Standards for Teachers*. Melbourne, Brisbane, Canberra. Viewed from: http://www.aitsl.edu.au.
Banks, J.A. & Banks, C.A.M. (eds.) (1995). *Handbook of research on multicultural education*. New York: Macmillan.
DFAT, Department of Foreign Affairs and Trade. Viewed from: http://www.dfat.gov.au/aib/society.html
Goncharenko, L. (2007). *Розвиток полікультурної компетентності педагогів загальноосвітніх навчальних закладів*. Навчальний посібник. Херсон: РІПО.
Hurenko, O. (2007). *Формування етнокультурної компетентності майбутніх педагогів в умовах поліетнічного середовища*: Навчальний посібник. Донецьк: ТОВ Юго-Восток, ЛТД.
Kuzmenko, В., Goncharenko, L. (2006). *Формування полікультурної компетентності вчителів загальноосвітньої школи*: Навчальний посібник. Херсон: РІПО.
Lo Bianco, J. (2010). The Struggle to Retain Diversity in Language Education. In: A. Scarino, A. Liddicoat (eds.) *Languages in Australian Education: Problems, Prospects and Future Directions* (pp. 97-108). Cambridge: Cambridge Scholars Publishing.
Ministerial Council for Education, Early Childhood Development and Youth Affairs (MCEECDYA). Aboriginal and Torres Strait Islander Education Action Plan 2010 – 2014. Australia. Viewed from: http://www.mceecdya.edu.au.
Ministerial Council on Education, Employment, Training and Youth Affairs (MCEETYA). The Adelaide Declaration on National Goals for Schooling in the Twenty-first Century - Preamble and Goals, (adopted April 1999) Viewed from: http://www.dest.gov.au/sectors/school_education/policy_initiatives_reviews/national_goals_for_schooling_in_the_twenty_first_century.htm
Ministerial Council for Education, Employment, Training and Youth Affairs (MCEETYA) (2008). *Melbourne Declaration on Educational Goals for Young Australians*. Melbourne. Viewed from: http://www.mceecdya.edu.au.
Sokolova, I. (2011). *Розвиток освіти в умовах полікультурного глобалізованого світу*. Київ: Ун-т ім. Б. Гринченка.
Yaksa, H. (2008). *Професійна підготовка майбутніх учителів: теорія і методика міжкультурної взаємодії в умовах Кримського регіону*: Монографія. Житомир: Вид.-во ЖДУ ім. І Франка. | a526ca13-c8b6-400f-b912-f6f4b90081df | CC-MAIN-2021-43 | https://lib.iitta.gov.ua/4376/1/%D0%90%D0%B2%D1%81%D1%82%D1%80%D0%B0%D0%BB%D1%96%D0%B9%D1%81%D1%8C%D0%BA%D1%96_%D1%82%D0%B0_%D0%A3%D0%BA%D1%80%D0%B0%D1%97%D0%BD%D1%81%D1%8C%D0%BA%D1%96__%D0%BF%D1%96%D0%B4%D1%85%D0%BE%D0%B4%D0%B8_%D0%B4%D0%BE_%D0%BF%D0%BE%D0%BB%D1%96%D0%BA%D1%83%D0%BB%D1%8C%D1%82%D1%83%D1%80%D0%BD%D0%BE%D1%97_%D0%BE%D1%81%D0%B2%D1%96%D1%82%D0%B8_%D0%BC%D0%B0%D0%B9%D0%B1%D1%83%D1%82%D0%BD%D1%96%D1%85_%D1%83%D1%87%D0%B8%D1%82%D0%B5%D0%BB%D1%96%D0%B2.pdf | 2021-10-19T09:44:58+00:00 | crawl-data/CC-MAIN-2021-43/segments/1634323585246.50/warc/CC-MAIN-20211019074128-20211019104128-00497.warc.gz | 483,275,924 | 5,401 | eng_Latn | eng_Latn | 0.919528 | eng_Latn | 0.988498 | [
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Growing Up Boulder’s Report on East Boulder Subcommunity Planning
Summary of Findings, Fall 2019
Published November 2019 by the Growing Up Boulder Team
# Table of Contents
## Overview
- About Growing Up Boulder 2
- Subcommunity Planning 2
- East Boulder Subcommunity Plan 2
- GUB East Boulder Subcommunity Plan Project Description 3
- By the Numbers (All Engagements) 4
## Summary of Findings 4
- Most Salient Child, Youth, and Parent/Caregiver Recommendations 4
- Detailed “Keep, Improve, Add” Responses Across All Engagements 7
- Infographics of Child and Youth Recommendations 7
- What We Like About East Boulder & Want to Keep 8
- What We Like About East Boulder & Want to Improve 9
- What We Think is Missing in East Boulder & Want to Add 10
## GUB’s Engagement Partners and Engagement Process 11
- Eisenhower Elementary School 11
- By the Numbers for Eisenhower Elementary 11
- Eisenhower Engagement Description 12
- Family Worksheet Data 15
- Eisenhower Student Recommendations (Across the Engagement) 16
- Parent Recommendations (Based on Family Worksheet) 16
- Residents of the San Lazaro Manufactured Housing Community 18
- By the Numbers for San Lazaro Engagement 18
- San Lazaro Resident Engagement Description 18
- Student Worksheet Data 19
- Parent Worksheet Data 20
- Thorne Nature Experience 21
- By the Numbers for Thorne Nature Experience Engagement 21
- Engagement Description 21
- Student Worksheet Data 22
## Engagement Reflections 24
- Pre- and Post-Project Student Questionnaires 24
- Creating a Template for Future Subcommunity Work 26
## Conclusion 27
## Partners and Appreciation 28
## Appendix 29
Overview
About Growing Up Boulder
Growing Up Boulder (GUB) is Boulder’s child and youth-friendly city initiative established in 2009 as a formal partnership between the City of Boulder, Boulder Valley School District, and University of Colorado. GUB is a program of the University of Colorado’s Community Engagement Design and Research (CEDaR) Center and is housed in the Environmental Design Program. GUB aims to make Boulder an exemplary child and youth-friendly city by empowering Boulder’s young people with opportunities for inclusion, influence, and deliberation on local issues that affect their lives.
Subcommunity Planning
The City of Boulder has embarked on developing subcommunity plans for each of Boulder’s 10 subcommunities. Plans will describe a future vision for each subcommunity that is based on community goals and values, and will be aligned with the tenets of the Boulder Valley Comprehensive Plan (BVCP). Each subcommunity planning process will take approximately 18-months, involve multiple stages, and include community outreach. A Working Group, made up of area stakeholders, will support the planning process. Ultimately, subcommunity plans will guide change in each subcommunity into the next several decades.
To ensure that citywide goals are achieved, subcommunity plans will feature specific criteria for future change. As part of the process, each plan will look at the following six focus areas from the BVCP:
- Small Local Business
- Arts & Culture
- Design Quality & Placemaking
- Housing Affordability & Diversity
- Resilience & Climate Commitment
- Balance of Future Jobs & Housing
East Boulder Subcommunity Plan
In early 2019, City Council directed city staff to begin subcommunity planning work. The East Boulder subcommunity was selected because of the high rate of change that’s currently taking place there. The East Boulder subcommunity area is marked by Foothills Parkway to the west, Boulder Municipal Airport to the north, 63rd Street to the east and Arapahoe Avenue to the south. East Boulder is one of the city’s top
employment centers, and is home to many businesses, urban parks, recycling centers, and arts and cultural organizations.
GUB East Boulder Subcommunity Plan Project Description
In Fall 2019, GUB conducted Phase Two participatory planning engagements with three groups within the East Boulder Subcommunity catchment area: second grade students who attend Eisenhower Elementary School, child, teen and parent residents in the San Lazaro Manufactured Home Community, and adolescent members of a bird-banding club at Thorne Nature Experience.
Phase Two engagements provide stakeholders the opportunity and freedom to be visionary about the future of East Boulder; Phase two asks the question, “Who do we want to be?” Students from all three groups, ages 4-18, participated in individualized, GUB-led engagements ranging from one 2-hour session to four 1-hour sessions over the span of one month. All students were introduced to the East Boulder Subcommunity Plan work through the use of local maps. Student and family worksheets then activated participants’ thinking about how they currently use East Boulder. In addition to identifying their favorite places to keep in East Boulder, students and families
considered what aspects of East Boulder they felt could be improved, and what was missing and should be added to make East Boulder an even more vibrant community.
**By the Numbers (All Engagements)**
- 98 Children and youth
- 40% children/youth from underrepresented backgrounds
- 60 Parents
- 3 BVSD Teachers
- 2 Thorne staff
- 2 GUB staff
- 2 GUB-CU undergraduate interns
- 5 CU undergraduate volunteers
- 12 Adults/Experts
- 3 City of Boulder staff
- 1 Boulder High School student/Youth Advisory Opportunity Board member
- 1 Project Assistant/EcoArts Promotora
- 23 Engagement hours by young people
**Summary of Findings**
Growing Up Boulder engaged with 158 children, youth, and their parents/caregivers in October and November 2019. Ninety-eight total students were supported by more than 30 adults in three engagement settings. Because we collected a large amount of data, this section focuses on the highlights of data and the story it tells. The data analyzed here originated from:
1. A consistent, two page-worksheet that was completed at each engagement site,
2. Student recommendations from each of the sites, including group discussions, written information and sketches from the Eisenhower students’ research “notecatcher” activity, and
3. Feedback about the Boulder Valley Comprehensive Plan collected at Thorne.
The most important documents and artifacts used in these engagements are in the Appendix at the end of the report. For a complete collection of engagement documents, contact: email@example.com.
**Most Salient Child, Youth, and Parent/Caregiver Recommendations**
Children, youth, and parents/caregivers in all three engagements viewed East Boulder as a community with great potential for improvement. Students developed recommendations based on their personal interests, while keeping in mind people of all
ages. The top 10 most frequently requested additions to East Boulder by children, youth, and parents/caregivers were:
1. **Water Park**—It’s GUB’s experience that children consistently request water parks and water play, so it is no surprise to see water at the top of the list of things that students felt were missing and wanted to add in East Boulder. A water park is more than a pool—it includes more playful elements, splashing, and the opportunity to cool off in the hot sun.
2. **Restaurants**—Children want child- and family-friendly restaurants.
3. **Parks**—More of them, including parks for dog and cats and big, open turf fields and sports fields.
4. **Playgrounds**—More of them, with slides, including indoor playgrounds so they can stay active during inclement weather and winter months.
5. **Amusement Park**—with rides and games.
6. **Museums**—Children’s Museum, Science, History—even a “Silence” museum.
7. **Pools**—indoor and outdoor.
8. **Open Space**—More Open Space and Mountain Park trails, lakes and ponds, and more open, grassy fields with being in nature as the goal.
9. **Interactions with animals**—Children and teens would like more opportunities to observe and/or play with animals in a wildlife sanctuary or zoo setting.
10. **Mall/Retail shopping**—traditional retail centers and pedestrian malls.
When it came to existing locations, parents and children together listed the following five locations as their favorite places to visit in East Boulder:
1. Arapahoe Ridge “Rock” Park
2. Valmont Bike Park
3. Thorne Nature Experience
4. Boulder Jewish Community Center (Boulder JCC)
5. Snarf’s Sandwiches
It is interesting to note that of the 5 locations listed, the only site that is actually located within the boundaries of the subcommunity is Valmont Bike Park. This reveals that children are not spending a lot of time or are not familiar with places in the East Boulder
subcommunity that would be considered a “favorite” destination; they are more familiar with sites that surround the area and are closer to where they live and go to school.
And while we can’t be certain about the motivation for these recommendations (this would be a useful question to probe in further investigations), based on our discussions with children and teens, we believe the recommendations were selected for these three reasons:
1. These locations are more *special* or *unusual* than other similar locations. For example, “Rock” Park is mentioned more than any other playground, and its design is more unique than other playgrounds in East Boulder. Similarly, Valmont Bike Park offers opportunities not afforded elsewhere in the city.
2. The locations are physically closer to residents living in East Boulder. Children and parents living in the San Lazaro Manufactured Housing Community live adjacent to Valmont Parks, and cited them as favorite places to visit.
3. The locations are responsive to children and teen’s interests. Young people from all three groups listed Thorne as one of their favorite places to visit, as it provides engaging educational nature programming and things to see and do.
When children and their families were asked to rank their favorite *types* of activities, in East Boulder, they responded (listed in order of importance):
1. Nature & Trails
2. Parks & Playgrounds
3. Education/Museums
4. Arts & Culture
5. Restaurants/After School Activities (2 way tie)
This ranking was fairly consistent across the three engagement groups, although when children's recommendations were separated from parent recommendations, “parks and playgrounds” rose to the top for children. These East Boulder findings mirror GUB’s general findings from working with children and youth in Boulder; young people repeatedly list “parks and playgrounds” as their first choice of activity, followed by “nature and trails.”
Detailed “Keep, Improve, Add” Responses Across All Engagements
All engagement groups completed the same worksheet, then held verbal discussions, to answer the question, “what should we keep, improve, and add in East Boulder?” Below is a summary of answers across all groups. Note that some of this information was included in the previous section, but here it is displayed side-by-side.
| Keep | Improve | Add |
|----------------------------------------------------------------------|------------------------------------------------------------------------|----------------------------------------------------------------------|
| Valmont Bike Park | Safety and greater amount of bike paths | Water parks and water play areas |
| Open Space (trails, open fields in nature) | Cleaner, updated parks and playgrounds with more choices | Indoor & outdoor pools |
| Arapahoe Ridge “Rock” Park | More restaurants | More playgrounds; indoor and outdoor |
| Parks in general | Transportation; more buses & reliable schedules | Museums for children; history and science |
| East Boulder Recreation Center | | Amusement parks |
| Thorne Nature Experience & Sombrero Marsh | | More parks |
| Eisenhower Elementary | | Restaurants; more and better ones |
| Boulder Humane Society | | |
| Boulder Creek & Paths | | |
| Snarf’s Sandwiches | | |
Infographics of Child and Youth Recommendations
Information collected from the “keep, improve, add” exercise is further visualized in the following infographics. The word clouds include all of the responses received from young people (as opposed to the summary responses above). The bar graphs show the themes into which the requests fall.
---
1 Most frequently requested recommendations for the East Boulder Subcommunity Plan
What We Like About East Boulder & Want to Keep
What to KEEP in East Boulder
| Themes | # of times theme requested by all children |
|---------------------------------------------|-------------------------------------------|
| Nature Trails, Open Space | 38 |
| Biking | 25 |
| Parks & Playgrounds | 21 |
| Restaurants | 20 |
| Education | 18 |
| Animals | 15 |
| Sports, Recreation, Exercise | 14 |
| Retail | 11 |
| Arts and Culture | 9 |
What We Like About East Boulder & Want to Improve
What to IMPROVE in East Boulder
| Themes | # of times theme requested by all children |
|-------------------------------|-------------------------------------------|
| Parks & Playgrounds | 35 |
| Biking | 16 |
| Businesses | 15 |
| Safety | 15 |
| Nature, Trails, Open Space | 13 |
| Transportation | 12 |
| Environment & Sustainability | 8 |
| Restaurants | 7 |
| Utilities | 6 |
What We Think is Missing in East Boulder & Want to Add
For a better understanding of GUB’s engagement partners and process, please continue on to the next section.
As part of their annual “Communities” unit, 2nd grade teachers and students at Eisenhower Elementary School integrated the EBSP work into their content learning standards for Civic, Social Studies, Reading, and Language Arts. For four consecutive weeks, students learned about East Boulder, considered what they liked about it that they wanted to keep and improve, and what they felt was missing that could make it an even better place to live. Students researched ideas and developed final recommendations, and then shared their ideas with city staff, East Boulder Working Group members, and interested community residents during a Round Table Discussion share out event.
**By the Numbers for Eisenhower Elementary**
- 71 Eisenhower Elementary 2nd grade students
- 55 Parents (via the Family Homework; 78% return rate)
- 3 Eisenhower Elementary teachers
- 2 GUB staff
- 2 GUB-CU undergraduate interns
- 5 CU undergraduate volunteers (4 School of Education, 1 Environmental Design)
- 12 Adults/Community Experts
---
2 City planners, East Boulder Working Group members, parent volunteer, CU students, and other invested community members participated in the engagements with the students. Additionally, as part of a growing partnership between GUB and CU’s School of Education, four teacher candidates volunteered a total of eight hours in classrooms to witness and support GUB’s project-based learning model in action.
Eisenhower Engagement Description
Session 1: GUB and Project Introduction & Pre-Project Survey
October 8 & 9, 2019
Students completed a six-question survey related to their pre-existing knowledge about city projects and the extent to which they feel they are included in city planning decisions. An introductory powerpoint presentation about GUB and the East Boulder Subcommunity Plan project was then presented. Afterwards, 2nd graders used GUB’s Child-Friendly City Map to explore Boulder in general and then the East Boulder Subcommunity specifically.
Students used symbols in the key to “read” the map, and enjoyed finding their school and places they like to go with their families. It was significant that students in all groups noticed that there were not many favorite locations within the East Boulder Subcommunity area. This suggested that there was room for the East Boulder area to become more child-friendly! Session one ended by introducing the Family Worksheet that students would complete that night with their families.
Session 2: Family Worksheet Analysis
October 15 & 16, 2019
After a brief review of the East Boulder Subcommunity project and our work from the previous week, students formed groups and shared their family worksheet “answers” with an adult. One the front side of the homework sheet, families identified whether they spent time in East Boulder, noted which places they frequented, and named their 5 favorite places. They also identified their favorite type of activity. On the back side of the sheet, families shared their
vision of East Boulder, captured by sketching a picture of the things about East Boulder that they wanted to keep, improve, and add. “Keep, Improve, and Add” flip charts were then compiled from the homework, analyzed, and students were encouraged to look for themes using the same terms from the child-friendly city map key (Parks and Play, Nature Play, Water Play, etc.) to describe what they observed. At the end of the session, the group shared observations and students listed three East Boulder Subcommunity ideas that they wanted to research during the following week.
“After doing the family worksheet and hearing about GUB from our daughter, we think this has been the best project our child has done since she’s been in school.”
~2nd grade parents, Eisenhower Elementary
**Session 3: Research, Written Recommendations and Sketches on Research Notecatchers**
*Week of October 21, 2019*
Using Chromebooks, 2nd graders completed research in order to narrow down their ideas to one final recommendation. Students then completed a “note-catcher” paper, showing their thinking related to three questions: 1) Why do we need this? 2) How will this help the community? and 3) Other interesting information. Students also completed idea sketches on the back of their note-catcher papers. Students practiced reading their recommendations so they would be prepared for sharing out the following week.
“Something I want Growing Up Boulder to know is that projects like this bring the idea of ‘community’ to life. My hope is that this leads to more student buy-in to what goes on in our community as they grow up.”
~2nd grade teacher, Eisenhower Elementary
**Session 4: Round Table Discussions with Adult Guests**
*October 29 & November 6, 2019*
After a brief introduction on GUB and slides depicting the students’ East Boulder learning progression, students and invited guests formed round table discussion groups.
Each student presented their recommendations for East Boulder (via written details and a sketch), and adults and peers provided feedback and asked clarifying questions. When students finished presenting, adults rotated clockwise to a new, second group, thereby hearing recommendations from half of the students in the room. At the end of the session, the class and guests went to the school’s Innovation Lab where a large (approximately 30’ x 40’) aerial map of Boulder was displayed. Students and guests sat around the perimeter of the map. The East Boulder subcommunity area was highlighted and approximately 35 current locations were labeled on it (businesses, parks and playgrounds, nature, etc.). Students noted their final recommendations on to the map via a colored star. Each student restated their primary recommendation for the EBSP so that all of the ideas could be heard at once by the group. To close the session, adults and students offered final comments to the whole group. After students left the Lab, adult guests completed written reflections about the experience.
“Something I want to remember about today is how important designing cities for families is!”
~Transportation Planner, City of Boulder
“Having the community partners come and hear their presentations was such a wonderful experience for our students. This was a real opportunity for them to share their ideas with city staff and community members who were involved in planning for East Boulder. The students really got an understanding of how to advocate for their ideas.”
~2nd grade teacher, Eisenhower Elementary
The final session began by acknowledging the learning the students had accomplished throughout the four week inquiry. A compilation of adult reflections from Session 4 were shared to provide students with concrete feedback. Then, students completed post-project surveys. GUB staff discussed next steps and encouraged students to stay connected with the project via the project website. A City Leader certificate for each participant, as well a parent letter updating families about the project, was sent home in each students’ Friday Folder. As part of GUB process, teachers completed GUB partner evaluation forms.
**Family Worksheet Data**
High level analysis of returned family worksheet by students and their parents revealed that the vast majority spend time in East Boulder (96%), and that there is much that families like about East Boulder and the subcommunity in which they live. They selected these top five favorite places to visit in East Boulder:
1. Arapahoe Ridge “Rock” Park
2. Boulder JCC
3. Boulder Creek/South Boulder Creek Paths
4. Thorne Nature Experience
5. Valmont Bike Park
Families identified their top five favorite types of activities as:
1. Nature & Trails
2. Parks and Playgrounds
3. Arts & Culture
4. Education & Museums
5. After School Activities
Further discussion can be found in the Summary of Findings section, and further analysis can be found in the Appendix.
**Eisenhower Student Recommendations (Across the Engagement)**
Student recommendations represented a wide range of improvements and additions to the East Boulder subcommunity. The children requested improvements to bike paths, parks, and playgrounds often. Students suggested additions related to the physical environment in general, like planting more trees and gardens and having more organic farms in the community. They also expressed specific recommendations, like reducing train noise. They recommended a more inclusive community by suggesting to increase the number of wheelchair-friendly paths and equipment in parks and other areas, like at rec centers.
Students felt that the East Boulder Subcommunity was missing many things, and they had plenty of ideas to make it a more vibrant community. Ideas focused on indoor and outdoor play (in parks, playgrounds, nature, and water!), adding new facilities for learning (like a museum, library, an aquarium), and being able to interact with animals (such as pet-friendly stores, cat and dog parks, wildlife preserves, and zoos).
**Parent Recommendations (Based on Family Worksheet)**
GUB staff tried to identify which comments were made by adults and which comments were made by children on the family “worksheet” homework assigned to all Eisenhower families. While determining adult versus child responses is not an exact science, we found notable differences in the kind of language and topics described by children and adults (more sophisticated language and ideas). We named these “parent recommendations.”
Largely practical in nature, parents’ ideas centered on safety and improved quality of life; for example, adults requested bigger, wider, and separated bike paths and lanes, increased numbers of public bathrooms and water fountains, expanded post offices and libraries, updated sports facilities (tennis, basketball, soccer), and more shade at parks and playgrounds. Children’s requests, on the other hand, centered around play, amusement, and interaction with animals, nature, and educational centers.
“Something that I want to remember…is to not forget FUN when thinking about land use.”
~East Boulder Working Group Member
“This was a wonderful experience as you helped make our study of Boulder become relevant and current to our 2nd graders.”
~2nd grade teacher, Eisenhower Elementary
Aerial Map of Boulder Highlights Student Recommendations
Photos by Cathy Hill
Residents of the San Lazaro Manufactured Housing Community
Growing Up Boulder worked with a promotora\(^3\) from EcoArts Connections (an organization that works closely with the San Lazaro community) and with promotoras associated with the City of Boulder to recruit children and parents to attend a one-time engagement session regarding the EBSP. Families in attendance live in the San Lazaro Manufactured Home Community and were contacted via phone calls and personal interactions. All participants over the age of 5 were promised and received a $5 “thank you stipend” for their time and recommendations.
**By the Numbers for San Lazaro Engagement**
- 12 children and youth from the San Lazaro community, ages 4-15
- 5 parents from the San Lazaro community
- 1 GUB staff member
- 1 GUB/CU undergraduate intern
- 1 Boulder High School student/member of the Youth Advisory Opportunity Board (YOAB)
- 1 Project Assistant/EcoArts Promotora
- 1 City of Boulder staff member
**San Lazaro Resident Engagement Description**
*Wednesday, October 23, 2019 from 5:30-7:30 pm*
GUB’s engagement with residents in San Lazaro’s community began with dinner and social time. Next, GUB staff introduced GUB and the East Boulder Subcommunity Planning work. Each family examined a child-friendly city map in order to study the East Boulder Subcommunity area. The family “worksheet” was then introduced and individuals recorded how they currently use the East Boulder area. Adults and children discussed and
---
\(^3\) a community member who provides outreach in his or her own community
selected their family’s favorite places to visit in East Boulder, then ranked their favorite East Boulder activities by category (such as parks and playgrounds, nature and trails, retail, after school activities, etc.). Children and adults engaged in a lively discussion about how they would like to see East Boulder develop and grow in the future.
Many adults were concerned about the lack of clean water they feel they experience in their community, despite water tests showing no toxicity. Parents expressed that the water in their homes smells and is discolored, especially during the summer months, and families felt that they suffer from medical problems, such as infections, sickness, and discomfort, due to the water quality.
Older children/youth expressed a desire for an improved transportation system. They requested more frequent bus service and better connectivity in their community.
Finally, both children and adults suggested adding new parks and improving existing parks within or near the San Lazaro community. The consensus was that new and improved parks and playgrounds would offer beneficial after school activities for all.
An interesting observation was that while child and youth participants were bilingual, they preferred to complete their worksheets and discussions in English. The adults, on the other hand, preferred to speak in Spanish. This important distinction will help GUB plan for future engagements.
**Student Worksheet Data**
Worksheets that children/youth completed showed that 75% of them currently spend time in East Boulder. Only one of the students gave a response as to why not: “I don’t have anything to do there.” They selected these top five favorite places to visit in East Boulder:
1. Valmont Bike Park
2. Valmont Dog Park
3. Boulder Creek/South Boulder Creek Paths
4. Boulder Community Hospital
5. Parkway Cafe
Students identified their top five favorite types of activities as:
1. Parks and Playgrounds
2. Sports
3. Arts & Culture
4. Restaurants
A relevant implication of these findings is that should Valmont City Park eventually include a splash park and adventure play area, as proposed in the Valmont City Park Concept plan, young people living in San Lazaro Manufactured Home Community will eagerly use the space. Not only is Valmont City Park easily accessible to the residents of San Lazaro, but it would include active play as requested by children and parents (see below) alike.
**Parent Worksheet Data**
Worksheets that parents completed showed that only 66% of them currently spend time in East Boulder. When asked why not, only one parent gave us insight: “I like to go (to) places or cities where there is more cultural diversity.” Parents’ top five favorite places to visit in East Boulder were:
1. Avalon Ballroom
2. Boulder Creek and Paths
3. Valmont City Park
4. Valmont Bike Park
Parents identified their top five favorite types of activities as:
1. Parks and Playgrounds
2. Nature & Trails
3. Restaurants
4. After School Activities, Education, and Art & Culture (3 way tie)
While the number of parents who participated in the engagement was small (5 mothers), their input suggests some important themes. First, the Avalon Ballroom offers proximal Latinx communities valuable programming, such as zumba, salsa, and bachata classes and celebrations. Additional more culturally relevant activities would be beneficial to East Boulder. Second, parents value parks, playgrounds and trails, and they would like to see even more of them close to home.
Thorne and GUB staff collaborated to create an event at Thorne Nature Experience whereby students engaged in a special bird-banding session for the first half of the two hour event and a work session with GUB on the East Boulder Subcommunity Planning process during the second half. GUB staff facilitated the engagement, and GUB interns and city planners interacted with students during the engagement.
**By the Numbers for Thorne Nature Experience Engagement**
- 15 Thorne Nature Experience/Bird Banding students, ages 11-18
- 2 Thorne staff members
- 1 GUB staff member
- 2 GUB/CU undergraduate interns
- 2 City planners
**Engagement Description**
*Wednesday, October 16, 2019, from 4:00-6:00 pm*
After GUB provided participants a brief overview of GUB and the East Boulder Subcommunity Planning process, students explored East Boulder using a variety of maps. Time was given for students to complete both sides of the student “worksheet,” indicating how they used East Boulder currently and how they recommended East Boulder grow and change in the future. Adults then utilized a “conveyor belt” activity format and discussed student ideas. Facilitators rotated through four table groups with Keep, Improve, and Add charts, as well as a posterboard with the six focus areas from the Boulder Valley Comprehensive Plan. Discussions were robust. Generally, students felt that East Boulder needs to be a more lively, “happening” community with more
things to do. Many student recommendations had that primary goal in mind. At the end of the session, students were served pizza and salad. Several parents, who arrived to pick up their student, joined in eating and socializing.
**Student Worksheet Data**
Seventy-one percent of Thorne youth spend time in East Boulder. When asked, “why not?,” the one reply we gathered was, “I don’t live near here, but come every once in awhile.” They selected these top five favorite places to visit in East Boulder:
1. Boulder Creek/South Boulder Creek Paths
2. Thorne Nature Experience
3. Coffee (Ozo and Baby Goat)
4. Snarf’s Sandwiches
5. Valmont Bike Park
**Students identified their five favorite activity themes as:**
1. Nature & Trails
2. Education & Museums
3. Other (Studying/being with animals and history)
4. Parks and Playgrounds
5. After School Activities
**Student Recommendations for What to Add to East Boulder**
Student recommendations for what East Boulder should add varied widely and expressed youth’s growing interests and passions. They included:
1. Build a Teen Hangout Space
2. Create a Wildlife Preserve
3. Add more Public Art
4. Add a Progresh Store (indoor sports)
5. Make East Boulder more lively to walk through
6. Expand Snarf’s Sandwiches
7. Put money towards conservation of creeks, rivers, lakes, and ponds
8. Add a store specializing in reptiles
9. Improve bike trails
10. Allocate more money for historical site preservation
11. Include more interactive gaming locations, such as Time Warm Video and Comic store
12. Add a Young Eagles program
([https://www.eaa.org/eaa/youth/free-ye-flights/become-a-young-eagle](https://www.eaa.org/eaa/youth/free-ye-flights/become-a-young-eagle))
Boulder Valley Comprehensive Plan Feedback
Students added suggestions for how to improve East Boulder through the lens of six focus areas in the Boulder Valley Comprehensive Plan.
| Small Local Businesses: | Housing Affordability and Diversity: | Arts & Culture: |
|-------------------------|-------------------------------------|-----------------|
| • Have a Young Eagles Program at the airport | • Energy- and water-efficient homes | • Showcase East Boulder artists on busy streets & plazas, like Pearl Street does |
| • More medical resources around the city | | • Have “First Friday” events like in Denver’s Art District, with food trucks, music, and lots of people |
| • More pet shops | | |
| • Sweet Cow-- more variety of flavors | | |
| Resilience & Climate Commitment: | Design Quality & Placemaking: | Balance of Future Jobs Housing: |
|---------------------------------|-------------------------------|---------------------------------|
| • Trip Tracker | • Trampoline parks | • Electric scooters |
| • Nature museums | • Skate parks | • Housing above stores |
| • History museums | • Indoor skiing | • More and wider bike paths |
| • Kruger Cup | • Amusement parks | |
| • Try out wind, solar, and hydroelectric energy | • Street and public art | |
| • More water resources | • Mixed media | |
| | • Murals | |
| | • Sculptures and ceramics | |
| | • Provide tours at Valmont Butte | |
“It was amazing to be involved with the students during this engagement. I believe it’s really important to let youth know that their voice matters. I am certain the students now realize the opportunity they have to improve their city.”
--Environmental Design student, GUB Fall 2019 intern
Engagement Reflections
Pre- and Post-Project Student Questionnaires
Before and after our sessions, Eisenhower Elementary School students participated in pre- and post-project surveys about their perceptions of city issues and the role of children in the community. We limited these questionnaires to the Eisenhower students, as they were the only group with whom we met for more than one session. Students showed strong positive shifts in every category after being involved in the GUB sessions.
Students’ understanding of the role that the East Boulder Subcommunity Plan plays in their community increased greatly, as did their general attitudes towards child involvement in city decisions. Students were very positive about sharing their ideas, especially for stated community goals. The students especially felt that they had a voice in city issues that matter to them. In fact, according to their final reflections, one of the students’ favorite parts of the whole process was that adults really listened to what they had to say. Finally, a majority of students felt they understood what happens to the ideas they shared with the city. The three graphs below illustrate these statements:
“I have a voice in city issues that matter to me.”
| Percentage of Students | Never | Not Usually | Sometimes | Usually | Yes, Always |
|------------------------|-------|-------------|-----------|---------|-------------|
| Before working with GUB | 57% | 11% | 28% | 6% | 46% |
| After working with GUB | 7% | 15% | 22% | 9% | |
"After working with GUB, I understand what happens to my ideas that I share with the city"
"Before working with GUB" and "After working with GUB" are shown in separate bars for each response category.
"After working with GUB, I know that adults listen to what kids have to say."
"Before working with GUB" and "After working with GUB" are shown in separate bars for each response category.
Creating a Template for Future Subcommunity Work
After GUB completes engagements, we reflect upon successes and opportunities for growth. This is particularly important for the Subcommunity Planning process, as the process and materials we used in East Boulder will be used in future subcommunity planning processes in Boulder over the next 20 years. We recommend using the following participatory planning tools and methodologies for future, similar projects.
**Importance of building relationships:** The Eisenhower Elementary Round Table Discussion sessions were successful for several reasons. First, GUB, students, and teachers developed a well-established learning community. With a series of five engagements, GUB staff and CU volunteers met and talked with children repeatedly and were able to build positive rapport over time. Students felt respected and appreciated, which leads to effective teaching, learning, and the creation of meaningful outcomes for everyone involved. The social components of the San Lazaro and Thorne engagements, which included sharing a meal (both locations) and banding birds together (for Thorne), were also key elements to building rapport and offering an inviting space in which to share ideas.
**Variety of learning modes:** Children, youth, and families were offered multiple ways to engage in the East Boulder Subcommunity Planning work. This variety was created intentionally in order to allow participants to express themselves comfortably. Methods included: class discussions, digital presentations, small group lessons, whole group lessons, drawing activities, research sessions, and use of a graphic organizer. The specific tools, such as the worksheet used across locations, proved to be a useful framework to engage children and parents of all ages.
**Paired partner events can lead to better engagements:** The Thorne engagement was a great example of how pairing an exciting partner activity with a public engagement process can lead to successful public engagements. Teens participated in a bird banding session for the first half of the evening, then participated in the GUB East Boulder work during the second half of the evening. This format allowed GUB and city staff to mingle with and learn alongside Thorne staff and students during the bird banding session and then transition smoothly into the city engagement process work.
**Extended classroom inquiry leads to more thorough solutions:** GUB staff noticed a contrast in the richness of responses from children based on the amount of time GUB worked with them. The most thorough design solutions to challenges in East Boulder
came from the Eisenhower children, who spent one month working repeatedly on the EBSP. For example, 2nd graders suggested a playground with a connected coffee shop for parents, a family hotel with an attached water park, volleyball courts with an adult spa next door, and an indoor playground for the winter months. These blended ideas demonstrated that children understand the importance of having spaces that meet the needs of a variety of ages, but that it might take multiple, relationship-rich engagements to realize these more complete solutions.
“This (project) was very valuable to the students and also to myself as a teacher. This is the first time in over ten years of being a 2nd grade teacher that I was able to bring in city planners and planning discussions thanks to the GUB connections and efforts”
~2nd grade teacher, Eisenhower Elementary
**Conclusion**
Engaging children is an important part of public participation as children are active members of the community. Community sessions with relevant and current projects like ours play a key role in helping students understand the dynamics of city decision-making in addition to contributing valuable ideas to the city from key users. GUB consistently finds that children, youth and their families are willing and able participants in community projects if the projects are presented in a sensitive and engaging manner.
In the case of the East Boulder Subcommunity Planning process, young people and their families shared a wealth of ideas and opinions that will serve the City well as it plans the next few decades of change and development in East Boulder. In order for the community to thrive from a young person’s point of view, it should include exciting and challenging playgrounds, located within children’s neighborhoods. It should include safe, relaxing, and nature-filled biking and walking paths that offer opportunities for recreation and connectivity to favorite nearby restaurants, parks, and activity centers. And it should include spaces that encourage multigenerational mixing, such as playgrounds with attached coffee shops. Building upon the key findings in this report, the community will be well-position to include the voices of children, teens, and their parents, in future Subcommunity Planning processes over the next 20 years.
“Something I want students to remember is that kids really can make changes in and impact their city!”
~Member, East Boulder Working Group
Partners and Appreciation
This project was the result of a collaborative process. Several institutional partners made this possible including City of Boulder staff, Eisenhower Elementary School, EcoArts Connections, and members from the East Boulder Subcommunity Working Group. GUB would like to especially thank the partners who directly gave time and energy to make this engagement possible, and including the 2nd grade students at Eisenhower Elementary School, Thorne Bird Banding Club, and the residents from San Lazaro Manufactured Home Community for sharing their recommendations for the East Boulder Subcommunity Plan.
- **City/Community Experts (for Eisenhower Round Table Discussions)**
- Louise Chawla, Founder GUB, CU Professor Emerita
- Lucy Conklin, East Boulder Working Group member
- Julie Dullien, East Boulder Working Group member
- Alice Huang, City of Boulder, Planning Dept
- Sarah Huntley, City of Boulder, Engagement Manager
- Kathleen King, City of Boulder, Planning Department
- Adam Kroll, East Boulder Working Group member
- Kenneth MacClune, East Boulder Working Group member
- Jean Sanson, City of Boulder, Transportation Department
- **City of Boulder**
- Ryan Hanschen, Engagement Specialist
- Alice Huang, Planning Department
- Sarah Huntley, Community Engagement Manager
- Kathleen King, Planning Department
- Holly Opansky, Administrative Specialist
- Jean Sanson, Transportation Department
- **EcoArts Connections**
- Ariana Garcia, Project Assistant and Promotora
- Marda Kim, Executive Director
- **Eisenhower Elementary School, Boulder Valley School District**
- Ashley Novak, 2nd grade teacher
- Miriam Parker, 2nd grade teacher
- Donna Patterson, 2nd grade teacher
• Brady Stroup, Principal Eisenhower Elementary
• Growing Up Boulder Staff/Team
o Tiffany Boyd, GUB Volunteer and Master Teacher
o Tori Civitello, ENVD Undergraduate GUB Intern
o Cathy Hill, GUB, Education Coordinator
o Federica Merola Brewer, ENVD Undergraduate GUB Intern
o Mara Mintzer, GUB, Program Director
• Thorne Nature Experience
o Dr. Oakleigh Thorne, Founder
o Gwenn Tenney, Program Manager--Field trips and Volunteers
• University of Colorado
o ENVD Undergraduate Volunteers
■ Leandre Mills, Former GUB Intern, CU Environmental Design student
■ Lauren Oertel, CU Environmental Design student
o School of Education Undergraduate Volunteers
■ Ava Deangelis
■ Jenna Dove
■ Eliza Engelsher
■ Elizabeth Karzak
o School of Education Staff
■ Ashley Cartun, Director of School Partnerships and Accreditation
■ Erin Kurtz, PhD Student
• Youth Opportunities Advisory Board (YOAB) Member
o Paola Garcia Barron, Boulder High School student
Appendix
If you would like more detailed data, please email firstname.lastname@example.org.
A. Be Heard Boulder website
B. Blank notecatcher for research and presentations
C. Blank student/community/family worksheet (English and Spanish)
D. EBSP City web page
E. Eisenhower Elementary, Ms. Novak’s class data
F. Eisenhower Elementary, Ms. Parker’s class data
G. Eisenhower Elementary, Ms. Patterson’s class data
H. Cumulative answers across engagements to “worksheet” page 1 questions
I. Final Recommendations by all 2nd grade Eisenhower student for the East Boulder Subcommunity Plan data
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Separation Anxiety and Transitions
Parent Guidance
Coronavirus support: Separation anxiety and transitions
This factsheet has been developed to support you as parents or carers during and following the coronavirus pandemic.
During lockdown children that usually attend nursery will be having different experiences. Some will have stayed in their nursery with a reduced staff team. They may not have had their usual key person to support them and they may be missing their favourite friends to play with.
Children who are in lockdown at home will be experiencing a change to their regular routines and may also be missing the relationships and adventures they have at nursery. Regardless of how children have spent lockdown they will need supporting to make the transition back into their regular routines and patterns, re-establishing friendships and relationships.
The information and advice in this factsheet is aimed to assist parents and children during this time and help a smooth transition back to nursery when they fully reopen.
What is separation anxiety?
The National Health Service describe separation anxiety as a fear, in young children, of being separated from their primary carers and is most common between the ages of six months and three years. They state that it is a normal part of a child’s development and children usually grow out of it. This is often displayed by tearful goodbyes when you as a primary carer may try to leave the room or leave them to be cared for by a relative or at a childcare setting. Although unsettling, with a few support strategies many children will soon settle. You may have already gone through these stages when your child first started at nursery.
However, separation anxiety can affect anyone at any time and is especially common after significant events for example transitions, divorce, moving house and/or traumas including a death of a close family member or abuse.
The coronavirus lockdown and changes in most children’s day to day lives may see an increase in the amount of children experiencing separation anxiety. This may include some children displaying separation anxiety behaviour during the pandemic and/or when they return back to their childcare setting.
Separation anxiety can be displayed through children’s feelings and behaviours. These may include:
- Clinginess to primary carer e.g. Mum and Dad
- Tears, upset, extreme tantrums
- Sickness
- Withdrawal e.g. not wanting to join in with activities
- Disruptions around sleep, nightmares
- Food refusal
- Inappropriate behaviour
- Regression, for example toilet accidents
**Separation anxiety disorder (SAD)**
The main difference between normal separation anxiety and separation anxiety disorder is the intensity of the child’s fears, which can often prevent them from participating in normal activities. This is usually more associated with teenagers and is diagnosed by a doctor. If you have any concerns about your child displaying a lot of distress and upset for more than few weeks, seek further advice and support from your health visitor or doctor.
**How to support children through separation anxiety?**
During this lockdown period, for those children that haven’t attended nursery many childcare settings will have still tried to keep in contact with you and your children to continue the great relationships you have. They might have shared online stories, photos, activity ideas and kept in touch via emails and newsletters. These will all provide a great foundation on which to build when children fully return to nursery.
It is expected that the Government will provide some notice of when childcare providers can fully re-open, so that time can be spent gradually reintegrating both staff and children. This will provide the emotional support you and your child may need rather than having all the children return on the same day.
Throughout the coronavirus pandemic you may have experienced difficult times such as being a key worker and still going out to work, having to balance working from home along with home schooling, uncertainty around future work, financial worries, personal illness or having to self-isolate. You may also have experienced bereavement or loss of a loved one. Try to have a one-to-one meeting (this could be a telephone call or an online meeting using platforms such as Skype, Zoom or Microsoft Teams) with your child’s nursery to discuss these issues and to help ease the transition for both you and your child.
In an ideal world it would be nice if you could have settling visits with your child at nursery again - just as you will have done when they first started. However, in order to follow government guidance, this may not be possible. You know your child and your individual circumstances best, so share these with your child’s nursery. Try to find the right balance and express your views and feelings about what you would like. Your child may be really excited about returning back to nursery and may not require any specific support.
If you feel your child would benefit from additional support prior to restarting nursery, talk to staff at nursery. You may be able to have a video call with your child’s key person to re-establish those connections and to fill them in on what your child has been doing during lockdown. Ask for information or photos from nursery that you could share with your child in advance, for example their learning journey or photos of what the nursery will look like on return.
Other ideas to help smooth the transition between home and setting, helping to support any separation anxiety include:
- Always saying goodbye to your child when you leave them at nursery again, rather than just going (however hard it may be). Tell your child when you will be back
- If your child takes a comforter from home, choose something together that can be easily cleaned to prevent any cross contamination
- Try to have a couple of shorter days to begin with, if at all possible, and build up again to the full session
- Share key milestones and photos with nursery of what your child has achieved during lockdown. For example, they may have learnt to walk, be saying new words, learnt a new song. All of these can be celebrated at nursery and used to help your child feel safe and secure at nursery again.
It is expected that nurseries will be offering lots of safe and open ended experiences during this transition period as well as lots of stories, songs and relaxing times to help ease the transition. Time outdoors will also be really important to help children feel safe and secure through this transitional period.
There are lots of activities around relieving anxiety that you may also like to try at home including mind jars, rain shakers and sensory tubes, which may also be helpful. Activities or stories where children can talk about and express their feelings will all help too. There are lots of ideas available online.
A mind jar is a meditation tool to use whenever a child feels stressed, overwhelmed or upset. Imagine the glitter as your thoughts. When you shake the jar, imagine your head full of whirling thoughts, then watch them slowly settle while you calm down. All you need is a jar, glitter glue, food colouring and warm water. Mix them all together and use with children to help them feel calm.
Transitions
Your child may have been ready to transition to another room during the lockdown period. Childcare settings will need to decide what is the best option for each individual child. Initially, to smooth the transition, it may be better for your child to return back to the original room they were in, with the key person they know well. However, this will depend on your child’s age and stage of development, where their peers will be and any government guidance that nursery settings must implement. Talk to your child’s setting about any questions or concerns you may have.
Depending on when childcare settings fully reopen, if your child is due to start school in September, they may only return to nursery for a short period. Some children may unfortunately not return to nursery at all.
For those children starting school please see our parent factsheet – C19 starting school - at www.ndna.org.uk/factsheets
Preparing for the first day back at nursery
The lockdown restrictions have meant changes for all of us and no doubt it will have changed everyone’s usual routine for work, nursery and school. Once you have a date for the return it would be good to try and re-establish routines including bed times and meal times, in preparation for returning to nursery.
Talk with your child about the transition back to nursery. Ask them how they are feeling and try to offer lots of reassurance. Talk about all the things they used to enjoy and what they will be able to do again, including playing with their friends and spending time with their key person.
Summary
The lockdown time has been an unprecedented time for everyone. Try not to worry about gaps in your child’s learning and assessment records during this period. Your child will have developed and learnt lots of new skills at home with you. Share as much information as you can with your child’s nursery or school about your child’s interests and key milestones, so that they can continue to support your child.
The coronavirus has caused change and uncertainty for many of us, however the work the childcare sector has done to support the key worker children and maintain the relationships with children staying at home has been outstanding.
It is going to take time for children to settle again but we know that nursery practitioners and teachers across the country will achieve this challenge through the love they provide for the children and the amazing activities and experiences they offer.
Thank you for taking the time to read this factsheet. It is hoped you have gained some new ideas to further support you and your child.
**Further support**
BBC, Bitesize videos and games (online) UK, 2020, Last accessed 22.4.20
[www.bbc.co.uk/bitesize/collections/starting-primary-school/1](http://www.bbc.co.uk/bitesize/collections/starting-primary-school/1)
HM Government, Hungry Little Minds (Online) UK, 2010, Last accessed 24.4.20
[https://hungrylittleminds.campaign.gov.uk/](https://hungrylittleminds.campaign.gov.uk/)
NHS, Separation Anxiety (online) UK, 31.8.18, Last accessed 17.4.20
[www.nhs.uk/conditions/pregnancy-and-baby/separation-anxiety/](http://www.nhs.uk/conditions/pregnancy-and-baby/separation-anxiety/)
**Disclaimer** - Legislation and policy guidance change regularly. It is the responsibility of the parent to review the latest COVID-19 guidance from the Government when undertaking these activities.
The information is relevant as of 11 May 2020. Should changes in legislation or policy guidance emerge after this date, this factsheet may not fully reflect these. It is advised that you continue to review the latest COVID-19 guidance from the Government.
Our factsheets are written by early years experts for the early years workforce. Most NDNA factsheets are free to our members.
NDNA is the national charity and membership association representing children’s nurseries across the UK. We are a charity that believes in quality and sustainability, so we put our members’ businesses at the very heart of ours.
We are the voice of the 21,000-strong nursery sector, an integral part of the lives of more than a million young children and their families. We provide information, training and advice to support nurseries and the 250,000 people who work in them to deliver world-class early learning and childcare.
See the full range of NDNA factsheets at www.ndna.org.uk/factsheets
The information provided in this factsheet is for use by early years practitioners only. It has been written by early years experts but is not intended to be, and should not be relied upon, as a substitute for professional advice. NDNA has endeavoured to ensure the accuracy of the information presented in this factsheet. NDNA assumes no legal liability or responsibility for your interpretation or use of the information contained within it.
National Day Nurseries Association
National Early Years Enterprise Centre, Longbow Close, Huddersfield HD2 1GQ
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Until the Romans came, there was no written evidence for the Gaunless Valley and only a little under the Romans. More became available after the Battle of Hastings in 1066 (the Norman invasion) and increased once Parish Records began in the 16th century. It is only with mass literacy that much of the story of ordinary people really entered the written record.
Our island story is one of repeated invasion – with many of the invaders becoming assimilated but also making their mark on our culture and language.
**PRE-HISTORY**
As the last Ice Age came to an end, hunter-gatherers entered the area, moving around in search of food and leaving stone tools behind. They hunted the herds that occupied the area. As the climate improved they began to settle down and began to farm. The coastline was further out to sea than it is today.
C 4000 BCE People began to domesticate animals – they tended flocks in the Upper Gaunless
C 2000 BCE Current evidence suggests that people began to settle down – evidence of their habitations found. They used metals.
**THE ROMANS AND FARMERS**
The people living in our area, at the time the Romans invaded for the second time, under Claudius were an Iron Age tribe called the Brigantes. They were Celts, a people who invaded Britain from Northern Europe. They were settled farmers. Books like ‘A Street Through Time’ give a really good impression of what their villages looked like.
43 CE Romans invaded and stayed and gradually moved northwards into the North East. They created a network of roads and forts of various sizes e.g., Dere Street, which linked the major Roman fortress at York to Piercebridge and Binchester. Some Roman soldiers came from places such as North Africa and some of the soldiers married and settled here.
410 CE The Roman legions departed, leaving behind a great deal of evidence of their occupation, although gradually Roman civilisation disintegrated. There’s evidence that some Celtic people may have adopted Christianity from this period, giving up their pagan ways.
Reconstruction of a farmstead dated to the time of the Roman conquest (AD43)
After the Roman legions left life went on as normal for many people – how quickly it changed depended on where you lived and who you were. For the two centuries after the Romans left there was little written evidence to rely on. We call this period the ‘Dark Ages’ because of the lack of written evidence and the end of Roman civilisation.
The next set of invaders were the Anglo-Saxons from Northern Europe and Germany. They too intermarried with the Celtic tribes and their culture had a significant impact. The foundations of what we recognise as England and our language were laid down at this time. Anglo-Saxons were mainly farmers, traders and craftsmen.
‘Pagan’ is the name we give to people who worship many gods rather than one god – as did the early Anglo-Saxons and the next set of invaders, the Vikings from Scandinavia. However, all of this began to change when in the 7th century Christian missionaries began to arrive from both Rome and Ireland. The kingdom of Northumbria became a great seat of learning.
The Anglo-Saxons left much material evidence of the increasingly dominant religion behind them, including wonderful art works such as stone crosses. In South-west Durham there is a very small Anglo-Saxon stone church in the village of Escomb. Anglo-Saxons built monasteries such as the one on the island of Lindisfarne, off the coast of Northumberland. The most famous Anglo-Saxon saint is Saint Cuthbert who is buried in Durham Cathedral.
| Century | Event |
|---------|-------|
| 7th | Christian missionaries began to arrive from both Rome and Ireland. |
| 9th | Viking raids began. They affected the Tees Valley more than the Wear Valley. |
| 10th | Viking raids continued – again affecting the Tees Valley more than our area. |
Studying place names can give clues to where the Anglo-Saxons and Vikings settled. For example in the Tees Valley there is Raby Castle and the Raby estate. There is a small village called Killerby. Some people probably practiced both forms of religion – Paganism and Christianity – and many pagan beliefs and practices were assimilated by the new faith.
The Normans were originally Viking warriors exiled from their homelands (the land we now call France) and in 1066 one of them, the Duke William of Normandy, claimed the throne when King Edward the Confessor died. He defeated the Anglo-Saxon King Harold in battle at the Battle of Senlac Hill (or Hastings) in Sussex.
A rebellion in the north against William’s rule was harshly defeated and a Norman army laid waste to much of the north to curb rebelliousness. We think many people died of starvation and disease and significant areas of land were laid waste.
William also created the post of Prince Bishop of Durham – a bishopric that was much bigger then than it is today. The Prince Bishop’s role was to defend the area from the Scots north of the border and also keep order within his lands. As a churchman, William hoped the Prince Bishop would not be personally ambitious and want to replace him.
William introduced the feudal system to our country – it impacted in different parts of the country to different extents. He also ordered the collection of information to enable him to decide how much to tax his new subjects. This information is recorded in what we now call the ‘Domesday Book’. However, the information collectors did not cross the River Tees so it is not available for us to use for the Gaunless Valley.
Under the Feudal System, loyal followers of the king received land in return for services and this included military service. Most people still earned their living as farmers, traders and craftsmen and during this period towns began to grow – the biggest being London with perhaps 50,000 people in 1485. As a mighty landowner, the Prince Bishop of Durham had great influence in the Gaunless Valley – indeed, Richard Poore, Bishop of Durham, gave land to a certain Robert de Cockfield, who gave his name to the village of Cockfield, granting him the land between 1220 and 1226. One Prince Bishop gathered information in the manner of William the Conqueror – which is now contained in the Bolden Book.
Wealth was based on land and land ownership or which family you were born into – with trade becoming increasingly important as time passed. One way to improve your life chances was to join the Church – as a monk or a priest. A famous example of this is Henry VIII’s Cardinal Wolsey.
During this period transport systems from inland to the coast were generally poor – no more Roman roads!
14\textsuperscript{th} Century Coal mining started on Cockfield Fell – the remains of bell pits are scattered over the Fell.
16\textsuperscript{th} Century Conflict over religion – Henry VIII needed to annul his marriage to Catherine of Aragon to marry Anne Boleyn to secure a legitimate male heir. Gradually Roman Catholicism gave way to a version of Protestantism we now know as the Anglican Church. Not attending the church became punishable by fines and Roman Catholic priests were arrested, tried for treason and executed under Elizabeth I. Roman Catholicism survived underground to re-emerge once again when religious freedom was granted much later. It probably survived longer in the north than in the south.
17\textsuperscript{th} Century By this time many of our great cities were established and growing. Trade in coal, wood, iron, woollen cloth and other goods were well established. Lead was also being mined. The mid-17\textsuperscript{th} century however saw the conflict of the Civil War – which had its effects up here too to varying degrees.
Importantly, however, a man with a sharp mind and a will to succeed could raise himself to a position of wealth and influence, without being born into it.
**THE 18\textsuperscript{TH} – 19\textsuperscript{TH} CENTURIES**
This is the time that was known as the Agricultural, Transport and Industrial Revolutions, during which England was a world leader in innovation and excellence, influencing the development of the world. The Slave Trade was still operational, with a great deal of money being made by this country by exploiting the misery of our fellow human beings. It was the time of the developing British Empire.
During the 19\textsuperscript{th} century rapid urbanisation took place and we changed from being a largely rural to a predominantly urban society. Population grew rapidly and many people moved from villages to towns.
Roads were improved first (Turnpike toll roads), then canals were built and finally the steam railway superseded both. Gangs of ‘navvies’, who wandered the country from job to job, were the ‘back-bone’ builders of our canals and railways.
Money was pouring in from the Empire, especially the Americas, even after the American Revolution (1765-1785), and entrepreneurs were looking for new ways to invest it.
The opening of the Stockton-Darlington railway line, 1825
**18th/19th Century**
Towns were growing, boosting the demand for coal. New ways of making steel were developed, boosting the demand for coal. New cotton and wool factories were using steam power, increasing the demand for coal. Steam engines and locomotives were invented, boosting the demand for coal. King Coal was born. The impact on the Gaunless Valley was huge.
**1825 KEY DATE**
The Stockton & Darlington Railway, linking businesses, along the route from Witton Park to Stockton was opened, ushering in the modern railway age of not only the distribution of goods but travelling passengers too.
Other industries were hugely stimulated e.g., the brick industry and the slate industry.
---
**THE TWENTIETH CENTURY**
At the start of the century, mining was the biggest employer in the country and railways were everywhere. However, by the end of the century most colmines had closed, and Mr Beeching closed down many passenger branch lines in the 1960’s. Our own ‘High Line’ closed during this time. All of this hugely impacted on the Gaunless Valley, with many jobs disappearing. People continued to farm and had to find other ways to make a living.
---
**THE TWENTY FIRST CENTURY**
- We are trying hard in our area to make the most of what we have that is so special to stimulate regeneration and make sure that people know and are inspired by it.
- Historic England has awarded our area two Heritage Action Zones (HAZ), one for the historic centre of Bishop Auckland and the other for the length of the Stockton & Darlington Railway.
- In Bishop Auckland the Auckland Project is trying to use the history associated with the Prince Bishops to do this. A new Faith Gallery and a rejuvenated walled garden in the Prince Bishop’s former castle, a Mining Art Gallery and a new Spanish Art gallery will all contribute to this.
- Cockfield Fell, an ancient scheduled monument, encapsulates much of our history and the Stockton & Darlington Railway will be enjoying its 200th anniversary in 2025, amidst great celebrations, which we hope you will all join in. | c8dd49a8-63d3-4fd3-a47b-619736534845 | CC-MAIN-2024-18 | http://wear-rivers-trust.org.uk/wp-content/uploads/2023/01/HISTORY-timeline-master.pdf | 2024-04-24T02:40:22+00:00 | crawl-data/CC-MAIN-2024-18/segments/1712296818999.68/warc/CC-MAIN-20240424014618-20240424044618-00784.warc.gz | 35,952,323 | 2,352 | eng_Latn | eng_Latn | 0.998682 | eng_Latn | 0.998769 | [
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One of the more exciting Roman excavations now underway is ironically not in Italy, but in Britain, not far from Hadrian's famous Wall. Here, at a site called Vindolanda, a team of archaeologists under the direction of Professor Robin Birley is painstakingly clearing the remains of a Roman fort and its attendant civilian settlement. Not only are the physical remains of these structures noteworthy, but in addition thousands of artifacts are being uncovered in a remarkable state of preservation.
Vindolanda seems to have been one of a series of Roman forts that were spaced some seven miles apart along the course of Hadrian's massive defensive wall. Defense was vital at this northernmost frontier of the Roman Empire, and there is evidence to suggest that a Roman garrison was stationed here from the 1st to the 5th centuries A.D. Like all Roman forts, Vindolanda had a large central headquarters building, fortified gates, and soldiers' barracks; unlike other excavated forts, however, Vindolanda also had a large civilian settlement outside its wall, thus furnishing clear evidence for the first time of the complex relationship between a Roman garrison and the native population.
The excavators have, in fact, been concentrating on the civilian settlement, as Professor Birley has indicated in an extensive article in *Scientific American*, February 1977. He reports that there were two distinct phases in the development of the civilian area, that, indeed, there were two successive towns, the later built upon the ruins of the earlier. The earlier phase is today called *Vicus I*, the second phase *Vicus II*. *Vicus I* was settled in the middle of the 2nd century A.D. and included, in addition to private dwellings, a large bathhouse (for soldiers and civilians); a *mansio* or inn, with six guest rooms for travellers; and numerous stores and temples.
In 280 A.D., or thereabouts, *Vicus I* was completely rebuilt into *Vicus II*. *Vicus II* seems to have been much more industrially oriented than its predecessor: it featured several workshops specializing in bronze and iron goods, and its population was composed of skilled craftsmen as well as farmers and general labourers. The function of this *Vicus* was crucial to the well-being of the fort itself: as Birley points out, the town would serve to support the garrison by providing food, manufactured goods, and social diversions of numerous kinds. The morale of the Roman soldiers would undoubtedly be improved by the presence of the *Vicus* nearby.
In the course of recent excavations, the archaeologists came across an unexpected bonanza: a deposit of organic materials which had been well preserved by an acid-free and oxygen-less burial. These materials included textiles, wood, and leather goods -- all of which are perishable and rarely come to light in modern excavations. Thus the Vindolanda finds are filling a large gap that had heretofore existed in our knowledge of Roman life on the frontiers.
A detailed listing of all the interesting finds is impossible to give here, but some of the more important include hundreds of pieces of leatherwork, especially in the form of shoes. In addition to heavy soldiers' boots, the excavators have uncovered many sandals, women's shoes, and children's booties. Harnesses and other leather goods have also been found. The textile industry likewise flourished at Vindolanda: many fragments of wool in different weaves have turned up in good state of preservation. Other finds have included gaming boards with dice, wooden combs and barrel staves, hammers, keys, coins, and lots of chicken bones! Now we can not only reconstruct how the soldiers amused themselves, but even what they ate.
The most startling discovery, however, was what looked at first to be a pile of wood-shavings. On closer inspection, it was noticed that some writing was visible on the faces of these very thin pieces of wood, and so was found a very important (and indeed unique) group of Roman documents. More than 200 in number, these documents contained private and official letters, formal orders to the troops, and various records of the garrison. Each "wafer" was only about 6 x 10 centimeters in size, and was written by a quill pen using carbon ink. The excavators hope that extensive study of these documents will reveal much about life at Vindolanda.
The site at Vindolanda covers about 20 acres, and the excavators admit to having years of work ahead of them. This is one excavation that will bear watching in the years to come! | <urn:uuid:4e713f5e-e861-4314-999a-5088348ff33d> | CC-MAIN-2019-43 | https://uwlabyrinth.uwaterloo.ca/labyrinth_archives/vindolanda.pdf | 2019-10-19T05:26:43Z | crawl-data/CC-MAIN-2019-43/segments/1570986688826.38/warc/CC-MAIN-20191019040458-20191019063958-00550.warc.gz | 758,521,309 | 956 | eng_Latn | eng_Latn | 0.999101 | eng_Latn | 0.999188 | [
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FISH AND SHELLFISH IDENTIFICATION
© Sea Fish Industry Authority 2002
Fish and Shellfish Identification An Open Learning Module for the Seafish Open Tech Project
This work was produced under an Open Tech contract with the Manpower Services Commission. The views expressed are those of the authors and do not necessarily reflect those of the MSC or any Government Department
ISBN 1 85280 003 8
| Contents | Page |
|-----------------------------------------------|------|
| THE AUTHORS | iii |
| GENERAL GUIDE | v |
| INTRODUCTION | viii |
| Equipment Required | viii |
| SEGMENT ONE – IDENTIFICATION OF FISH | |
| Introduction | 1 |
| Objective | 1 |
| Parts of a Fish | 2 |
| Use of the Sea Fish Identification Key | 7 |
| Demersal and Pelagic Fish | 10 |
| SEGMENT TWO - IDENTIFICATION OF SHELLFISH | |
| Introduction | 11 |
| Objective | 11 |
| Parts of a Mollusc | 12 |
| Parts of a Crustacean | 13 |
| Use of the Shellfish Identification Key | 16 |
| RESPONSES TO SELF ASSESSMENT QUESTIONS | 19 |
| APPENDIX 1- SEA FISH IDENTIFICATION KEY | 25 |
| APPENDIX 3 - SHELLFISH IDENTIFICATION KEY | 35 |
The Authors
At the time this module was written -
John Foster had been in Further Education for over 22 years. For the majority of that time he has had special responsibility for learning resources at Napier College, Edinburgh.
Nia Whiteley was a research student in the Department of Zoology and Comparative Physiology at the University of Birmingham. She was involved in the study of biology of marine invertebrates especially those that are of economic importance to the shellfish trade. She had a particular interest in the factors affecting the commercial shipment of lobsters.
A Guide for Open Learners
This will help to explain what open learning is all about. It will help you to make the best use of your open learning module.
WHAT'S SO GOOD ABOUT OPEN LEARNING?
Open learning gives you freedom to choose.
You study:
• What you like
• Where you like
• When you like
• At a pace to suit you.
You can pick the subjects you want. You don't have to be in a certain classroom at a certain time. You won't be bored because the teaching is too slow, or lost because it's too fast.
You seldom need any qualifications before you are allowed to study.
All this freedom lets you fit your studying into your daily routine.
The best thing about it for most people is that they can study without taking valuable time off work.
Modules are written in a way that allows you to study without help. However, it is expected that you will need assistance from time to time, this can normally be provided.
THINGS YOU SHOULD KNOW ABOUT YOUR MODULES
What is a module?
A module is the name we have given to a study package. It will have a printed text. In a few of them there will be audio or video tapes as well.
Each module will be divided into segments. You could think of each segment as a lesson.
Before you begin
Each module will have a short introduction. You will be given a list of things you will need. For some modules, special equipment will be needed. We can supply most of this. This section will also tell you if you need any knowledge or experience before you begin. Check that you have everything you need.
Objectives
Modules are based on objectives which tell you what you will be able to do when you have finished. These are clearly stated. You should check that the module objectives match your own reasons for studying.
S.A.Q.'s
This is short for self assessment questions. These questions are carefully designed to help you. They let you know how you are getting on. They help you to find out any problems that you may be having with the material and help you to put them right.
Don't be tempted to skip these questions. Don't look at the answers before you try them! You will only be cheating yourself.
Where you are expected to write an answer, a space will be left in the text. Remember the module is your learning tool, not a textbook, so go ahead and write on it. Don't try to keep an answer in your head until you have checked it. Always write down your answer first. Writing the full answer down is very important, it makes you really think about what you are doing. The wide margins are also there for you to make notes in.
You will notice that the numbers given to the S.A.Q.'s are out of order. We did this on purpose. This is to stop you from accidentally seeing the answer to the second S.A.Q. when you are looking at the response to the first. The responses to the S.A.Q.'s are at the back printed on yellow paper. They are in the correct number order. I have called them responses because they are usually more than just answers. It is a good idea to read the whole response every time. It usually helps to know about common mistakes even though you got the right answer.
S.A.Q.'s are shown by a box with a question mark and the number of the question.
? SAQ1
**Important information**
Other boxes are used to show different types of information. This box with the ! in the top left corner contains important information.
!
**Warnings**
This box with the warning sign gives information about possible dangers, health hazards, etc.
⚠️
**Definitions**
A box with smaller print is used for definitions and extracts from documents.
smaller print
**Other emphasis**
Shading like this is used to pick out important sentences and paragraphs.
**Bold type** is used to make **important words** or **numbers** stand out.
Introduction
This module describes the main features of round and flat fish, molluscs and crustaceans. Images of fish are included with this CD version of the module showing pictures of different species.
The images are in two groups: Printed cards are available for sale from Seafish).
- 36 species of fish
- 17 species of shellfish
There are two separate identification keys to accompany these images given in appendices 1 and 2 at the end of the module. Obviously it is not possible to show all the variations in colour which may be in a particular species. However, by working through both the fish identification key and the shellfish identification key, you should be able to recognise the actual species when you come across them during your work.
EQUIPMENT REQUIRED
The only special equipment required is the set of images which is supplied at the end of this CD file. Each image is numbered at the top of the page.
Segment One
Identification of Fish
Segment One
Identification of Fish
INTRODUCTION
If you work or intend to work in the fish industry, it is essential that you can identify the different species of fish that are landed for processing and eating. Different species of fish have their own features and need handling in different ways. To identify fish we shall make use of an identification key which is given in Appendix 1. To use this you need to know the names of the different parts of a fish and which features are important so that you can tell the difference between the species. You will find, in the accompanying pack with this module, pictures of different fish. The pictures are not to scale.
OBJECTIVE
When you have completed segment one you should be able to identify species of edible fish commonly seen in the UK seafish industry.
PARTS OF A FISH
Figures 1 and 2 show the outline features of a fish. The first figure shows the fins of the fish and the second shows other features.
Figure 1: The Fins of a Fish.
Only two fish in this segment have adipose fins. They are numbered 21 and 23. You may wish to print off these images and label the adipose fins on each.
Fins are very varied in shape and size. Some are long fins with long spines, some are short, some have a broad base and some have a narrow base. Figure 3 shows the two main dimensions of a fin i.e. the length and breadth.
**Figure 3:** The Fin of a Fish.
The diagram of Figure 1 only shows one side of the fish. Hidden from view is one pectoral fin and one pelvic fin. If you were to look head on to a fish you would then see that these fins come in pairs as shown in Figure 4.
**Figure 4:** Head on View of a Fish showing Pairs of Pelvic and Pectoral Fins.
As you can see there is rather a lot to take in! Don't worry, you can always look back to the Figures and bit by bit you will remember the names of the parts.
Now for the first SAQ.
? SAQ1
Select the picture shown by the number in the first column of the table below and then complete the rest of the table. I have done two examples for you.
| PICTURE NUMBER | NUMBER OF DORSAL FINS | NUMBER OF ANAL FINS | NUMBER OF PECTORAL FINS | NUMBER OF PELVIC FINS | NUMBER OF ADIPOSE FINS | PRESENCE OF A JAW BARBEL (YES or NO) | NAME OF FISH |
|----------------|-----------------------|---------------------|-------------------------|-----------------------|------------------------|--------------------------------------|-------------|
| 1 | 2 | 1 | 2 | 2 | 0 | YES | LING |
Note, in this example how the pelvic fin can be well forward of that shown in Figure 1.
23 1 1 2 2 1 NO SALMON
Now complete the following:
| 6 | | | | | | | | |
|---|---|---|---|---|---|---|---|---|
| 8 | | | | | | | | |
| 12| | | | | | | | |
| 19| | | | | | | | |
| 21| | | | | | | | |
| 28| | | | | | | | |
| 32| | | | | | | | |
I expect by now you know that there is a wide variety of fin shapes and sizes, and that different fish have different numbers of fins. In spite of this we still need to look at other features.
Many of the features we have been discussing mainly relate to round fish. A side view of a round fish, i.e. showing the tail broadside on, also shows only one eye.
Fish like plaice, turbot etc. are known as flat fish. These are fish that swim on their sides and they live on or near the sea bed. As you can imagine if you were a flat fish resting on the sea bed it would not be very pleasant to have one eye resting on the sand! You would also have only one eye to see with. Very young flat fish have eyes on both sides of their head but as they grow, the eyes move to one side. In some types, the eyes move to the right and in others to the left, as shown in Figure 5.
You will notice in practice that this causes some flat fish to be gutted on the bottom or white side, for example the megrim, whilst most are gutted on the dark side, for example the plaice.
The flat fish rests on the bottom 'eye side up'. The top (or eye side) surface is usually in brown shades of colouring and the other side is white or cream.
Pictures of flat fish normally show the eye side. Look at picture 10. Both eyes can be seen and we can also see the flat of the tail. Remember a side view of a round fish only shows one eye.
? SAQ 4
Look at picture 26. A catch question!
We are looking down on top of the fish (not its side). The tail fin is edge on.
Is this fish a flat fish or a round fish?
..................................................................................................................................
One key feature we have not discussed so far is colour. There is a great variety of colours and these, as we will see, are very useful in identification.
We are now going to divide our fish into two main groups, round fish and flat fish.
? SAQ 11
Divide your pile of pictures into the two groups of flat and round fish. Write down the picture numbers for each group.
Flat ..................................................................................................................................
Round ..................................................................................................................................
Use of the Sea Fish Identification Key
As I pointed out earlier you will use a key to identify your fish. You already have the names of some and have some idea of the parts of the fish we need to look at. You have just sorted out your pictures into flat and round fish. You already know something about the skate. Assuming we are going to examine round fish first, look at the first two questions in the key (Appendix 1).
Find picture 26. Examine the key questions 1 and 2. Does it fit? Is the fish shown in picture 26 a skate?
Now look at the key question 3.1 mentioned earlier that colour was also important in helping us.
Go through the round fish pictures and find the fish that are red in colour. Using the key, identify the fish and write their names on a sheet alongside their number. Check your names with mine and correct any mistakes you may have made.
So much for seeing red! The procedure is now just the same for the remaining round fish.
I will go through another set of fish with the particular main feature of having three dorsal fins, i.e. fish of the Cod Family.
Go through the cards of round fish and take out those with three dorsal fins. Start at question 10 each time. Use the key to name these fish. Write the names on the back of the cards. Some fish have more than one name. Write down all the names.
Take the rest of the round fish pictures and, using the key, by starting each time at question 9, find the names of all the fish. Write the name (or names) for each fish on the back of the card.
Now for the flat fish. If you examine question 1 of the key you see that you are sent to question 37. We will make that our starting point. We have ten flat fish to identify.
? SAQ 7
Look at each flat fish picture and, using the key, start at question 37. Name all of the fish. Write the name of each one on a sheet of paper. These are not so easy to identify as the round fish. They will take a bit more practice.
So far so good! You now have the means of identifying quite a number of fish. There are some snags, fish can get damaged and loose a fin or two or even a head or a tail! The problems of identification are then more difficult! Take your identification key and try to identify some real fish instead of just pictures. Enjoy yourself.
Almost the end of this segment. One more SAQ and then something on demersal and pelagic fish.
? SAQ 3
Put all the pictures in number order. Without looking at the names on your sheet write down the name of each one on another piece of paper. You can use the key if you wish, or if you can remember some, so much the better. When you have finished, check your answers with the names on your sheet.
DEMERSAL AND PELAGIC FISH
These terms simply mean:
a. Demersal fish live on or near the seabed;
b. Pelagic fish swim nearer the surface of the sea, usually in shoals and have a lot of oil in their flesh.
To reduce wastage of fish it is essential to know which types of fish are demersal and which are pelagic. You will have to remember there are fewer types of pelagic fish than demersal landed in the U.K.
a. All flatfish are demersal (no problem here).
b. In the round fish group the pelagic types are
The mackerel Picture no. 2
The sardine Picture no. 16
The pilchard Picture no. 17
The herring Picture no. 29
The sprat Picture no. 33
Not very many to remember but these are very important types of fish and some of them are landed in large quantities.
Find these five fish images and write on a sheet of paper that they are pelagic and their numbers. The remainder are demersal fish.
Every now and again take a look at the images, go through them and try to remember their names. You can use the key to find the names so as to get practice with its use. If you are a little short of time, check with the names written on the back!
If you go down to the market to look at the fish and try to identify them with the key you could well end up at 35. Some fish are landed that are not included in our list. Find someone who can tell you the name of the fish you are looking at.
You could have made a mistake. If it is one that is on our list, try to find out where you went wrong in the key. The fish could, of course, be damaged.
This is now the end of the segment and a good place to take a break!
Segment Two
Identification of Shellfish
Segment Two
Identification of Shellfish
INTRODUCTION
The term shellfish includes both molluscs and crustaceans. These animals don't have a backbone but have an external shell instead.
To make things more complicated some molluscs, such as squids and cuttlefish, have their shells inside their bodies.
In order to identify different species of shellfish we shall make use of an identification key which is given in Appendix 2.
To use this you will need to know some of the main features of molluscs and crustaceans.
Therefore it is important that you read this segment before attempting the identification exercise.
OBJECTIVE
When you have completed segment two you should be able to identify 17 species of shellfish commonly seen in the UK seafish industry.
PARTS OF A MOLLUSC
Molluscs have a soft fleshy body and either one shell or a pair of shells.
Those with one shell are known as Gastropods. The shell is coiled and carried on the animal's back. Both the whelk and the winkie are gastropods. Here's a picture of a whelk to show the main features we'll be talking about later on.
Figure 6: Main features of a whelk.
Molluscs having a pair of shells are known as Bivalves.
The shells are hinged together and closed by internal muscles.
The cockle, oyster and scallop are typical bivalves.
Look at the picture of a scallop opposite which points out the main features of a bivalve mollusc which are two shells and a hinge. Some other common features are also shown.
PARTS OF A CRUSTACEAN
The body of a crustacean can be divided into 3 parts:
- Head
- Thorax
- Abdomen
The body is made up of segments and the legs are jointed.
All of the crustaceans used commercially can be grouped together and called decapods because they have 10 legs. The first pair of legs are often much larger than the rest. These are the claws.
All these crustaceans have the head and thorax covered by the carapace.
There is a large variation in body form so let's look at some examples.
Figure 8 shows the main features of a lobster.
As you can see a lobster has a large carapace and a long abdomen. It has 4 pairs of walking legs and a pair of large claws. There are 2 pairs of feelers. All lobsters have the same features unless they have been damaged.
When identifying these animals size is very important. Remember to look at the scales given on the images.
Now look at Figure 9 which shows the main features of a crab:
The long abdomen that you saw on the lobster is no longer present.
If you turned the crab upside down you would find the abdomen tucked underneath the body. This is shown below:
Figure 10: Abdomen of a Crab
The crab also has 4 pairs of walking legs and 2 claws. It has 2 pairs of feelers but these might be difficult to see as they are very short.
It is also useful to look at the last joint on the back legs.
In swimming crabs these joints are flat and rounded (see Figure 11a).
Figure 11a.
In other edible crabs these joints are pointed (see Figure 11 b.)
USE OF THE SHELLFISH IDENTIFICATION KEY
There are no SAQ’s in this Segment since the use of the identification key is considered to be adequate to achieve the objective set out on page 11.
Now use the identification key given in appendix 2 with the features that we have just described to name the shellfish on your image.
To help you on your way, make two lists of image numbers before you start. One for molluscs and one for crustaceans.
Use the key to identify all the molluscs then move onto the crustaceans by starting at No. 13 in the key.
The shellfish you come across during your work may be differently coloured to some of the images. Nevertheless, the identification exercise should help you towards identifying the various species covered.
As with the fish identification images, use the shellfish images whenever you have a spare moment to try and identify the various species. You should soon be able to dispense with the use of the key.
Responses to the Self Assessment Questions
Responses to the Self Assessment Questions
SAQ 1
The completed table is:
| PICTURE NUMBER | NUMBER OF DORSAL FINS | NUMBER OF ANAL FINS | NUMBER OF PECTORAL FINS | NUMBER OF PELVIC FINS | NUMBER OF ADIPOSE FINS | PRESENCE OF A JAW BARBEL (YES or NO) | NAME OF FISH |
|----------------|-----------------------|---------------------|-------------------------|-----------------------|------------------------|--------------------------------------|-------------|
| 1 | 2 | 1 | 2 | 2 | 0 | YES | LING |
| 23 | 1 | 1 | 2 | 2 | 1 | NO | SALMON |
| 6 | 2 | 1 | 2 | 2 | 0 | NO | REDFISH |
| 8 | 2 | 2 | 2 | 2 | 0 | NO | DORY |
| 12 | 3 | 2 | 2 | 2 | 0 | NO | COLEY |
| 19 | 2 | 1 | 2 | 2 | 0 | NO | RED GURNARD |
| 21 | 1 | 1 | 2 | 2 | 1 | NO | SEA TROUT |
| 28 | 3 | 2 | 2 | 2 | 0 | YES | COD |
| 32 | 1 | 1 | 2 | 0 | 0 | NO | CATFISH |
Check your answers with mine. If you have an error look at the pictures and make sure you understand my answers. I have given the names of these fish so that, with usage, you will remember them. From the table you will see there are a lot of differences between the nine fish. I hope you did not forget that a sideways-on diagram only shows one each of the pectoral fins, when, in practice, there are two, one each side of the fish.
Look at each of the pictures carefully and write the name of the fish on paper.
SAQ 31
The answer to the first question is no so we go to question 2.
The answer to the second question is yes. We know this is a skate from what I told you earlier. So far so good!
SAQ 3
The answers are all on your sheets.
You should have put them there earlier and corrected them if you had made an error. Did you?
SAQ 4
It is in fact a round fish. If we were to look straight down onto a flat fish the eyes would be on one side of the head only. With this fish the eyes are on both sides of the head. The flat parts (or wings) of this fish are modified pectoral fins and are the parts that are eaten. This fish is in fact a skate. Sometimes known as a ray or roker. Write these three names down.
SAQ 5
Fish No. 25 This fish has two jaw barbels (and it is a red mullet).
Fish No. 28 The lateral line is white. (Can you remember the name of this fish?)
Fish No. 9 The first dorsal fin is spiny and the second is softer. (It is a sea bass).
Fish No. 8 The length and the depth are about the same. (You have seen this picture before. Can you name this fish?)
Fish No. 3 The length is very very much greater than the depth (and it is a conger eel).
You have now been introduced to three more types of fish. Write their names down.
SAQ
You should have five pictures of fish with three dorsal fins i.e. numbers 7, 12, 13, 27 and 28. (You might also have picked No. 2. In fact this fish has 2 dorsal fins. The first appears separated in this diagram.) By using the key these fish can be identified as:
7 Haddock
12 Coley (or Saithe or Coalfish)
13 Pollack (or Pollock or Lythe)
27 Whiting
28 Cod
I expect you got all these correct and by now have the basic idea of using the key. Correct those you have got wrong.
You should have the following.
4 Dab
5 Witch
10 Megrim
11 Plaice
15 Turbot
18 Flounder
22 Lemon Sole
24 Sole (or Dover Sole)
30 Brill
36 Halibut
I hope you got all these correct. Some of the features covered in the key are not all that clear to see like the prickles of the Flounder (Picture 18) and the bony knobs of the Plaice (Picture 11). If you had some incorrect try again with the key and see if you can get them right. Correct any if you have them wrong.
SAQ 8
You could have chosen six of the following:
- Number of dorsal fins;
- Number of anal fins;
- Existence of pelvic fins;
- Colour of the lateral line;
- Comparison of length to depth of the fish;
- Presence of spiny fins;
- Number of jaw barbels;
- Presence of an adipose fin;
- Length and breadth of a fin.
Check your list with mine and note the ones you don't have. Of course there are others e.g. colour (see later).
SAQ 9
1. Ling
2. Mackerel
3. Conger (or Conger eel)
8. Dory (or John Dory)
9. Sea Bass
14 Dog Fish (or Huss or Flake or Rigg)
16 Sardine
17 Pilchard
20 Gey Mullet
21 Sea Trout
23 Salmon
26 Skate
28 Pilchard
29 Herring
31 Hake
32 Catfish
33 Sprat
34 Monkfish (or Anglerfish)
I hope you got all these correct. If you ended up at Question 35 you have made a mistake. Go through the key again with any that you have got incorrect and correct the names you have written down.
SAQ 10
You should have found four red coloured fish.
The image numbers are 6, 19, 25 and 35.
No. 6 is a Red Fish
No. 19 is a Red Gurnard
No. 25 is a Red Mullet
No. 35 is a Sea Bream (Red)
There is also a black Sea-Bream, and other species of Gurnard.
SAQ 11
The flat fish picture numbers are:
4, 5, 10, 11, 15, 18, 22, 24, 30 and 36.
The round fish picture numbers are:
1, 2, 3, 6, 7, 8, 9, 12, 13, 14, 16, 17, 19, 20, 21, 23, 25, 27, 28, 29, 31, 32, 33, 34 and 35.
I hope you remembered that the Skate (picture 26) is a round fish.
Appendix 1 – Seafish Identification Key
Appendix 1 – Seafish Identification Key
1. Is the fish a flat fish?
If yes go to 37
If no go to 2.
2. Is the fish
flat in appearance;
one eye on each side of its head;
and normally between 1 – 1.5 metres in length?
If yes it is a Skate (or Ray or Roker)
If no go to 3
3. Is the fish mainly red in colour?
If yes go to 4
If no go to 9
4. Is the fish deep bodied? (i.e. about half as deep as it is long).
If yes go to 5
If no go to 7
5. Has the fish a distinctive blue colouring, one broad dorsal fin and a black dot behind the eye?
If yes it is a Sea Bream
If no go to 6
6. Has the fish a maximum body length of about a metre; a short, but broad based, first dorsal fin with spines; and a spineless second dorsal fin?
If yes it is a Redfish
If no go to 35
7. Has the fish a broad based and spiny second dorsal fin, almost 2 its body length; broad based and spiny anal fin, the same breadth as the second dorsal fin; a longish spiny first dorsal fin; and bony extensions to the lateral line?
If yes it is a **Red Gurnard**
If no go to 8
8. Has the fish a distinctive spiny first dorsal fin with markings; a very steep head front; two lower jaw barbels; and large scales?
If yes it is a **Red Mullet**
If no go to 35
9. Has the fish a very large head compared to its body; large pectoral fins; a big mouth; and mottled brown colourings?
If yes it is a **Monkfish (or Anglerfish)**
If no go to 10
10. Does the fish have three dorsal fins?
If yes go to 11
If no go to 17
11. Does the fish have a jaw barbel?
If yes go to 13
If no go to 12
12. Does the fish have: a triangular first dorsal fin with long rays and a curved back edge; and a large black spot above the pectoral fin?
If yes it is a **Haddock**
If no go to 13
13. Has the fish a single barbel;
a white lateral line;
and does the upper jaw stick out in front of the lower?
If **yes** it is a **Cod**
If **no** go to 14
14. Has the fish a short but broad based first anal fin;
a lateral line that forms a bump above the pectoral fin;
and an upper jaw which comes further forward than the lower?
If **yes** it is a **Whiting**
If **no** go to 15
15. Has the fish an obvious ‘V’ shape at the end of its tail fin;
jaws of equal length;
a gap between the first and second anal fins;
a pale or white lateral line and a dark coloured back?
If **yes** it is a **Coley** (or **Saithe** or **Coalfish**)
If **no** go to 16
16. Has the fish a tail fin almost square cut;
a broad based first anal fin;
and a lower jaw that sticks out in front of the upper jaw?
If **yes** it is a **Pollack** (or **Pollock** or **Lythe**)
If **no** go to 35
17. Does the fish have two dorsal fins?
If **yes** go to 18
If **no** go to 25
18. Has the fish one long barbel;
a long body, 1 or 2 metres in length;
a narrow based first dorsal fin;
a broad based second dorsal fin;
and a broad based anal fin?
If **yes** it is a **Ling**
If **no** go to 19
19. Does the fish have a narrow based first dorsal fin;
a broad based second dorsal fin;
a broad based anal fin (half the body length);
and a body 75 – 180 cms in length?
If yes it is a Hake
If no go to 20
20. Does the fish have its mouth directly under the eyes,
and on the underside of its head;
a long body 60 – 100 cms in length;
a tail with the top lobe much bigger than the bottom one;
a grey back;
and a spine in front of each dorsal fin?
If yes it is a Dog Fish (or Huss or Flake or Rigg)
If no go to 21
21. Does the fish have a blue-green back with irregular black markings; and five very small fins behind the second dorsal fin?
If yes it is a Mackerel
If no go to 22
22. Does the fish have a large head;
a deep body;
a spiny long first dorsal fin;
and a black circular dot on the body?
If yes it is a Dory (or John Dory)
If no go to 23
23. Has the fish grey colouring;
two narrow based dorsal fins;
a spiny first dorsal fin, with four spines only;
a clear space between the first and second dorsal fins;
a body covered in large scales;
and no lateral line?
If yes it is a Grey Mullet
If no go to 24
24. Does the fish have a first dorsal fin with 8 or 9 stout spines; no space between first and second dorsal fins;
If yes it is a Sea Bass
If no go to 35
25. Does the fish have one dorsal fin?
If yes go to 26
If no go to 36
26. Has the fish a very long body, up to 2m; a round body; a very broad dorsal fin, almost full body length; a very broad anal fin, a little less broad than the dorsal fin; and a pointed pectoral fin?
If yes it is a Conger (or Conger Eel)
If no go to 27
27. Has the fish a body length of 80 – 125 cms; a large round head; a broad dorsal fin extending from head to tail; and a small tail?
If yes it is a Catfish
If no go to 28
28. Has the fish: silvery coloured sides; a deep ‘V’ shaped tail fin; is it less than 50 cm in length?
If yes go to 29
If no go to 33
29. Has the fish a length of 18 – 25 cms; and a dorsal fin base that starts in front of the pelvic fin base?
If yes it is a Pilchard
If no go to 30
30. Is the fish similar to the Pilchard but only 8 cm in length?
If **yes** it is a *Sardine*
If **no** go to 31
31. Has the fish a body length of 25 – 45 cms;
and a dorsal fin base that starts in front of the pelvic fin base?
If **yes** it is a *Herring*
If **no** go to 32
32. Has the fish a body length of 13 – 16 cms;
and a dorsal fin base that starts behind the base of the pelvic fin?
If **yes** it is a *Sprat*
If **no** go to 35
33. Has the fish a length of 75 – 150 cms;
does it have an adipose fin;
a square cut tail fin?
If **yes** it is a *Sea Trout*
If **no** go to 34
34. Has the fish a slightly forked tail fin;
silver colouring;
an adipose fin?
If **yes** it is a *Salmon*
If **no** go to 35
35. If you have ended up here you have got a fish that is not included in this study module, or you have invented a new type of fish! If you are sure you have not made an error somewhere in this key try to find someone who knows something about fish identification.
36. Fish usually have one, two or three dorsal fins and no more than this. If you have arrived here you could have made an error. If you feel you are right find someone who knows about fish identification.
37. Yes we are considering flat fish. You answered yes to Question 1.
You could have a Skate. A Skate has a rounded body between two flat ‘wings’. Look at your fish to see if this is the case. Check by going to 2 or move into 38 if you know you have a type of flat fish.
38. Has the fish a deep body, almost as deep as it is long, making it appear almost circular?
If **yes** go to 39
If **no** go to 41
39. Has the fish a long body 50-90 cms in length; no scales on the eye side; and bony knobs in the skin?
If **yes** it is a **Turbot**
If **no** go to 40
40. Has the fish a medium body length, 27 – 50 cms long; first few rays of the dorsal and anal fins separate to the rest; and a mottled appearance?
If **yes** it is a **Brill**
If **no** go to 44
41. Has the fish red, orange or orange-red dots on the body surface?
If **yes** go to 42
If **no** go to 44
42. Has the fish bony knobs between upper gill opening and the eye; and a straight smooth lateral line?
If **yes** it is a **Plaice**
If **no** go to 43
43. Has the fish sharp prickles along the base of the dorsal fin; sharp prickles along the base of the anal fin; and a lateral line that is straight and prickly?
If yes it is a Flounder
If no go to 44
44. Has the fish:
a very long body, 75 – 200 cms in length;
a lower jaw which sticks out?
If yes it is a Halibut
If no go to 45
45. Has the fish a small curved mouth, that almost touches one eye;
dark colouring;
a dorsal fin that starts in front of the upper eye;
an upper eye in front of the lower eye?
If yes it is a Sole (or Dover Sole)
If no go to 46
46. Has the fish yellow-brown colouring;
a large head (for a flatfish);
a large mouth;
and a lateral line that is curved above the pectoral fin?
If yes it is a Megrim
If no go to 47
47. Has the fish a relatively small head;
a very small mouth;
a fairly light brownish colouring;
a mottled skin with some small black dots;
an almost straight lateral line?
If yes it is a Lemon Sole
If no go to 48
48. Is the fish about half as deep as it is long?
Is the lateral line almost straight with no obvious bumps?
Does it have a fairly small head;
uniform brown colouring?
If yes it is a Witch
If no go to 49
49. Has the fish a moderate sized head;
a curved lateral line above the pectoral fin;
a dot patterning to the skin?
If yes it is a Dab
If no go to 35
Appendix 2 – Shellfish Identification Key
Appendix 2 – Shellfish Identification Key
1. Is the shellfish a crustacean?
If yes go to 13
If no go to 2
2. The shellfish is a mollusc.
Is the animal torpedo-shaped; about 200 – 750 mm long; greyish in colour?
Does it have triangle shaped side fins; two eyes on either side of the head; and five pairs of tentacles with two much longer than the rest?
If yes it is a common squid
If no go to 3
3. Does the mollusc have one shell or two? (Card S12 shows only one shell of the two).
If one go to 4
If two go to 6
4. Is the single shell yellowish white in colour; with a long spiral about 60 mm long and marked with ridges?
If yes it is a whelk
If no go to 5
5. Is the single shell dark brown in colour; about 15 mm long; with a short spiral; and a round opening?
If yes it is a winkie
If no go back to 3
6. Are the shells dark blue in colour; smooth and shiny; and about 50 mm long?
If yes it is a mussel
If no go to 7
7. Are the shells round in shape with clearly marked channels and ridges? Do they have a noticeable hinge along one side?
If yes go to 9
If no go to 8
8. Are the shells irregular in shape; and about 70 mm long? Are the outsides of the shells dark grey in colour; with a rough appearance because of overlapping plates? Are the insides of the shells white in colour; and very smooth?
If yes it is an oyster
If no go to 9
9. Are the shells regular in shape? Is the size about 100 mm long?
If yes go to 12
If no go to 10
10. Are the shells about 30 mm long; and dirty white in colour with brown markings?
If yes it is a cockle
If no go to 11
11. Are the shells orange-brown in colour; and about 7 cm long?
If yes it is a queen scallop
If no go to 12
12. Are the shells about 100 mm long?
If yes it is a scallop also known as a clam
If no go back to 6 and try again
13. Does the crustacean have a long tail?
Or is the body oval shaped with no tail visible?
If long tail go on to 14
If oval body it is a type of crab so go to 20
14. Does the crustacean have a long body and a pair of large claws?
If yes go on to 15
If no go to 17
15. Is the crustacean dark blue in colour?
(Be careful these animals are only red when they are cooked.)
Is the body about 280 mm long?
If yes it is a lobster
If no go to 16
16. Is the crustacean orange-red in colour, with 2 long claws?
Is it about 120 mm long?
If yes it is a Norway lobster also known as scampi, Dublin Bay Prawn and Nephrops
If no go back to 14
17. Is the crustacean dark brown in colour with reddish markings?
Does it have 2 very large feelers?
Is the body 30 – 40 cm long?
If yes it is a crawfish
If no go to 18
18. Is the crustacean pink?
Is the body about 50 mm long with 2 pairs of feelers;
and does the shell point forward between the eyes?
If yes it is a cooked common prawn
If no go to 19
19. Is the crustacean greenish-grey in colour and about 50 mm long?
Is there only one pair of feelers?
If yes it is a shrimp
If no go back to 13
20. Is the crab brown in colour;
with an oval carapace that is smooth;
and about 150 mm across?
Are the 2 claws black at the tips?
If yes it is a brown crab
If no go to 21
21. Is the crab yellow-brown and patterned with light and dark areas?
Is the body about 5 cm across?
If yes it is a green crab
If no go to 22
22. Is the crab mustard-brown in colour?
Is the carapace about 7 cm across?
Is the last joint on the back legs round and flat, and are the eyes red?
If yes it is a velvet swimming crab
If no go to 23
23. Is the crab orange in colour;
with two large points between the eyes;
and many spines over the shell?
Does it have long, thin legs and claws?
If yes it is a spider crab
If no you have gone wrong somewhere so go back to 20 and try again.
The original Fish and Shellfish Identification Cards are still available for sale from Seafish. The following images are scanned from these cards.
Fish 1 Maximum Length: 200 cm Normal length range: 100-150 cm
Fish 2 Maximum Length: 66 cm Normal length range: 25-30 cm
Fish 3 Maximum Length: 300 cm Normal length range: 100-200 cm
Fish 4 Maximum Length: 40 cm Average length 30 cm
Fish 5 Maximum Length: 55 cm Average length: 35 cm
Fish 6 Maximum Length: 100 cm Average length: 45 cm
Fish 7 Maximum Length: 76 cm Normal length range: 38-64 cm
Fish 8 Maximum Length: 66 cm Normal length range: 25-30 cm
Fish 9 Maximum Length: 100 cm Average length: 35 cm
Fish 10 Maximum Length: 61 cm Normal length range: 35-45 cm
Fish 11 Maximum Length: 91 cm Normal length range: 37-50 cm
Bony Knobs
Fish 12 Maximum Length: 130 cm Normal length range: 50-75 cm
Fish 13 Maximum Length: 180 cm Average length: 50 cm
Fish 14 Maximum Length: 100 cm Normal length range: 60-70 cm
Fish 15 Maximum Length: 100 cm Normal length range: 50-80 cm
Bony Knobs in Skin
Average length: 8 cm
Normal length range: 18 - 25 cm
Fish 18 Maximum Length: 51 cm Average length: 30 cm
Prickles
Fish 19 Normal length range: 30-40 cm
Fish 20 Maximum Length: 75 cm Average length: 25 cm
Fish 21 Maximum Length: 150 cm Normal length range: 75-100 cm
Fish 22 Maximum Length: 66 cm Average length: 30 cm
Fish 23 Maximum Length: 150 cm Normal length range: 75-100 cm
Fish 24 Maximum Length: 60 cm Normal length range: 30-40 cm
Fish 25 Maximum Length: 40 cm Average length: 17 cm
Fish 26 Maximum Length: 250 cm Normal length range: 100-150 cm
Fish 27 Maximum Length: 70 cm Normal length range: 30-40 cm
Fish 28 Maximum Length: 120 cm Average length: 60 cm
Fish 29 Maximum Length: 45 cm Normal length range: 25-35 cm
Fish 30 Maximum Length: 75 cm Normal length range: 25-35 cm
Fish 31 Maximum Length: 180 cm Normal length range: 75-100 cm
Fish 32 Maximum Length: 125 cm Normal length range: 80-100 cm
Fish 33 Maximum Length: 17 cm Normal length range: 8-15 cm
Fish 34 Maximum Length: 190 cm Normal length range: 40-640 cm
Fish 35 Maximum Length: 50 cm Average length: 23 cm
Fish 36 Maximum Length: 400 cm Normal length range: 75-200 cm
Shellfish 1 Maximum Length: 750 mm Average length: 250 mm
Maximum Length: 500 mm
Average length: 280 mm
Length: 500 mm
Shellfish 3 Maximum Length: 190 mm Average length: 120 mm
Maximum length: 80 mm
Average length: 50 mm
Shellfish 5 Maximum Length: 80 mm Average length: 50 mm
Shellfish 6 Maximum Breadth: 250 mm Average Breadth: 150 mm
Maximum length: 90 mm
Average length: 60 mm
Maximum length: 90 mm
Average length: 60 mm
Maximum length: 90 mm
Average length: 50 mm
Maximum length: 50 mm
Shellfish 10 Maximum Length: 50 mm Average length: 30 mm
Shellfish 11 Maximum Length: 120 mm Average length: 70 mm
Shellfish 12 Maximum Length: 130 mm Average length: 100 mm
Shellfish 13 Maximum Length: 50 cm Average length: 30-40 cm
Shellfish 14 Maximum Breadth: 18 cm Average Breadth: 8-11 cm
Maximum Breadth: 8 - 11 cm
Average Breadth: 18 cm
Shellfish 15 Maximum Length: 7 cm Average length: 9 cm
Shellfish 16 Maximum Breadth: 9 cm Average Breadth: 5 cm
Shellfish 17 Maximum Breadth: 10 cm Average Breadth: 7 cm
| Fish Number | Maximum Length | Normal Length Range |
|------------|----------------|---------------------------|
| 1 | 200 cm | 100-150 cm |
| 2 | 66 cm | 25-30 cm |
| 3 | 300 cm | 100-200 cm |
| 4 | 40 cm | Average Length 30 cm |
| 5 | 55 cm | Average Length: 35 cm |
| 6 | 100 cm | Average Length: 45 cm |
| 7 | 76 cm | Normal Length Range: 38-64 cm |
| 8 | 66 cm | Normal Length Range: 25-30 cm |
| 9 | 100 cm | Average Length: 35 cm |
| 10 | 61 cm | Normal Length Range: 35-45 cm |
| 11 | 91 cm | Normal Length Range: 37-50 cm |
| 12 | 130 cm | Normal Length Range: 50-75 cm |
| 13 | 180 cm | Average Length: 50 cm |
| 14 | 100 cm | Normal Length Range: 60-70 cm |
| 15 | 100 cm | Normal Length Range: 50-80 cm |
| 16 | 8 cm | |
| 17 | 18-25 cm | |
| 18 | 51 cm | Average Length: 30 cm |
| 19 | 30-40 cm | |
| 20 | 75 cm | Average Length: 25 cm |
| 21 | 150 cm | Normal Length Range: 75-100 cm |
| 22 | 66 cm | Average Length: 30 cm |
| 23 | 150 cm | Normal Length Range: 75-100 cm |
| 24 | 60 cm | Normal Length Range: 30-40 cm |
| 25 | 40 cm | Average Length: 17 cm |
| 26 | 250 cm | Normal Length Range: 100-150 cm |
| 27 | 70 cm | Normal Length Range: 30-40 cm |
| 28 | 120 cm | Average Length: 60 cm |
| 29 | 45 cm | Normal Length Range: 25-35 cm |
| 30 | 75 cm | Normal Length Range: 25-35 cm |
| 31 | 180 cm | Normal Length Range: 75-100 cm |
| 32 | 125 cm | Normal Length Range: 80-100 cm |
| 33 | 17 cm | Normal Length Range: 8-15 cm |
| 34 | 190 cm | Normal Length Range: 40-640 cm |
| 35 | 50 cm | Average Length: 23 cm |
| 36 | 400 cm | Normal Length Range: 75-200 cm |
| Shellfish | Maximum Length | Average Length |
|-----------|----------------|----------------|
| 1 | 750 mm | 250 mm |
| 2 | 500 mm | 280 mm |
| 3 | 190 mm | 120 mm |
| 4 | 80 mm | 50 mm |
| 5 | 80 mm | 50 mm |
| 6 | 250 mm | 150 mm |
| 7 | 90 mm | 60 mm |
| 8 | 30 mm | 15 mm |
| 9 | 90 mm | 50 mm |
| 10 | 50 mm | 30 mm |
| 11 | 120 mm | 70 mm |
| 12 | 130 mm | 100 mm |
| 13 | 50 cm | 30-40 cm |
| 14 | 18 cm | 8-11 cm |
| 15 | 7 cm | 9 cm |
| 16 | 9 cm | 5 cm |
| 17 | 10 cm | 7 cm |
FISH AND SHELLFISH IDENTIFICATION
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A CENTURY OF PROGRESS
CHICAGO MAY 26TH TO OCT. 31ST 1934
INTERNATIONAL HARVESTER EXHIBITS
A CENTURY OF PROGRESS EXPOSITION
CHICAGO, 1934
The International Harvester Company is proud to have been privileged to record at the 1933 A Century of Progress Exposition a part of its contribution to the one hundred years of world progress coincident with Chicago's history. It is equally pleased to take its part at the 1934 Exposition in signalizing the beginning of a new one hundred years of progress.
CHICAGO AERIAL SURVEY CO.
Yesterday » » » » »
Today and » » » » »
Tomorrow » » » » »
Is it possible to foresee what life will be like five, ten, twenty-five years from now?
This much we know:
Much of what is to happen can be foretold from what already has taken place.
At A Century of Progress Exposition, the Old is contrasted with the New, in art, architecture, and dress—in chemistry, physics, medicine, and electricity—in biology, botany, agriculture, and food—in education, music, amusements, and sports—in communication, transportation, manufacturing, tools, and machines—and in a myriad of other interests.
But much more, too, is accomplished. Here, to a degree never before attempted, historians, scientists, engineers, and architects have crystallized in stone and steel—in miniatures and life-size models—accomplishments of TODAY that constitute a reliable prophecy of much of the progress that may be expected in the future.
Where previous world’s fairs derived their inspiration from history and looked backward, this exposition finds its inspiration in ACHIEVEMENT and looks forward. Minds young enough and bold enough are here able to find the pathway beyond the greatest frontier man has yet confronted—the frontier of inadequate conveniences, comforts, and luxuries. This fair points the way to the settlement of this frontier with today’s new materials, processes, methods, equipment, and technique of progress.
The century that started with the invention of the reaper and the birth of Chicago brought forth man’s greatest progress in discovering and utilizing the resources of nature for his own purposes. The challenge of today is in the spreading of these benefits among the masses of the world’s people. The 1934 Exposition is a partial answer to this challenge.
Only an exposition world-wide in scope and forward-looking in purpose can interpret this spirit adequately. It is fitting that Chicago, starting its second hundred years of progress, mistress of the inland empire, aggressive “I Will” metropolis of the Middle West, and itself the birthplace of many of the contributions to humanity’s advancement, should be the interpreter of the progress that has been made and will continue to be made in the years to come.
INTERNATIONAL HARVESTER COMPANY
(INCORPORATED)
606 SO. MICHIGAN AVE. CHICAGO, ILL.
Foods and Agriculture Building at A Century of Progress, containing the main exhibit of the International Harvester Company.
(Above) Panoramic view of the 1934 Century of Progress exhibit of the International Harvester Company, occupying all of Farm Machinery Hall in the Foods and Agriculture Building on Northerly Island. The wing at the left contains a replica of the 1831 McCormick Reaper, as well as models of the machines that succeeded it, and six dioramas (three-dimensional pictures) of the evolution in agriculture. Today's mighty monarch of the harvest fields, the harvester-thresher, is the center of the exhibit.
(Below) The north half of the exhibit space is occupied by new models of International trucks and by a forty-foot map of the world showing the location of IHC raw material properties, factories and sales branches. International Harvester also displays, in the Travel and Transport Building, the contrast between the old and the new in truck transportation and tractor development. A radio-controlled McCormick-Deering tractor is demonstrated daily just west of Farm Machinery Hall.
Before 1833—
Suppose this were the year 1833 and you were living on a farm, as four out of five people in the United States were at that time. Tomorrow morning, after a night spent on a straw mattress, you would get up at an early hour, pull on moccasins and homespun clothes, start a wood fire to cook breakfast, carry in water from the well, and begin a day of dreary routine, the like of which few of us know anything about today. You would have almost no money to spend, for practically everything you could produce would be needed to feed, house, and clothe yourself and the family.
Besides ordinary housework as we know it today, the routine of the women of your household would include making the clothes, skimming the milk, churning the butter, baking, tending the chickens and the vegetable patch, dipping the candles, milking the cows, and sometimes helping the father with field work in case there were not enough sons.
In that day there were no telephones, telegraph, radios, or cables. No electric lights, sewing machines, ice machines, pasteurization, safety razors, or modern plumbing. No steel plows or barbed-wire fences. No gasoline, gasoline engines, automobiles, or vulcanized rubber. No dynamos, steam hammers, dynamite, bandsaws, riveting machines, pile drivers, I-beams, steel castings made to pattern, case-hardening, acetylene, hydraulic presses, steam turbines, electric welding, or stainless steel. No passenger elevators, suspension bridges, or airplanes. No revolvers, cartridges, or machine guns. No steel pens, typewriters, carbon paper, shorthand, adding machines, dictaphones, or linotypes. No cameras, phonographs, or movies. No X-ray, anaesthetics, or dental bridge work.
The list could be prolonged. The point of importance is that even if these commonplaces of today had been available a century ago, there would have been a very limited market for them.
America in 1833 was at the crossroads. It was favored with millions of undeveloped fertile acres, unlimited natural resources, a variety of climates, and a hardy stock of pioneers whose free government suited their bold ambitions. Yet their pent-up hopes were chained to the soil. Urban population was confined chiefly to the seaboard. New York, Philadelphia, Baltimore, Boston, New Orleans, and Charleston were the only cities worthy of the name. The land beyond the Mississippi was largely undeveloped, uncharted—almost unknown.
The United States in 1831 included 24 states and three territories with a population of 13,300,000.
Between the War of 1812 and the time when railway construction began on an extensive scale (about 1841), very few authentic maps of the United States were made. This map, prepared after considerable research and displayed at A Century of Progress, is available in colors, in a size 19 x 28\(\frac{3}{4}\) inches, suitable for class-room use and similar purposes. Copies may be obtained free of charge from the International Harvester Company, Room 702, 606 South Michigan Avenue, Chicago, Illinois.
The Reaper—
Wheat must be cut when it is ready to cut—in a few weeks' time at the most. The amount of grain a farmer can produce depends upon the speed with which he can do his harvesting. Before 1831 the most wheat a man could cut in a day with a cradle, the most efficient harvesting equipment known, was about two acres. Hundreds of inventors had attempted to build a machine that would solve the problem. The files of the patent offices contained many detailed drawings of unsuccessful reaping machines.
Then, in July, 1831, a machine invented by Cyrus Hall McCormick moved down a Virginia field cutting a swath of wheat! In six momentous weeks, this 22-year old young man had built a machine that worked. It could cut only 8 or 10 acres a day, but it established the basic principles which showed how a grain-cutting machine should be built. Today, the harvester-thresher, direct descendant of the McCormick reaper, cuts, threshes and cleans the grain from 40 to 50 acres a day—two men now doing in one day what would have required 160 to 200 men before 1831.
With quicker harvesting came larger farms. Larger acreage brought improvements in plowing, harrowing, and planting. The combination of these machines released men from farm labor to work in other industries. With more mouths to be fed in the cities came a need for greater production per farm—of both grain and meat. As the country-to-city trend increased, there came a procession of implements for all farm work.
Reproduction of a painting showing young McCormick at work on his Reaper outside the farm forge shop on the old McCormick homestead, near Steele's Tavern, Rockbridge County, Virginia.
The city people had to be fed and the farmers fed them—and received money for their labor that enabled them to buy the products of industry. This created a commerce that brought the railroads, banks, exchanges, and retail and wholesale trading that today supports two-thirds of the nation and keeps all the nation housed, heated, clothed, fed, and amused.
The United States could not have developed without the steamboat, the railroad, and the telegraph. It still would be largely a land of promise rather than fulfillment if it had not been for the genius of Whitney, Henry, Howe, Morse, Goodyear, Edison, and a host of other inventors who have emblazoned the path of modern civilization. Most of their efforts, however, would have borne little fruit had it not been for the release of men's thoughts, time, and labor through the medium of the reaper. In many instances the hopes and ambitions of the inventors themselves would not have been realized had it been necessary for them to spend most of their waking hours in back-breaking farm labor. And even if they had been able to perfect their inventions, little could have been accomplished in the way of manufacture and distribution if it had remained necessary for four out of five people to live on farms.
Viewed in retrospect, the past century demonstrates that progress depends, in large degree, upon a release from drudgery and routine tasks that require little mental activity. The people in 1831 needed a quicker, easier method of producing wheat, their main food requirement. When this was provided, greater progress resulted in a few years than previously had been possible in many centuries. Railroads were necessary to market wheat cheaply, iron was necessary for building reapers and railroads, cheaper paper and printing for the spread of information and education, the telegraph to expedite exchange, and other labor savers to give people necessary leisure. All were dependent upon one another. The startling thing is that the vast majority of them followed the others so closely after McCormick perfected the reaper. The world waited centuries for the progress of events that started with that memorable invention in 1831.
Cyrus Hall McCormick
1809-1884
Inventor of the Reaper
Model of McCormick Hand-Rake Reaper of 1831. This reaper contains seven basic principles still used on grain harvesting machines today: reciprocating knife with serrated edge, fingers or guards, revolving reel, platform, master wheel, side hitch, and divider.
Model of McCormick Combined Reaping and Mowing Machine of 1860 (as a mower). Commercial production, 1857-65. To convert the reaper into a mower, the platform, reel, and reel supports were removed, and a special grass knife was substituted for the grain sickle.
Model of McCormick "Old Reliable" Self-Rake Reaper of 1865. Experimental stage, 1858-61. Commercial production, 1862-73. A combined reaping and mowing machine with the patent automatic grain delivery attachment of the McClintock-Young type.
Model of McCormick Combined Reaping and Mowing Machine of 1857 (as a reaper). Commercial production, 1857-65. By 1849 a seat had been added for the driver, and in 1851 a sickle blade in sections replaced the straight knife. The gearing was rearranged to balance the weight of the driver.
Model of McCormick "Daisy" Reaper of 1898. Experimental stage, 1881. Commercial production, 1882-1902. The rake not only held the standing grain against the cutter but also raked the cut grain from the platform in any size gavel desired. The platform and rakes could be folded for passing through a gate.
Model of McCormick-Harvester and Wire Binder (Withington Type) of 1881. Experimental stage, 1872-76. Commercial production, 1877-82. Consisted of the McCormick Harvester with the automatic wire-binding attachment substituted for the hand-binding platform.
Model of McCormick-Harvester and Twine Binder (Appley-Gorham Type) of 1885, the prototype of today's binder. Experimental stage, 1875-80. Commercial production, 1881-85. Consisted of the McCormick Harvester with the automatic twine-binding attachment replacing the hand-binding platform.
Spinning and balling McCormick-Deering Binder Twine, as demonstrated at A Century of Progress. The spinner, baller, covering machine, and testing machine are attended by regular employees of McCormick Twine Mill in Chicago. Binding mechanism of a modern grain binder at the far end of the exhibit shows how the knot is tied. Seventeen colored transparency pictures on the wall show the process of binder twine manufacture from the young sisal plants on the International Harvester sisal plantation in Cuba to the finished product. Colored photographs of the six International Harvester twine mills are shown below the transparencies. Pillars of twine balls and samples of the fiber are at each side of the pictures.
Binder Twine--
When the twine binder was perfected in 1881, no manufacturer was equipped to produce twine in the quantities needed. Much money was lost experimenting with twine made of grass, hemp, straw, paper, and later of flax. Flax did a satisfactory job of binding but, unfortunately, was much relished by grasshoppers.
Finally, however, the making of twine became standardized. Today most of the fiber for International Harvester binder twine comes from the leaves of the henequen or sisal plant as it is commonly called, grown extensively in the state of Yucatan, Mexico, as well as in Cuba, East Africa, Java, and other tropical countries. The leaves of the sisal plant are very similar to those of the century plant, well known in this country.
Manila fiber, also used extensively, is extracted
from the stalks of the manila plant, which resembles the banana tree and grows in the Philippines.
At the twine mill the fiber is made flexible, treated with oil and insect repellent, and subjected to eight different combing operations. Then it passes to the spinners, one of which is displayed at A Century of Progress operating at about half the normal speed—twisting about 75 strands of fiber $14\frac{1}{2}$ times to the foot.
Also displayed operating in slow motion are a balling machine and a covering machine. The balling machine demonstrates how the winding stops automatically when the ball attains its correct weight. When the patented McCormick-Deering crisscross cover is added on the covering machine, the ball weighs eight pounds. This patented covering helps keep the ball in shape and prevents the twine from tangling as it is withdrawn from the ball.
Every operation in the manufacture of McCormick-Deering twine is inspected constantly. At McCormick Twine Mill in Chicago, for instance, every day more than eighteen miles of finished twine is tested for strength on specially-built breaking machines equipped with a dial that records the pounds of pull required to break the twine. Similar tests are made to assure correct length, weight, and uniform spinning. One of the breaking machines is demonstrated at A Century of Progress.
It takes about one-sixth of a mile of twine to bind the grain crops consumed by the average American in a year. International Harvester’s six twine mills have a capacity of more than 100,000 tons a year—McCormick Twine Mill, Chicago, 31,500 tons; New Orleans Mill, 18,500 tons; Hamilton, Canada, Mill, 15,000 tons; Croix, France, Mill, 24,000 tons; Neuss, Germany, Mill, 11,000 tons; Norrkoping, Sweden, Mill, 4,000 tons.
The modern version of the binding mechanism invented by John Appleby nearly sixty years ago—the invention responsible for the present tremendous size of the binder twine industry—is operated in slow motion at A Century of Progress.
Harvester-Thresher—
Before the invention of the McCormick reaper a little more than a century ago, two men would have had to work hard for a hundred days to harvest and thresh as much grain (50 acres) as two men operating a modern 16-foot harvester-thresher now can harvest and thresh in one day.
Before 1831 it would have taken two men 25 days just to harvest 50 acres—one man cutting the crop with a grain cradle while the other bound it and set the bundles in "shocks" to keep them dry.
It then would have taken these two men a week or ten days to load the bundles with pitchforks onto a wagon, haul the crop to the barn, and unload it. And it would have taken them more than two months to beat the grain from the straw by means of flails and winnow the grain by tossing it in the air and fanning away the chaff.
With a modern harvester-thresher, two men now can cut, thresh, and clean the grain from 40 to 50 acres in a day. They can do more and better work in ten hours than they could in three months by the hand-labor methods of a century ago. The cost is less than half the expense of using binders and threshers, and the yield usually is increased about 10 per cent because of the reduced loss from shattered grain.
McCormick-Deering harvester-threshers are made in 8, 10, 12, and 16-foot cutting widths. Under favorable conditions, both the harvester-thresher and the tractor displayed with it at A Century of Progress, can be operated by one man. The threshed grain is collected in a 45-bushel tank, from which it can be unloaded conveniently into a truck. A wagon loader or a bagging attachment can be used if desired. The straw is spread evenly on the ground behind the machine, thereby returning valuable plant food to the soil. When it is desired to save the straw, a straw-collecting attachment can be used, or the windrowed straw can be gathered with a hay loader. The cutting platform can be folded back alongside the machine for transporting on roads or through gates.
When equipped with a pick-up attachment, it will gather grain in the windrow—a method frequently followed where grain ripens unevenly or where green weeds are numerous.
A wide variety of special equipment is available for harvesting crops such as soybeans, sorghum grains, flax, peas, beans, alfalfa and clover.
Farmall Cultivator--
Until a century ago the common method of killing weeds and stirring the soil between crops planted in rows was either to hoe the crop by hand or to drive a plow or similar implement between the rows. The "sulky" or riding cultivator that "straddled" a row, cultivating both sides at once, was a development of the 'fifties when the advantages of larger-scale farming became possible through the use of the reaper. The two-row horse-drawn cultivator first appeared on the market in the first year of the twentieth century.
The introduction of the Farmall tractor in 1922 made it possible, for the first time, to use tractor power for cultivating. With a Farmall four-row cultivator, one man can cultivate from 30 to 65 acres a day. He can do 15 to 20 times as much work as was possible with a one-horse cultivator of a century ago and do it much better. Two-row Farmall cultivators also are used extensively as well as four and six-row Farmall cultivators for beets, beans, and other narrow-row crops.
Corn Picker--
The perfecting of machines to harvest corn is an accomplishment of the present generation. Until recent years, the crop has been harvested almost entirely by hand in much the same way as when white men first learned about corn from the American Indians.
A corn picker of the type displayed at A Century of Progress picks the ears from two rows at a time, removes the husks, and elevates the ears into a wagon drawn behind the tractor. It gets all the corn, even when the stalks are down and tangled, and picks as much in one day as a man usually picks by hand in two weeks.
McCormick-Deering corn pickers are made in one and two-row sizes and in two styles—either direct-connected to a Farmall tractor or pulled behind a tractor. All McCormick-Deering pickers are power-operated from the tractor engine and can be removed easily so that the tractor can be used for other work. One-row pickers may be equipped either with an elevator for delivering the husked corn into a wagon or with a tank having a capacity of 25 bushels of husked corn.
This forty-foot map of the world, one of the largest world maps ever constructed, is painted on the wall of the half dome at the north end of the International Harvester exhibit in the Agricultural Building. The areas served by the International Harvester organization are colored in orange (shown in gray in this illustration). The location of 527 IHC and jobber branch houses are studded in these areas by crystal rods extending through the wall and illuminated by means of floodlights behind the map. The locations of International Harvester factories and raw material properties are identified by red and green electric bulbs. Large pictures of International Harvester factories in natural colors are grouped at each side of the map. Below the factory paintings are two automatic stereopticon machines, one of them showing seventy colored pictures of International Harvester properties and the other showing pictures of seventy different International Harvester products.
Dairy Equipment—
Up to the last quarter of the nineteenth century, cream was separated from milk by letting the milk stand for several hours until the cream rose to the surface. The cream then was skimmed off painstakingly with a skimmer or spoon. Today the centrifugal force of a cream separator bowl, turning about 8,300 revolutions a minute, does the job in short order and enables the farmer to obtain practically 100 per cent of the cream contained in the whole milk. The cream is more sanitary. There are fewer vessels to store and keep clean and the skim-milk can be fed, while still warm, to hogs, calves, and other animals on the farm.
The use of a milking machine is a more recent development. With this machine it is possible for a farmer to milk more than twice as many cows as could formerly be milked by hand in the same time, and the work is very much easier. In addition, a milker frequently results in a greater production of milk per cow, due to the cows always being milked in the same way, with the same steady manipulation, and always being milked thoroughly. Rubber-lined cups placed over the teats of the cow pulsate at intervals by means of suction created by a vacuum pump and controlled by a pulsating device located on the milk-pail cover. The alternate suction and release, giving a gentle, stimulating, massaging action is very similar to the natural suckling of a calf. The milk at no time comes in contact with human hands or the air of the barn and the dust, odors, and insects most stables contain. McCormick-Deering milkers are either of single or double-unit variety, depending on whether it is desired to milk one or two cows at the same time.
(Above) McCormick-Deering single-cylinder Vacuum Pump and (below) McCormick-Deering double-unit Milker, as displayed at A Century of Progress.
At the left of the cow three different sizes of Cream Separators are displayed as well as a cream separator with the interior mechanism exposed. The large discs of McCormick-Deering Cream Separators are of stainless steel.
At the right of the cow is this well man in a dairy room fully equipped with a McCormick-Deering Cream Separator, a milker Power Unit, and a Solution Rack for keeping the rubber parts of McCormick-Deering Milkers sterilized between milkings.
(Left) McCormick-Deering Engine as displayed at A Century of Progress. The power range is adjustable between 1½ and 2½ horsepower.
(Right) McCormick-Deering No. 1-B Hammer Mill as displayed at A Century of Progress.
The Hammer Mill (No. 1-B) displayed at A Century of Progress is used for grinding wheat, oats, barley, rye, shelled corn, ear corn, Kafir corn, milo maize, hegari, feterita, cornstalks, hay, alfalfa, beans, peas, and grain sorghums, both headed and in the bundle. Operated by belt connection to a tractor, it enables a tractor owner to do this work at a big saving compared with what it would cost him to hire it done. Various sizes of McCormick-Deering mills are available.
The small engine displayed at A Century of Progress further exemplifies the progress that has been made since motors displaced muscles as the source of power on American farms. The speed can be regulated between 600 to 1000 revolutions per minute. This regulates the power between 1½ and 2½ horsepower. This adjustable power range assures minimum fuel consumption on each of the many jobs for which this engine can be used. The engine is fully enclosed and protected from dirt. Lubrication is the automatic splash (automotive) type. A special quick-action impulse in the magneto assures unusually easy starting. McCormick-Deering engines of 3, 6, and 10 horsepower also are available.
Enclosed Gear Mower--
Although the mower is an outgrowth of the reaper, and its design changed and improved during the first 75 years of its history, few important changes in mower design occurred during the 25 years immediately preceding 1932. The enclosed-gear mower (No. 7) displayed at A Century of Progress is an example of the many improvements in farm-machine construction made possible in recent years by new methods of manufacture. The gears, countershaft, clutch, and differential of this two-horse mower are grouped together compactly in a dust-tight case filled with oil. This mower sets a new standard for durability and quiet operation. One filling of oil usually is sufficient for an entire season. The wheels are keyed solidly to the axle—no wobble or end play. The two-piece main axle revolves in roller bearings which are oiled automatically from the main oil supply. This mower is made in 4½, 5, 6, and 7-foot cutting widths, and is available either with pneumatic tires or iron-rim wheels.
The new low-priced Farmall 12, smallest of the three McCormick-Deering Farmalls, displayed with a 7-foot direct-connected mower at A Century of Progress.
McCormick-Deering Tractors
INTERNATIONAL HARVESTER experience with internal-combustion engines dates back nearly two score years. It was a natural evolution for builders of farm machines, with many years of experience behind them, to pioneer the development of the new motive power which the invention of the gas engine provided.
International Harvester developed a tractor for plowing as early as 1906. It pioneered the development of the two-plow and three-plow types of four-wheel tractor that played an important part in maintaining adequate food supplies during the World-War period. It introduced a successful "power take-off" for utilizing the power of the tractor engine in driving the mechanism of pulled machines. It perfected the Farmall type of tractor with regulation-size rear wheels, small front wheels close together, and a high axle clearance, to enable it to straddle the rows of growing crops—the tractor that does all farm power work from plowing, planting, and cultivating to harvesting and the operation of silo fillers, feed grinders, and other belt-driven machines.
Since the introduction of the Farmall tractor eleven years ago, thousands of American farmers have dispensed with horses entirely. Besides doing their work more quickly and saving money on hired labor, they have rid themselves of the onerous routine of being on the job every day, morning and
night, to feed, bed, and water their motive power. They feed their tractors only on the days they are at work. They house their tractors in a small fraction of the space the former power and its feed required. The time they save enables them to increase greatly the volume of work the same amount of labor can accomplish—by farming more acres or conducting increased livestock enterprises.
In 1850, at about the time the McCormick reaper began to be used extensively, the farms of the United States possessed a primary power plant of about $6\frac{1}{2}$ million horsepower. By 1900 this had grown to $23\frac{1}{2}$ million through an increase in the number of work animals. In 1930, because of the extended use of tractors, this had grown to 65 million horsepower. Since 1924, largely because of the Farmall tractor, the increase has been at the rate of about $3\frac{1}{2}$ million horsepower a year—more than ten times as fast as during the last half of the nineteenth century. Agriculture in America today possesses more power than all the nation’s factories.
Eight of the sixteen models of tractors manufactured at the present time by the International Harvester Company are displayed at the 1934 Century of Progress Exposition. In Farm Machinery Hall, the new 4-wheel type of farm tractor is displayed with the 16-foot harvester-thresher, the large-size Farmall (F-30) with the corn picker, the new medium-size Farmall (F-20) with the 4-row cultivator, and the new, small, low-priced Farmall (F-12) with a 7-foot mower. Also in Farm Machinery Hall are displayed the new small pneumatic-tired Industrial tractor (I-12), and the new Diesel TracTracTor that develops 52 horsepower and operates on low-cost fuel. A larger industrial tractor (Model I-30) is displayed in the Travel and Transport Building, and the new model pneumatic-tired orchard tractor (O-12), specially equipped with a small, compact radio receiving set, demonstrates the possibilities of radio control of tractor steering.
The radio-controlled tractor demonstration area, fenced in, just west of Farm Machinery Hall, is 150 by 80 feet. A mechanical man in farming clothes, seated comfortably on the front porch of a small farmhouse in this area, converses with the spectators by means of an invisible loud speaker, and apparently directs every movement of the tractor. Broadcasting equipment, carefully concealed in the house, speaks for the farmer, and, by means of small electric switches, starts and stops the tractor and steers it in any direction desired. When the demonstration is completed, the tractor disappears through mechanically-operated garage doors at the rear of the farmhouse.
Will the farmer of the future be able to sit on his front porch while directing all his farm work? Will it be possible to sit in an office in Chicago or New York and direct the operation of fleets of tractors throughout the world? Will it be possible by these methods to operate farm properties in both hemispheres and gather harvests in practically every month of the year? What are the possibilities of radio control in housework, industrial work, transportation, and especially in warfare? These are a few of the unanswerable questions with which the weird spectacle of a driverless, yet perfectly controlled tractor, excites the imagination. The only approach to an answer that can be made is that in 1831 two men operating a machine that cut, threshed and cleaned the grain from 50 acres a day—doing the work of 200 men—would have been quite as much of a spectacle as the new field of possibilities opened by the International Harvester radio-controlled tractor of 1934 is today.
Rufus Dawes (left), president of A Century of Progress, and A. E. McKinstry (right), president of International Harvester Company, examine the International Harvester radio-controlled tractor while the mechanical farmer on the front porch proudly looks on.
On the fourth anniversary of their daily broadcasts, Clara, Lu 'n' Em, veterans of the air, greet the latest new arrival to radio, the International Harvester radio-controlled tractor. Directly behind the switch at which Clara is pointing is a small electric motor. The slender perpendicular rod just in front of Lu is the aerial.
International Trucks—
The Harvester Company began its work as an automotive pioneer in 1899. Even then it had had nearly seventy years of experience with heavy-duty machine manufacture. It had already contributed much to the greatness of America when the internal-combustion engine was born.
Today International Harvester ranks first among all full-line truck manufacturers. Its service to transportation extends far beyond the agriculture it first served. Three-fourths of its annual truck output is absorbed by commerce and industry.
In the ten years from 1919 to 1929 International truck production increased sevenfold, while the total production of the truck industry was only doubled. In subsequent years International Harvester's share of yearly volume in trucks has risen steadily.
The long life and dependable, low-cost performance of International trucks are the result of constant effort to do a difficult thing well. The International product is all truck—truck from the ground up.
No engine builder in the world has done more in the development of fuel carburation and in the refinements of proper engine operation than International Harvester. No manufacturer has contributed more to the application of modern metallurgical science. The laboratory research and experiThe mental work of this Company have been a most important factor in the progress of transportation.
Supplementing its advanced engineering and modern methods of quality manufacture, the Harvester Company has established a tradition of service to the truck user that has been a significant contributing reason for the present high reputation of International trucks. More than twenty years ago the International Harvester Company conceived an ideal of motor truck guardianship, the full meaning of which was entirely new to the automotive industry of that early date. Even then generations of experience had taught the Company the importance of service to its own development and to the welfare of the customer.
Today International Harvester maintains the largest Company-owned branch organization in the world to safeguard truck owners, to reduce truck upkeep to a minimum, and to keep Internationals everywhere profitably on the job. In each of these branches the International truck user finds the same modern methods, tools and equipment; the same work benches; the same alert and orderly operation; the same service apparel on a uniformly high type of skilled personnel.
The following quality features of International Trucks, described in detail by cards, are displayed in these show cases at A Century of Progress: replaceable cylinder, piston and connecting rod assembly showing replaceable-shell bearings, chrome-nickel steel counterbalanced crankshaft, camshaft with integral round-contoured cams, exhaust-valve seat inserts, oil-type air cleaner, downdraft carburetor showing uniform manifolding, cylinder head, self-aligning propeller shaft bearing, cam-and-lever steering gear, rear axle with straddle-mounted pinion, silico-manganese steel spring leaf with replaceable bronze bushing, positively-supported rear spring front bracket, frame side members, cylinder head showing overhead valves and water passages, replaceable-shell main and connecting-rod bearings.
New, restyled International Model C-35, 1½ to 2-ton truck with panel body. The new Internationals can be identified by the sloping radiator lines.
Truck owners know that when they operate Internationals over a wide territory it is not necessary to tie up a large investment in stocks of truck parts or to maintain their own stations to get prompt, adequate, and economical service. Every owner, large and small, benefits from the International standardization of service. It is a vital and natural factor in the low cost of operation demonstrated by an army of International users.
International Trucks exhibited in Travel and Transport Building. The Tractor Truck (Model A-8) with semi-trailer van has a pay-load capacity of 12 tons. The cab has a sleeping compartment. The small truck is a half-ton International Auto Wagon built in 1907. It has a right-hand drive; a 2-cylinder, air-cooled engine; dry-cell batteries; and a chain drive. International truck experience dates from 1899.
This International Auto Buggy of 1907 is used in "Wings of a Century," the Century of Progress pageant of transportation presented daily on the lake front near the Travel and Transport Building. An International Auto Wagon of 1907 and a modern International A-8 truck with a 12-ton capacity semi-trailer van also are used in this pageant.
The International Auto Buggy of 1907 (on the left) takes its place in the "Court of Honor" in the dome of the Travel and Transport Building, along with a "Louis McLane" (Railway Express Agency) stage coach built in 1860 (center), and a pioneer wagon (right) built near Philadelphia in 1797 and driven to Ohio in 1805.
International Harvester Service
The manufacture and sale of the many diversified lines of International Harvester products have developed, through the years, one of the largest commercial organizations in history. International Harvester manufacturing is carried on in twenty large factories that have a combined ground area of more than a thousand acres. If these factories could be situated side by side in an area half a city block wide, they would extend for more than twenty-five miles. Fourteen of these factories are in the United States, two in Canada, and four in Europe.
These extensive manufacturing activities have made it possible for the Company to own many of its sources of raw materials, thereby assuring dependable supply at uniform prices. Company-owned steamships transport iron ore from Company-owned iron mines in the Mesabi Range in Minnesota to a large Company-owned steel mill in South Chicago, Illinois. Coking coal is obtained from Company-owned coal mines in Harlan County, Kentucky. Extensive Company-owned timber properties are located in Mississippi, Missouri, and British Columbia.
Sales offices are located throughout the civilized world. In the United States and Canada the Company maintains more than a hundred "general line" branch houses where farm machines and large stocks of repair parts are kept in stock for prompt delivery.
are stored in readiness for the farmer. The branch house sales and service organizations maintain intimate contact with the activities of each of the Company's several thousand dealers and with the changing needs and problems of local agriculture. Truck sales in the United States and Canada are conducted through 201 Company-owned branches and service stations, supplemented by many thousands of dealers whose service facilities are approved by the Company. The inter-city user of an International truck usually will find extensive Company-operated service facilities at both ends of his trip.
Since the day when Cyrus Hall McCormick startled the business world by guaranteeing the quality of his product, the tradition of quality has been given first consideration in the design and manufacture of all International Harvester products. Even today conspicuously-displayed posters throughout International Harvester factories constantly remind the workmen that "Quality is the Foundation of Our Business." But as every farmer and every truck user knows, no matter how fine a machine may be when it leaves the factory, the length of its useful life depends in large degree upon the skill with which it is kept in repair. A century of machine-manufacturing experience has taught the Harvester Company the vital importance of after-sale service. Many farmers who purchased International Harvester machines twenty years and in some cases
thirty or more years ago still are able to keep their machines in working order because of the continuous repairs service they are able to obtain. The International Harvester Company is proud of this achievement.
Hamilton (Ont., Canada) Works, largest farm machine factory outside United States. Harvesting and seeding machines, tillage implements, plows, threshers, binder twine.
Chatham (Ont., Canada) Works. Wagons, motor trucks, sleighs.
Croix (France) Works. Harvesting machines, seeding machines, binder twine.
Neuss (Germany) Works. Harvesting machines, hay machines, binder twine.
**GRAIN HARVESTING MACHINES**
- Binders
- Tractor Binders
- Rice Binders
- Push Binders
- Harvest Threshers
- Windrow Harvesters
- Pick-Up Attachments
- Headers
- Reapers
- Threshers
- Rice Threshers
**HAYING MACHINES**
- Mowers
- Side Rakes and Tedders
- Rakes
- Loaders
- Sweep Rakes
- Stackers
- Tedders
- Baling Presses
- Alfalfa Threshers
- Clover Threshers
**TILLAGE IMPLEMENTS**
- Tractor Plows
- Riding Plows
- Walking Plows
- Disk Harrows
- Tractor Harrows
- Orchard Harrows
- Harrow Plows
- Spring-Tooth Harrows
- Peg-Tooth Harrows
- Ridge Rippers
- Field Cultivators
- Rod Weaders
- Rotary Hoes
- Cultivators
- Soil Rippers
- Land Packers
- Plow Packers
**CORN MACHINES**
- Planters
- Linters
- Cultivators
- Lister Cultivators
- Binders
- Enlarge Cottoners
- Enlarge Harvesters
- Enlarge Blowers
- Pickers
- Huskers and Shredders
- Shellers
**SEEDING MACHINES**
- Grain Drills
- Broadcast Seeders
- Endgate Seeders
- Alfalfa and Grass Drills
**BEET TOOLS**
- Seeders
- Cultivators
- Pullers
**OTHER FARM EQUIPMENT**
- Cream Separators
- Milkers
- Manure Spreaders
- Feed Grinders
- Hammer Mills
- Stone Burn Mills
- Potato Planters
- Potato Diggers
- Farm Wagons and Trucks
- Sleighs
- Lime Spreaders
- Lime Mixers
- Fertilizer Distributors
- Cane Mills
- Knife Grinders
- Binder Twine
- Replacement Parts
**MOTOR-POWER UNITS**
- Motor Trucks
- Farm Tractors
- Diesel Tractors
- Gasoline Tractors
- Diesel Tractors
- Golf Course Tractors
- Power Units
- Engines
**COTTON MACHINES**
- Planters
- Linters
- Middle Busters
- Cultivators
- Dusters
- Strippers
- Stalk Cutters
- Choppers
INTERNATIONAL HARVESTER
RADIO CONTROLLED
TRACTOR DEMONSTRATIONS
MAIN EXHIBIT
INTERNATIONAL HARVESTER CO.
(1) Art Institute
(2) Buckingham Fountain
(3) Amphibian Ramp
(4) Field Museum
(5) Illinois Central Station
(6) Shedd Aquarium
(7) North Entrance
(8) Eitel's Rotisserie
(9) Rapid Transit Terminal
(10) Court of Honor
(11) Administration Building
(12) Thompson's Restaurants
(13) Grandstand
(14) Bandstand & Stage
(15) Avenue of Flags
(16) Italian Pav. & Restaurant
(17) Sears Roebuck Building
(18) Illinois Host House
(19) Swedish Pavilion
(20) Czecho-Slovakian Pavilion
(21) Soldier Field
(22) Skyride
(23) St. Paul's Chapel
(24) 16th Street Entrance
(25) Japanese Pavilion
(26) Bendix Lama Temple
(27) Chinese Pav. & Restaurant
(28) Swiss Village
(29) 18th Street Entrance
(30) Service Buildings
(31) Hall of Science
(32) Time & Fortune Building
(33) Cactus Pergola
(34) General Exhibits Building
(35) Christian Science Monitor
(36) Good Housekeeping
(37) Hall of Religion
(38) Byrd's Ship
(39) The Hub—Henry C. Lytton & Sons
(40) Doughnut Machine Corp.
(41) Havoline Thermometer
(42) Infant Incubator
(43) Aquatic Sports
(44) American Radiator & Stand. Sanitary
(45) Sinclair Exhibit
(46) Firestone Building
(47) Walgreen's Store
(48) 93rd Street Entrance
(49) The Oasis
(50) Belgian Village
(51) Alpine Garden
(52) Hungarian Bazaar
(53) General Cigar Co.
(54) Streets of Paris
(55) Hawaiian Gardens
(56) Old Heidelberg Inn
(57) Italian Village
(58) Pantheon de la Guerre
(59) Tunisian Village
(60) Spanish Restaurant
(61) Spanish Village
(62) Edwards Rancho
(63) Flying Turns
(64) Midget Village
(65) Irish Village
(66) Desable Cabin
(67) Fort Dearborn
(68) Lincoln Group
(69) Crown Food
(70) American Colonial Village
(71) Old English Village
(72) Ripley's—Believe It or Not
(73) Black Forest Village
(74) Home & Industrial Arts Group
Kohler Building
Southern Cypress House
Johns-Manville
Crane Co.
Stran-Steel Houses
Arnco Ferro Enamel House
General Houses, Inc.
Masonite House
Kostone, Inc., House
Lumber House
Common Brick House
Owen's Illinois Glass Co.
Florida House
House of Tomorrow
Victor Vienna Restaurant
Home Planning Hall
The Haeger Potteries, Inc.
Ford Motors
Maytag Group
Frigidaire House
General Motors Building
Palwaukee Airport
Chrysler Building
Chrysler Track
31st Street Entrance
Casino de Alex
Television Show
Standard Oil Building
Wings of A Century
Wilson Show
Whiting Corp. &
Nash Motor Bldg.
Brookhill Laboratories
Chi. & Northwestern R.R.
Goodyear Landing Field
South Entrance
Machinery Demonstration
Outdoor Railway Trains
35th Street Entrance
Poultry Show
Greyhound Service Station
Receiving Station
39th St. Pumping Station
Planetarium Bridges
Fountain
Wonder Bakery
Person's Exhibits
Terrazzo Promenade
Adler Planetarium
Island Midway
Auto Scooter
Carousel
Cyclone Coaster
Dutch Village
Ferris Wheels
Fish Bar
King Solomon's Temple
States Group
Travel & Transport Bldg.
Beach Midway (Cont.)
Motordrome
Night Club
Ride of the Century
Shooting Gallery
Swance River Boys
Streets of Shanghai
The World Beneath
The Bug Ride
Trip down the Lost River
The Catapult
Winston Racers
Animal Fair
Social Agencies
U. S. Military Camp
Agricultural Group
Flea Circus
Federal Building
States Group
The Doodlebug
Schlitz Garden Cafe
Armour Building
Science Bridge
World in Miniature
Social Science Building
Electrical Group
Crystal House
Enchanted Island
Horticultural Building
Mexican Village
Restaurant
Swift Bridge & Bandstand
Hollywood
Searchlight Bank
South Approach
Farm Home Group
Federal Homes
Universal House Corp.
Crowell Pub. Co.
INTERNATIONAL HARVESTER
FARM MACHINERY HALL
North Wing, Foods and Agriculture Building
IHC Radio-Controlled Tractor
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Tell the Truth
... About the History of the United States and its Black People
Week 5: February 26 - March 4, 2018
Today was not a good learning day. Blah blah blah I only wanted to hear you not talking. You said something wrong and I can't listen when I hear lies. My mom said that the only way to fix it is to acknowledge it was a mistake. Because Columbus didn't find our country, the Indians did. I like to have Columbus Day off but I want you to not teach me lies. That's all. My question for the day is how can white people teach black history? King Johnson
I am very disappointed in your journal today.
Articles Complied and Arranged by Rann Miller
Original Content Written and Developed by Rann Miller
Disclaimers
This text is a compilation of history articles related to Black people in the United States found from various online sources. These sources primarily comprise of traditional news outlets i.e. Washington Post, NPR and New York Times; also non-traditional online-based journalist reporting outlets i.e. Vox, Alternet, Huffington Post and Slate. These articles, and the information found in them, are not the original content of Rann Miller. All articles included in this text compiled from online sources will include the name of the original author and the online address for where the original article can be found. These various articles are not for resale.
In addition to the compiled articles, this text also includes original content. The original content included within this text is the sole property of Rann Miller and is created by Rann Miller. This original content is not for resale. All original content is copy written.
This text is not for resale. While original content is included within this document, this document is of no cost and is available for public consumption. The purpose of this text is to provide educators with a text to teach and instruct students. Also, this text is for any lifelong learner who desires to increase in their knowledge of truth about the history of the United States and the Black people who have contributed greatly to it.
- Rann Miller
Tell the Truth
About the History of the United States and its Black People
Week 5: February 26 - March 4, 2018
Introduction ................................................................. 7
Bloom’s Taxonomy Framework ........................................... 9
Part One: Online Articles of History .................................. 11
13 Lincoln’s Panama Plan
19 George Washington, Slave Catcher
23 “Nurse, Spy, Cook:” How Harriet Tubman Found Freedom Through Food
27 The Black Woman and the Black Church that Birthed Rock Music
33 The Panthers and the Patriots
41 Ellen Craft, The Slave Who Posed as a Free Master and Made Herself Free
Growing Up, Black History Month was a major part of my cultural curriculum. At the conclusion of my elementary education, stories and lessons on Harriet Tubman, Malcolm X and Dr. Martin Luther King were apart of my cultural, and academic, lexicon. However, as I got older, I realized there was much more information to build my knowledge upon.
As a middle and high school social studies teacher, I took pride in sharing the same lessons imparted to me to, my students during Black History Month. I taught Black history all academic year. During Black History Month, I taught the more concealed aspects of Black history. The history of Harriet Tubman, Malcolm X and Dr. Martin Luther King are a part of American history and in the context of the way we teach American history, educators should include these people and events in the curriculum. Some would argue that educators do; I do not believe that to be the case.
Eight-year-old King Johnson wrote in his journal that he did not want his teacher to teach him lies. He specifically was referring to the lies taught to him about Christopher Columbus “finding” the New World. I believe that King Johnson’s sentiment is indicative of all students, particularly students of color — students who, historically, have had the truth of their history withheld from them. They are tired of teachers lying to them. This text compilation of articles is to serve as a teaching resource for teachers to teach the unadulterated truth of American history to their students during the month of February, and throughout the year. The articles offered in this document can be used to create lessons and projects for students to increase in their knowledge of American history. Whether in high school or kindergarten, teach all students the history and not HIStory. TELL THE TRUTH!!!!
- Rann Miller
This rubric is designed to provide educators with a framework to provide tiered questions to track student understanding. This rubric is based on the Bloom’s Taxonomy of Higher Order Thinking. These questions are simply a guide to develop your own questions – they are not specific for each article. This is only to serve as a guide. You are welcome to develop your own questions for each article. For more information on Bloom’s Taxonomy, please visit https://www.unthsc.edu/center-for-innovative-learning/blooms-taxonomy-learning-objectives-and-higher-order-thinking/
| Level 1 - Remembering | Happening / Event | Famous Person(s) | Black Tradition | Popular Culture |
|-----------------------|------------------|-----------------|----------------|----------------|
| What are the major facts presented in this article: (1) who are the individuals involved, (2) what are the details of what took place according to the article, what is the setting, what is the date and why did it happen (what were the reasons it happened)? |
| Level 2 - Understanding | Explain the main idea and the major details of the article in your own words. Please include 2 to 4 major details in your paraphrased explanation. |
| Level 3 - Applying | Think about the details of the article and tell what you would do if you were living at the time facing similar circumstances. |
|-------------------|-------------------------------------------------------------------------------------------------------------------------------|
| | Think about the details of the article and tell how your life would be similar or different if presented with similar circumstances as this person. |
| | Think about the details of the article and demonstrate how you would apply this tradition with your family, friends or peers. |
| | Think about the details of the article and interpret the meaning of this happening in popular culture. |
| Level 4 - Analyzing | Why do you think what happened was able to happen? Could a similar thing happen today? |
|---------------------|-----------------------------------------------------------------------------------------------|
| | What are the similarities and difference between this individual and a similar famous figure; past or present. |
| | What criticisms do you have of this particular tradition? How to reconcile your criticism with someone who holds this tradition in high esteem? |
| | Distinguish the meaning of the contents of the article between its impact on many people versus its impact on an individual person. |
| Level 5 - Evaluating | Appraise the value of this moment in culture. Evaluate the impact and results of what happened. |
|----------------------|------------------------------------------------------------------------------------------------|
| | Defend the actions or decisions of this individual someone may consider to be risky, harmful or controversial. |
| | Defend this tradition to someone looking to remove it from social and/or cultural significance. |
| | Select an antithesis moment/trend to counter this moment in popular culture. |
| Level 6 - Creating | Develop a hallmark card that celebrates this event yearly. |
|--------------------|-------------------------------------------------------------|
| | Write a letter to this famous person explaining what you think of their life and the decisions they’ve made. |
| | Either create new details to add to this tradition to make it better or create a brand new tradition to replace the tradition in this article. |
| | Design an advertisement to promote this particular cultural moment to expose its impact on society. |
Part One
Online Articles Of History
Lincoln’s Panama Plan
By Rick Beard, opinionator.blogs.nytimes.com
August 16th, 2012
Disunion follows the Civil War as it unfolded.
On Aug. 14 1862, Abraham Lincoln hosted a “Deputation of Free Negroes” at the White House, led by the Rev. Joseph Mitchell, commissioner of emigration for the Interior Department. It was the first time African Americans had been invited to the White House on a policy matter. The five men were there to discuss a scheme that even a contemporary described as a “simply absurd” piece of “charlatanism”: resettling emancipated slaves on a 10,000-acre parcel of land in present-day Panama.
Lincoln immediately began filibustering his guests with arguments so audacious that they retain the ability to shock a reader 150 years later. “You and we are different races,” he began, and “have between us a broader difference than exists between almost any other two races.” The African-American race suffered greatly, he continued, “by living among us, while ours suffers from your presence.” Lincoln went on to suggest, “But for your race among us, there could not be war,” and “without the institution of Slavery and the colored race as a basis, the war could not have an existence.” The only solution, he concluded, was “for us both … to be separated.”
The president next turned to what he wanted from the five-man delegation. It was selfish, he suggested, that any of them should “come to the conclusion that you have nothing to do with the idea of going to a foreign country.” They must “do something to help those who are not so fortunate as yourselves,” for the colonization effort needed “intelligent colored men” who are “capable of thinking as white men, and not those who have been systematically
oppressed.” In asking them to “sacrifice something of your present comfort,” Lincoln invoked George Washington’s sacrifices during the American Revolution. He then asked for volunteers. “If I could find twenty-five able-bodied men, with a mixture of women and children,” he said, “I think I could make a successful commencement.”
It is hard to imagine what Lincoln’s guests, all well-educated, well-to-do leaders of Washington’s African-American community, made of this presidential monologue. Edward Thomas, the delegation’s chairman, merely promised to “hold a consultation and in a short time give an answer,” to which Lincoln replied: “Take your full time — no hurry at all.”
Lincoln, like several other antislavery Republicans and activists, had a long, deep attachment to colonization. Proponents of colonization included two of Lincoln’s political heroes, Thomas Jefferson and Henry Clay, as well as John Marshall, James Madison, Daniel Webster and even Harriett Beecher Stowe. Since its founding in 1816, the American Colonization Society had sought to relocate free blacks to Africa, where, it was argued, they would enjoy greater freedom.
Dominated by planters and politicians from the Upper South whose commitment to slavery was suspect, the A.C.S. enjoyed only modest success: between 1816 and 1860, the organization transported around 11,000 blacks, most of them manumitted slaves, to Africa. By contrast, as many as 20,000 African-Americans left of their own accord during the American Revolution and thousands more found their way along the Underground Railroad to Canada during the first half of the 19th century.
“For many white Americans,” the historian Eric Foner has written, “colonization represented a middle ground between the radicalism of the abolitionists and the prospect of the United States’ existing permanently half
slave and half free.” Needless to say, few blacks agreed, seeing colonization efforts as, at best, a distraction from abolition and, at worst, a form of slavery by other means.
Opposition did nothing to diminish Lincoln’s belief in the merits of colonization. As early as April 10, 1861, two days before the bombardment of Fort Sumter, the new president met with Ambrose W. Thompson, head of the Chiriquí Improvement Association, to explore the creation of a colony for emigrants in Panama, where newly arrived emancipated slaves would earn a living by mining coal for the Navy. Gideon Welles, the secretary of the navy, opposed Lincoln’s scheme, but three other members of the cabinet — Interior Secretary Caleb Smith, Postmaster General Montgomery Blair and Attorney General Edward Bates — supported the plan.
As the war progressed, Union policy makers faced increased pressure to develop strategies for how to manage the growing number of slaves who fled to Union lines, were freed by the advancing federal armies or were emancipated by federal legislation, like the two confiscation acts or the abolition of slavery in the nation’s capital and the federal territories.
When Congress passed the District of Columbia Act emancipating slaves in Washington in April 1862, it also appropriated $100,000 to resettle “such free persons of African descent now residing in said District, including those liberated by this act, as may desire to emigrate.” Two months later, Congress appropriated an additional $500,000 to colonize slaves whose masters were disloyal to the United States. And on July 16, the House Select Committee on Emancipation and Colonization recommended $20 million for settling confiscated slaves beyond United States borders.
No doubt buoyed by these signs of Congressional support, Lincoln pushed forward with the Chiriquí plan and instructed Mitchell to arrange the Aug. 14 meeting. The five delegates included Edward Thomas, the delegation chair and
a prominent black intellectual and cultural leader; John F. Cook Jr., an Oberlin-educated teacher who ran a church-affiliated school; Benjamin McCoy, a teacher and the founder of an all-black congregation; John T. Costin, a prominent black Freemason; and Cornelius Clark, a member of the Social, Civil, and Statistical Association, an important black social and civic organization that had recently sought to banish several emigration promoters from Washington.
Mitchell’s own views on the desirability of colonization mirrored those of the president he served. The delegates he recruited were not at all convinced. The men had been wary of the president’s intentions and had agreed to attend only after adopting two resolutions criticizing the plans, as a way to provide political cover. Lincoln’s strategy at the meeting prevented any of these men from voicing their own opinions on the matter of colonization, and the delegation never responded formally to Lincoln’s plan.
Nevertheless, the publication of Lincoln’s remarks at the meeting generated a furious response from all corners of the anti-slavery world. To Senator John P. Hale, a Radical Republican from New Hampshire, “The idea of removing the whole colored population from this country is one of the most absurd ideas that ever entered into the head of man or woman.” Lincoln’s treasury secretary, Salmon P. Chase, wrote in his diary, “How much better would be a manly protest against prejudice against color! — and a wise effort to give freemen homes in America!” On Aug. 22 William Lloyd Garrison editorialized that “the nation’s four million slaves are as much the natives of this country as any of their oppressors,” and two weeks later The Pacific Appeal noted that Lincoln’s words “made it evident that he, his cabinet, and most of the people, care but little for justice to the negro.” And Frederick Douglass said that “the President of the United States seems to possess an ever increasing passion for making himself appear silly and ridiculous, if nothing worse.”
Related
Lincoln’s hopes for the Chiriquí venture barely outlasted the summer. On Aug. 28 he accepted an offer from Kansas Senator Samuel C. Pomeroy to organize black emigration parties to Central America, and on Sept. 11 he authorized Caleb Smith to sign an agreement with Thompson advancing money to develop the mines. But on Sept. 24, two days after issuing the preliminary Emancipation Proclamation, Lincoln abruptly suspended Pomeroy’s operation.
The Chiriquí venture was, in retrospect, doomed from the start. Ambrose Thompson’s title to the coal lands proved questionable, and a report by the Smithsonian Institution’s Joseph Henry found that the Chiriquí coal was almost worthless as fuel. Several Central American governments also opposed the plan: Luis Molina, a diplomat representing Honduras, Nicaragua and Costa Rica, characterized the plans as a thinly disguised effort to make Central America the depository for “a plague of which the United States desired to rid itself.”
The failed venture hurt hundreds of people who had volunteered to go on the first trip. “Many of us have sold our furniture” and “have given up our little homes to go,” wrote one emigrant. The uncertainty and delay are “reducing our scanty means” and “poverty in a still worse form than has yet met us may be our winter prospect.” In response, Lincoln could do no more than ask for their forbearance. After issuing the Emancipation Proclamation, the president never again issued any public statements on colonization.
Follow Disunion at twitter.com/NYTcivilwar or join us on Facebook.
Sources: Frederick Douglass, “The President and His Speeches,” Douglass Monthly, September 1862; Paul D. Escott, “What Shall We Do With the Negro? Lincoln, White Racism, and Civil War America”; Eric Foner, “Lincoln and Colonization” in “Our Lincoln: New Perspectives on Lincoln and His World”; Doris Kearns Goodwin, “Team of Rivals: The Political Genius of Abraham Lincoln”; Harold Holzer, “Emancipating Lincoln: The Proclamation in Text, Context, and Memory”; Abraham Lincoln, “Address on Colonization to a Deputation of Negroes, August 14, 1862” in “Collected Works of Abraham Lincoln,” vol. 5; Kate Masur, “The African American Delegation to Abraham Lincoln: A Reappraisal,” in Civil War History, vol. 56, no. 2; James Oakes, “The Radical and the Republican: Frederick Douglass, Abraham Lincoln, and the Triumph of Antislavery Politics”; Benjamin Quarles, “The Negro in the Civil War”; Michael Vorenberg, “Abraham Lincoln and the Politics of Black Colonization,” in Journal of the Abraham Lincoln Association, vol. 14, Issue 2, Summer 1993.
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AMID the car and mattress sales that serve as markers for Presidents’ Day, Black History Month reminds Americans to focus on our common history. In 1926, the African-American historian Carter G. Woodson introduced Negro History Week as a commemoration built around the birthdays of Abraham Lincoln and Frederick Douglass. Now February serves as a point of collision between presidential celebration and marginalized black history.
While Lincoln’s role in ending slavery is understood to have been more nuanced than his reputation as the great emancipator would suggest, it has taken longer for us to replace stories about cherry trees and false teeth with narratives about George Washington’s slaveholding.
When he was 11 years old, Washington inherited 10 slaves from his father’s estate. He continued to acquire slaves — some through the death of family members and others through direct purchase. Washington’s cache of enslaved people peaked in 1759 when he married the wealthy widow Martha Dandridge Custis. His new wife brought more than 80 slaves to the estate at Mount Vernon. On the eve of the American Revolution, nearly 150 souls were counted as part of the property there.
In 1789, Washington became the first president of the United States, a planter president who used and sanctioned black slavery. Washington needed slave labor to maintain his wealth, his lifestyle and his reputation. As he aged, Washington flirted with attempts to extricate himself from the murderous institution — “to get quit of Negroes,” as he famously wrote in 1778. But he never did.
During the president’s two terms in office, the Washingtons relocated first to New York and then to Philadelphia. Although slavery had steadily declined in the North, the Washingtons decided that they could not live without it. Once settled in Philadelphia, Washington encountered his first roadblock to slave ownership in the region — Pennsylvania’s Gradual Abolition Act of 1780.
The act began dismantling slavery, eventually releasing people from bondage after their 28th birthdays. Under the law, any slave who entered Pennsylvania with an owner and lived in the state for longer than six months would be set free automatically. This presented a problem for the new president.
Washington developed a canny strategy that would protect his property and allow him to avoid public scrutiny. Every six months, the president’s slaves would travel back to Mount Vernon or would journey with Mrs. Washington outside the boundaries of the state. In essence, the Washingtons reset the clock. The president was secretive when writing to his personal secretary Tobias Lear in 1791: “I request that these Sentiments and this advise may be known to none but yourself & Mrs. Washington.”
The president went on to support policies that would protect slave owners who had invested money in black lives. In 1793, Washington signed the first fugitive slave law, which allowed fugitives to be seized in any state, tried and returned to their owners. Anyone who harbored or assisted a fugitive faced a $500 penalty and possible imprisonment.
Washington almost made it through his two terms in office without a major incident involving his slave ownership. On a spring evening in May of 1796, though, Ona Judge, the Washingtons’ 22-year-old slave woman, slipped away from the president’s house in Philadelphia. At 15, she had joined the Washingtons on their tour of Northern living. She was among a small cohort of nine slaves who lived with the president and his family in Philadelphia. Judge was Martha Washington’s first attendant; she took care of Mrs. Washington’s personal needs.
What prompted Judge’s decision to bolt was Martha Washington’s plan to give Judge away as a wedding gift to her granddaughter. Judge fled Philadelphia for Portsmouth, N.H., a city with 360 free black people, and virtually no slaves. Within a few months of her arrival, Judge married Jack Staines, a free black sailor, with whom she had three children. Judge and her offspring were vulnerable to slave catchers. They lived as free people, but legally belonged to Martha Washington.
Washington and his agents pursued Judge for three years, dispatching friends, officials and relatives to find and recapture her. Twelve weeks before his death, Washington was still actively pursuing her, but with the help of close allies, Judge managed to elude his slave-catching grasp.
George Washington died on Dec. 14, 1799. At the time of his death, 318 enslaved people lived at Mount Vernon and fewer than half of them belonged to the former president. Washington’s will called for the emancipation of his slaves following the death of his wife. He completed in death what he had been unwilling to do while living, an act made easier because he had no biological children expecting an inheritance. Martha Washington lived until 1802 and upon her death all of her human property went to her inheritors. She emancipated none of her slaves.
When asked by a reporter if she had regrets about leaving the Washingtons, Judge responded, “No, I am free, and have, I trust, been made a child of God by the means.” Ona Judge died on Feb. 25, 1848. She has earned a salute during the month of February.
Correction: February 20, 2015
An Op-Ed article on Monday referred imprecisely to Martha Washington’s handling of George Washington’s slaves after his death in 1799. While she did not emancipate her own slaves, as the essay noted, in 1801 she freed all of his slaves, as he had requested.
Harriet Tubman, who will soon be the first African-American to grace a U.S. currency note, spent her whole adult life raising money either to rescue slaves or help them start life afresh on free soil. While her abolitionist friends in the North were generous contributors to the cause, Tubman also self-funded her heroic raids through an activity she enjoyed and excelled at: cooking.
Tubman's role as a professional cook, which provided her with a much-needed source of money in her long and poverty-stricken life, has often been overlooked.
Tubman was the daughter of a cook. Her mother, Rit Ross, worked in the "big house" on the plantation in Dorchester County, Md., where Tubman was raised. An early food-related incident is testimony to the future General Tubman's strong-willed character. When she was about 6, Tubman was hired out to a neighboring farm - a common practice at the time - run by James and Susan Cook. When she got there, writes biographer Kate Clifford Larson in *Bound for the Promised Land: Harriet Tubman, Portrait of an American Hero*, the hungry little girl was so nervous in the company of a white family, she refused the milk offered by her new mistress.
"I was fond of milk as any young shoot," Tubman later said to her first biographer, Sarah Bradford. "But all the time I was there I stuck to it, that I didn't drink sweet milk."
She spent almost two unhappy years with the family, during which she was regularly flogged and finally sent home after she fell seriously ill.
In 1849, fearing she would be sold like her two older sisters had been, Tubman escaped to Philadelphia. She travelled to Baltimore and New Jersey, where in order to support herself and raise money to go back to rescue her family, she spent the summer of 1852 working as a cook in a resort at fashionable Cape May, N.J. She used her wages to pay for a raid that freed nine slaves.
On the roughly 13 raids Tubman conducted "down into Egypt" over the course of a decade, one of the many challenges she faced was keeping her party of rescued slaves fed on their long and arduous journey - often through snow, icy rain and swamps, with teams of armed men and dogs searching for the runaways. To keep babies from crying and attracting attention, she dosed their bread with laudanum to put them to sleep.
She may have been hailed as the Black Moses, but unlike that ancient prophet, she couldn't wave her staff and produce manna from heaven. Instead, she simply used her ingenuity. Once, after buying two chickens at a market, she almost came face to face with a former overseer. So she quickly released one of the chickens she was carrying, and pretended to give chase, creating a comic kerfuffle that allowed her to slip away unnoticed, even though, ironically, everyone's eyes were on her.
Otherwise, Tubman went foraging in the forest. "While the woods were rich with resources like sassafras, black cherry, and paw-paw, not everything was safe to eat," Clifford Larson told me. "One of the conductor's chief duties was finding nourishment - those slaves who didn't have the benefit of a conductor were on their own. One slave recalled wandering through the woods all day eating acorns."
What made foraging doubly difficult was that many slaves fled in the winter, shortly after Christmas. "They knew they would probably be sold off at the end of the year, so this was when they would have to run," says Robyn Affron of Adkins Arboretum, who worked on an audio tour of the Underground Railroad with Clifford Larson. "In winter in the mid-Atlantic, they had little or no food. If they were lucky they could seek refuge and food from the Quaker community. Sacks would be hidden in holes in trees with warm socks and hardtack biscuits."
But no matter how dire the situation, Tubman, who was deeply religious, operated on the unshakable belief that God would provide. An abstemious eater, she fasted on Fridays, a practice she learned from her father Ben Ross. He also taught her some invaluable survival skills.
"An expert lumberjack, Ross spent much time living off the land, navigating through forests, fields and waterways," says Clifford Larson. "He passed that knowledge to his gifted daughter, and she put it to good use while traveling along the Underground Railroad."
Tubman grew up on a farm, and through her life, she reached for earthy food metaphors to express herself. "I felt like a blackberry in a pail of milk," she said when she, an illiterate black woman, bid for and bought a parcel of land in Auburn, N.Y., that would eventually house the Harriet Tubman Home for Aged and Infirm Negroes.
"I threw him across my shoulder like a bag o' meal and took him away out of there," was how she described her audacious 1860 rescue of a fugitive slave named Charles Nalle in Troy, N.Y., in the midst of a whirl of police batons and bullets.
And in response to a group called the African Civilization Society, whose mission it was to repatriate all Negroes - free and slave alike - to Africa, Tubman related the parable of a farmer who sowed onions and garlic on his land, but when he found his cow's butter too strong and unsellable, returned to planting clover. By then it was too late - the wind had blown the onions and garlic all over the field. White people, she said, had got slaves to do their hard work for them, but now that their presence didn't suit them, they wanted to pack them off to Africa. "But they can't do it," she said in a public speech in Boston that drew loud applause. "We're rooted here, and they can't pull us up."
During the Civil War, Tubman worked as a nurse and a spy, but supplemented her income by running an eating-house in Beaufort. There, she sold Union soldiers root beer, pie and ginger bread, which she baked during the night, after her day's work. When she put in a claim for a Civil War pension, her role was described as "nurse, spy and cook."
Tubman's earliest childhood memory had to do with food. She recalled how, when she had to babysit her younger brother - she was barely 4 or 5 years old herself - she used to "cut a fat chunk of pork and toast it on the coals and put it in his mouth. One night he went to sleep with that hanging out, and when my mother come home she thought I'd done kill him. I nursed that there baby till he was so big I couldn't tote him any mo'."
Indeed, the dramatic arc of Tubman's life story, from slave to national hero, can be captured in her tragicomic relationship to pigs. Caught stealing a lump of sugar at the Cooks' house, she saw the mistress reach for the whip, and fled to a neighboring farm. For the next five days, she hid in a pigpen and fought with "an ole sow, an' perhaps eight or ten little pigs" for the potato peelings and other pigswill. Finally, starved and afraid of the belligerent mother pig, she went back. James Cook whipped her.
Over three decades later, when Tubman made history by leading three Union gunboats in the famous 1863 Combahee River Raid that freed 700 slaves in South Carolina, she described how the throngs of slave women came streaming towards "Lincoln's gun-boats" with their babies, baskets, chickens and pigs.
"I nebber see such a sight," she is quoted saying in Bradford's 1869 biography. "We laughed, an' laughed, an' laughed. Here you'd see a woman wid a pail on her head, rice a smokin' in it jus' as she'd taken it from de fire, young one hangin' on behind, one han' roun' her forehead to hold on, 'tother han' diggin' into de rice-pot, eatin' wid all its might; hold of her dress two or three more; down her back a bag wid a pig in it."
One woman brought along two pigs, one white, one black. All three were taken on board, and the pigs promptly christened after a Confederate Civil War general and the president of the Confederate States of America: "de white pig Beauregard, and de black pig Jeff Davis."
Nina Martyris is a freelance journalist based in Knoxville, Tenn.
The Black Woman And The Black Church That Birthed Rock Music
By William C. Anderson
“The Sanctified Church is a protest against the high-brow tendency in Negro Protestant congregations as the Negroes gain more education and wealth.” –Zora Neale Hurston, *The Sanctified Church*
When Sister Rosetta Tharpe was born on March 20, 1915, black America was in the midst of a populist religious awakening. A decade earlier, in 1906, the Azusa Street Revival birthed the Pentecostal church movement in Los Angeles, setting off sparks around the nation. This was the foundation of a global Pentecostal movement, a spiritual reinvigoration of conviction that’s still continuing to this day. The *Los Angeles Times* greeted this development with perplexed racist diatribes, labeling it a fanatical sect engaging in a “Weird Babel of Tongues.” These particular churchgoers were calling themselves “saved and sanctified” while refusing to be associated with the oppressive confines of the denominations they had abandoned for the Pentecostal church. The musical styles that were birthed out of what many have come to know as the Sanctified church or Holiness church would later be adapted and appropriated to create blues, jazz, and rock – the very bedrock of American music.
Sister Rosetta Tharpe embodied the explosion that was black music at the turn of the last century. A stunning black woman of 23 years of age, just beginning her career with a rich voice, she sang gospel music while accompanying herself on electric guitar. Tharpe, in her time, was a vital presence in American
music, her playing as crucial and influential as T-Bone Walker and Muddy Waters. The difference was that she was mostly playing in churches, to the devoted critical ears of the black sanctuary.
Not much is known about Tharpe’s father, who was said to be a talented singer. Her mother was a learned musician who greatly influenced Rosetta – but the greater influencer of both Rosetta and her mother was the Holiness Church of God in Christ (COGIC), for which Rosetta’s mother was an evangelist. The city of Cotton Plant, Arkansas, where Rosetta was born, is only an hour from the musical mecca of Memphis, where the COGIC was based. This area of the South, along with the Mississippi Delta, forms a Bermuda Triangle of black music where heads may get lost in the rapture. Tharpe’s upbringing here is crucial in context to the sound she perfected and brought to her secular audience.
As a child, Rosetta played various instruments at church and in her travels, accompanying her mother. Multi-instrumentalists are common in the Holiness church, which fully embraces music as a part of its doctrine. My own father, who is an elder in the church, regularly quotes the 150th Psalm’s third verse: “Praise him with trumpet sound; praise him with lute and harp!” Services offer praise to the heavens with guitar, drums, and outcrying, boisterous vocals that are recognized the world over – a sound whose excited dynamics clearly informed Tharpe’s development as an artist.
Rosetta’s secular career venturing outside the church began to blossom in 1938, when she moved to New York with her mother after her first marriage to a COGIC preacher came to an end. That year, she began recording for Decca Records and released multiple hits: "My Man and I," "The Lonesome Road," "That’s All." These songs positioned her as something that other gospel artists traditionally hadn’t been — aligning her with jazz and blues musicians as a talented contemporary and available collaborator. This would alienate her
from many churchgoers, who objected to this sort of integration into what’s called “worldly” music, as well as rumors of her bisexuality. Yet concerns over the prurience of her work did little to impede her career.
Rosetta would perform at the world famous Cotton Club and Carnegie Hall, singing songs such as her major hit "Rock Me," which had gospel lyrics begging, "Wash my soul with water from on high," and an almost secular delivery of the line "Rock me in the cradle of thy love." She packed clubs and concert venues while delivering showy efficiency with her superb guitar picking. In archival footage of her performances, her eyes often seem transfixed, gazing above her audience, perhaps witnessing something everyone else cannot see. Occasional twitches of her neck, hunching of her shoulders, and kicking her feet up as if she’s pushing dirt at Satan creeping up behind her are staples of the Holiness church. Her performative movement in these clips resembles the COGIC sisters and mothers who moved, danced, and shouted like her while “catching the holy ghost” or “getting the spirit.” This is when churchgoers are overtaken by the spirit of God, known as the Holy Ghost or Holy Spirit, and become overwhelmed by the emotion of their spirituality. During these moments people often “speak in tongues,” which is a principal expression of the Pentecostal movement that separates them from other faiths.
Zora Neale Hurston wrote about this in her epic ethnography, *The Sanctified Church*:
There is the expression known as "shouting" which is nothing more than a continuation of the African "Possession" by the gods. The gods possess the body of the worshipper and he or she is supposed to know nothing of their actions until the god decamps. This is still prevalent in most negro protestant churches and is universal in the Sanctified churches. They protest against the more highbrow churches' efforts to stop it. It must be noted that the sermon in these churches is not the set thing that is in the other protestant churches. It is loose and formless and is in reality merely a framework upon which to hang more songs. Every opportunity to introduce new rhythm is eagerly seized upon. The whole movement of the Sanctified church is a rebirth of song-making!
The rock music that Sister Rosetta Tharpe created is the unwanted child of sanctification and the Holiness church. As black artists have often done, she took this sound beyond the church walls where it was conceived. After all, dancing, singing, racial integration, black protest and many of the sounds we've come to know as blues or rock were already happening in the Holiness church long before the secular genres that followed were established. Elvis Presley and his white contemporaries knew this well; many of them attended black churches and later copied what they were hearing. Too often, writers and historians have located the birth of rock and roll within other voices, without explicitly naming this black woman as the musical genius and crucial originator that she was. This only serves to undermine her talent and efficacy, and the exquisiteness of black history.
Tharpe toured relentlessly, performing with jazz and blues artists in both secular and religious settings. She went back to recording more gospel-themed music in the late 1940s. In 1947, she started a singing duet with fellow gospel performer Marie Knight (also from COGIC), and together they recorded traditional hymns such as "Oh When I Come to the End of My Journey" and
gospel tunes including "Up Above My Head." She experimented with explicitly secular blues music in the early 1950s, which turned out to alienate her ever further from her fan base. She would remarry again and continue touring throughout her life in the '60s and on into the early '70s. While she was on a blues tour in Europe with Muddy Waters in 1970, Tharpe would develop health complications that hastened her death. She died on October 9, 1973 at the age of 58.
It’s important to remember Tharpe. She has historically been under-recognized, as women often are. It would serve us well to attend her contributions to music and not further discredit her in death. Though she graced many musical icons with her presence, her name remains much less known than it should be. Sister Rosetta Tharpe was the product of a church that helped her craft style, and a race and gender that has to be twice as good at everything to be recognized as good at all. She did all this during a time when things were much harder. If we look back on her life, we’ll be obliged to honor a black woman who took the world where it had never been. | <urn:uuid:cdd777de-dc0d-4c70-b49c-61d0653209ef> | CC-MAIN-2019-04 | https://urbanedmixtape.files.wordpress.com/2018/02/tell-the-truth-about-the-history-of-the-united-states-and-its-black-people-2018-week-5-text-part-1.pdf | 2019-01-16T14:51:55Z | crawl-data/CC-MAIN-2019-04/segments/1547583657510.42/warc/CC-MAIN-20190116134421-20190116160421-00367.warc.gz | 697,734,208 | 8,613 | eng_Latn | eng_Latn | 0.981387 | eng_Latn | 0.998267 | [
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While examining a thin slice of cork, Robert Hooke saw that the cork resembled the structure of a honeycomb consisting of many little compartments. Cork is a substance which comes from the bark of a tree. This was in the year 1665 when Hooke made this chance observation through a self-designed microscope. Robert Hooke called these boxes cells. Cell is a Latin word for ‘a little room’.
This may seem to be a very small and insignificant incident but it is very important in the history of science. This was the very first time that someone had observed that living things appear to consist of separate units. The use of the word ‘cell’ to describe these units is being used till this day in biology.
Let us find out about cells.
5.1 What are Living Organisms Made Up of?
Activity 5.1
- Let us take a small piece from an onion bulb. With the help of a pair of forceps, we can peel off the skin (called epidermis) from the concave side (inner layer) of the onion. This layer can be put immediately in a watch-glass containing water. This will prevent the peel from getting folded or getting dry. What do we do with this peel?
- Let us take a glass slide, put a drop of water on it and transfer a small piece of the peel from the watch glass to the slide. Make sure that the peel is perfectly flat on the slide. A thin camel hair paintbrush might be necessary to help transfer the peel. Now we put a drop of safranin solution on this piece followed by a cover slip. Take care to avoid air bubbles while putting the cover slip with the help of a mounting needle. Ask your teacher for help. We have prepared a temporary mount of onion peel. We can observe this slide under low power followed by high powers of a compound microscope.
**Fig. 5.1: Compound microscope**
What do we observe as we look through the lens? Can we draw the structures that we are able to see through the microscope, on an observation sheet? Does it look like Fig. 5.2?
**Fig. 5.2: Cells of an onion peel**
We can try preparing temporary mounts of peels of onions of different sizes. What do we observe? Do we see similar structures or different structures?
**What are these structures?**
These structures look similar to each other. Together they form a big structure like an onion bulb! We find from this activity that onion bulbs of different sizes have similar small structures visible under a microscope. The cells of the onion peel will all look the same, regardless of the size of the onion they came from.
These small structures that we see are the basic building units of the onion bulb. These structures are called cells. Not only onions, but all organisms that we observe around are made up of cells. However, there are also single cells that live on their own.
**More to know**
Cells were first discovered by Robert Hooke in 1665. He observed the cells in a cork slice with the help of a primitive microscope. Leeuwenhoek (1674), with the improved microscope, discovered the free living cells in pond water for the first time. It was Robert Brown in 1831 who discovered the nucleus in the cell. Purkinje in 1839 coined the term ‘protoplasm’ for the fluid substance of the cell. The cell theory, that all the plants and animals are composed of cells and that the cell is the basic unit of life, was presented by two biologists, Schleiden (1838) and Schwann (1839). The cell theory was further expanded by Virchow (1855) by suggesting that all cells arise from pre-existing cells. With the discovery of the electron microscope in 1940, it was possible to observe and understand the complex structure of the cell and its various organelles.
The invention of magnifying lenses led to the discovery of the microscopic world. It is now known that a single cell may constitute a whole organism as in *Amoeba*, *Chlamydomonas*, *Paramoecium* and bacteria. These organisms are called unicellular organisms (uni = single). On the other hand, many cells group together in a single body and assume different functions in it to form various body parts in multicellular organisms (multi = many) such as some fungi, plants and animals. Can we find out names of some more unicellular organisms?
Every multi-cellular organism has come from a single cell. How? Cells divide to produce cells of their own kind. All cells thus come from pre-existing cells.
**Activity 5.2**
- We can try preparing temporary mounts of leaf peels, tip of roots of onion or even peels of onions of different sizes.
- After performing the above activity, let us see what the answers to the following questions would be:
- (a) Do all cells look alike in terms of shape and size?
- (b) Do all cells look alike in structure?
- (c) Could we find differences among cells from different parts of a plant body?
- (d) What similarities could we find?
Some organisms can also have cells of different kinds. Look at the following picture. It depicts some cells from the human body.
*Fig. 5.3: Various cells from the human body*
The shape and size of cells are related to the specific function they perform. Some cells like *Amoeba* have changing shapes. In some cases, the cell shape could be more or less fixed and peculiar for a particular type of cell; for example, nerve cells have a typical shape.
Each living cell has the capacity to perform certain basic functions that are characteristic of all living forms. How does a living cell perform these basic functions? We know that there is a division of labour in multicellular organisms such as human beings. This means that different parts of the human body perform different functions. The human body has a heart to pump blood, a stomach to digest food, and so on. Similarly, division of labour is also seen within a single cell. In fact, each such cell has got certain specific components within it known as cell organelles. Each kind of cell organelle performs a special function, such as making new material in the cell, clearing up waste material from the cell, and so on. A cell is able to live and perform all its functions because of these organelles. These organelles together constitute the basic unit called the cell. It is interesting that all cells are found to have the same organelles, no matter what their function is or what organism they are found in.
**Questions**
1. Who discovered cells, and how?
2. Why is the cell called the structural and functional unit of life?
### 5.2 What is a Cell Made Up of? What is the Structural Organisation of a Cell?
We saw above that the cell has special components called organelles. How is a cell organised?
If we study a cell under a microscope, we would come across three features in almost every cell: plasma membrane, nucleus, and cytoplasm. All activities inside the cell and interactions of the cell with its environment are possible due to these features. Let us see how.
#### 5.2.1 Plasma Membrane or Cell Membrane
This is the outermost covering of the cell that separates the contents of the cell from its external environment. The plasma membrane allows or permits the entry and exit of some materials in and out of the cell. It also prevents movement of some other materials. The cell membrane, therefore, is called a selectively permeable membrane.
How does the movement of substances take place into the cell? How do substances move out of the cell?
Some substances like carbon dioxide or oxygen can move across the cell membrane by a process called diffusion. We have studied the process of diffusion in earlier chapters. We saw that there is spontaneous movement of a substance from a region of high concentration to a region where its concentration is low.
Something similar to this happens in cells when, for example, some substance like CO₂ (which is cellular waste and requires to be excreted out by the cell) accumulates in high concentrations inside the cell. In the cell's external environment, the concentration of CO₂ is low as compared to that inside the cell. As soon as there is a difference of concentration of CO₂ inside and outside a cell, CO₂ moves out of the cell, from a region of high concentration, to a region of low concentration outside the cell by the process of diffusion. Similarly, O₂ enters the cell by the process of diffusion when the level or concentration of O₂ inside the cell decreases. Thus, diffusion plays an important role in gaseous exchange between the cells as well as the cell and its external environment.
Water also obeys the law of diffusion. The movement of water molecules through such a selectively permeable membrane is called...
osmosis. The movement of water across the plasma membrane is also affected by the amount of substance dissolved in water. Thus, osmosis is the net diffusion of water across a selectively permeable membrane toward a higher solute concentration.
What will happen if we put an animal cell or a plant cell into a solution of sugar or salt in water?
One of the following three things could happen:
1. If the medium surrounding the cell has a higher water concentration than the cell, meaning that the outside solution is very dilute, the cell will gain water by osmosis. Such a solution is known as a hypotonic solution.
Water molecules are free to pass across the cell membrane in both directions, but more water will come into the cell than will leave. The net (overall) result is that water enters the cell. The cell is likely to swell up.
2. If the medium has exactly the same water concentration as the cell, there will be no net movement of water across the cell membrane. Such a solution is known as an isotonic solution.
Water crosses the cell membrane in both directions, but the amount going in is the same as the amount going out, so there is no overall movement of water. The cell will stay the same size.
3. If the medium has a lower concentration of water than the cell, meaning that it is a very concentrated solution, the cell will lose water by osmosis. Such a solution is known as a hypertonic solution.
Again, water crosses the cell membrane in both directions, but this time more water leaves the cell than enters it. Therefore the cell will shrink.
Thus, osmosis is a special case of diffusion through a selectively permeable membrane. Now let us try out the following activity:
**Activity 5.3**
Osmosis with an egg
(a) Remove the shell of an egg by dissolving it in dilute hydrochloric acid. The shell is mostly calcium carbonate. A thin outer skin now encloses the egg. Put the egg in pure water and observe after 5 minutes. What do we observe? The egg swells because water passes into it by osmosis.
(b) Place a similar de-shelled egg in a concentrated salt solution and observe for 5 minutes. The egg shrinks. Why? Water passes out of the egg solution into the salt solution because the salt solution is more concentrated.
We can also try a similar activity with dried raisins or apricots.
**Activity 5.4**
Put dried raisins or apricots in plain water and leave them for some time. Then place them into a concentrated solution of sugar or salt. You will observe the following:
(a) Each gains water and swells when placed in water.
(b) However, when placed in the concentrated solution it loses water, and consequently shrinks.
Unicellular freshwater organisms and most plant cells tend to gain water through osmosis. Absorption of water by plant roots is also an example of osmosis.
Thus, diffusion is important in exchange of gases and water in the life of a cell. In addition to this, the cell also obtains nutrition from its environment. Different molecules move in and out of the cell through a type of transport requiring use of energy.
The plasma membrane is flexible and is made up of organic molecules called lipids and proteins. However, we can observe the structure of the plasma membrane only through an electron microscope.
The flexibility of the cell membrane also enables the cell to engulf in food and other material from its external environment. Such processes are known as endocytosis. *Amoeba* acquires its food through such processes.
Find out about electron microscopes from resources in the school library or through the internet. Discuss it with your teacher.
**Questions**
1. *How do substances like CO\textsubscript{2} and water move in and out of the cell? Discuss.*
2. *Why is the plasma membrane called a selectively permeable membrane?*
### 5.2.2 Cell Wall
Plant cells, in addition to the plasma membrane, have another rigid outer covering called the cell wall. The cell wall lies outside the plasma membrane. The plant cell wall is mainly composed of cellulose. Cellulose is a complex substance and provides structural strength to plants.
When a living plant cell loses water through osmosis there is shrinkage or contraction of the contents of the cell away from the cell wall. This phenomenon is known as plasmolysis. We can observe this phenomenon by performing the following activity:
**Activity 5.6**
- Mount the peel of a Rhoeo leaf in water on a slide and examine cells under the high power of a microscope. Note the small green granules, called chloroplasts. They contain a green substance called chlorophyll. Put a strong solution of sugar or salt on the mounted leaf on the slide. Wait for a minute and observe under a microscope. What do we see?
- Now place some Rhoeo leaves in boiling water for a few minutes. This kills the cells. Then mount one leaf on a slide and observe it under a microscope. Put a strong solution of sugar or salt on the mounted leaf on the slide. Wait for a minute and observe it again. What do we find? Did plasmolysis occur now?
What do we infer from this activity? It appears that only living cells, and not dead cells, are able to absorb water by osmosis.
Cell walls permit the cells of plants, fungi and bacteria to withstand very dilute (hypotonic) external media without bursting. In such media the cells tend to take up water by osmosis. The cell swells, building up pressure against the cell wall. The wall exerts an equal pressure against the swollen cell. Because of their walls, such cells can withstand much greater changes in the surrounding medium than animal cells.
### 5.2.3 Nucleus
Remember the temporary mount of onion peel we prepared? We had put iodine solution on the peel. Why? What would we see if we tried observing the peel without putting the iodine solution? Try it and see what the difference is. Further, when we put iodine solution on the peel, did each cell get evenly coloured?
According to their chemical composition different regions of cells get coloured differentially. Some regions appear darker than other regions. Apart from iodine solution we could also use safranin solution or methylene blue solution to stain the cells.
We have observed cells from an onion; let us now observe cells from our own body.
**Activity 5.7**
- Let us take a glass slide with a drop of water on it. Using an ice-cream spoon gently scrape the inside surface of the cheek. Does any material get stuck on the spoon? With the help of a needle we can transfer this material and spread it evenly on the glass slide kept ready for this. To colour the material we can put a drop of methylene blue solution on it. Now the material is ready for observation under microscope. Do not forget to put a cover-slip on it!
- What do we observe? What is the shape of the cells we see? Draw it on the observation sheet.
Was there a darkly coloured, spherical or oval, dot-like structure near the centre of each cell? This structure is called nucleus. Were there similar structures in onion peel cells?
The nucleus has a double layered covering called nuclear membrane. The nuclear membrane has pores which allow the transfer of material from inside the nucleus to its outside, that is, to the cytoplasm (which we will talk about in section 5.2.4).
The nucleus contains chromosomes, which are visible as rod-shaped structures only when the cell is about to divide. Chromosomes contain information for inheritance of characters from parents to next generation in the form of DNA (Deoxyribo Nucleic Acid) molecules. Chromosomes are composed of DNA and protein. DNA molecules contain the information necessary for constructing and organising cells. Functional segments of DNA are called genes. In a cell which is not dividing, this DNA is present as part of chromatin material. Chromatin material is visible as entangled mass of thread like structures. Whenever the cell is about to divide, the chromatin material gets organised into chromosomes.
The nucleus plays a central role in cellular reproduction, the process by which a single cell divides and forms two new cells. It also plays a crucial part, along with the environment, in determining the way the cell will develop and what form it will exhibit at maturity, by directing the chemical activities of the cell.
In some organisms like bacteria, the nuclear region of the cell may be poorly defined due to the absence of a nuclear membrane. Such an undefined nuclear region containing only nucleic acids is called a nucleoid. Such organisms, whose cells lack a nuclear membrane, are called prokaryotes (Pro = primitive or primary; karyote ≈ karyon = nucleus). Organisms with cells having a nuclear membrane are called eukaryotes.
Prokaryotic cells (see Fig. 5.4) also lack most of the other cytoplasmic organelles present in eukaryotic cells. Many of the functions of such organelles are also performed by poorly organised parts of the cytoplasm (see section 5.2.4). The chlorophyll in photosynthetic prokaryotic bacteria is associated with membranous vesicles (bag like structures) but not with plastids as in eukaryotic cells (see section 5.2.5).
### 5.2.4 Cytoplasm
When we look at the temporary mounts of onion peel as well as human cheek cells, we can see a large region of each cell enclosed by the cell membrane. This region takes up very little stain. It is called the cytoplasm. The cytoplasm is the fluid content inside the plasma membrane. It also contains many specialised cell organelles. Each of these organelles performs a specific function for the cell.
Cell organelles are enclosed by membranes. In prokaryotes, beside the absence of a defined nuclear region, the membrane-bound cell organelles are also absent. On the other hand, the eukaryotic cells have nuclear membrane as well as membrane-enclosed organelles.
The significance of membranes can be illustrated with the example of viruses. Viruses lack any membranes and hence do not show characteristics of life until they enter a living body and use its cell machinery to multiply.
5.2.5 (i) **ENDOPLASMIC RETICULUM (ER)**
The endoplasmic reticulum (ER) is a large network of membrane-bound tubes and sheets. It looks like long tubules or round or oblong bags (vesicles). The ER membrane is similar in structure to the plasma membrane. There are two types of ER—rough endoplasmic reticulum (RER) and smooth endoplasmic reticulum (SER). RER looks rough under a microscope because it has particles called ribosomes attached to its surface. The ribosomes, which are present in all active cells, are the sites of protein manufacture. The manufactured proteins are then sent to various places in the cell depending on need, using the ER. The SER helps in the manufacture of fat molecules, or lipids, important for cell function. Some of these proteins and lipids help in building the cell membrane. This process is known as membrane biogenesis. Some other proteins and lipids function as enzymes and hormones. Although the ER varies greatly in appearance in different cells, it always forms a network system.
**Fig. 5.5:** Animal cell
Thus, one function of the ER is to serve as channels for the transport of materials (especially proteins) between various regions of the cytoplasm or between the cytoplasm and the nucleus. The ER also functions as a cytoplasmic framework providing a surface...
for some of the biochemical activities of the cell. In the liver cells of the group of animals called vertebrates (see Chapter 7), SER plays a crucial role in detoxifying many poisons and drugs.
Camillo Golgi was born at Corteno near Brescia in 1843. He studied medicine at the University of Pavia. After graduating in 1865, he continued to work in Pavia at the Hospital of St. Matteo. At that time most of his investigations were concerned with the nervous system. In 1872 he accepted the post of Chief Medical Officer at the Hospital for the Chronically Sick at Abbiategrasso. He first started his investigations into the nervous system in a little kitchen of this hospital, which he had converted into a laboratory. However, the work of greatest importance, which Golgi carried out was a revolutionary method of staining individual nerve and cell structures. This method is referred to as the ‘black reaction’. This method uses a weak solution of silver nitrate and is particularly valuable in tracing the processes and most delicate ramifications of cells. All through his life, he continued to work on these lines, modifying and improving this technique. Golgi received the highest honours and awards in recognition of his work. He shared the Nobel prize in 1906 with Santiago Ramony Cajal for their work on the structure of the nervous system.
5.2.5 (ii) GOLGI APPARATUS
The Golgi apparatus, first described by Camillo Golgi, consists of a system of membrane-bound vesicles (flattened sacs) arranged approximately parallel to each other in stacks called cisterns. These membranes often have connections with the membranes of ER and therefore constitute another portion of a complex cellular membrane system.
The material synthesised near the ER is packaged and dispatched to various targets inside and outside the cell through the Golgi apparatus. Its functions include the storage, modification and packaging of products in vesicles. In some cases, complex sugars may be made from simple sugars in the Golgi apparatus. The Golgi apparatus is also involved in the formation of lysosomes [see 5.2.5 (iii)].
5.2.5 (iii) LYSOSOMES
Structurally, lysosomes are membrane-bound sacs filled with digestive enzymes. These enzymes are made by RER. Lysosomes are a kind of waste disposal system of the cell. These help to keep the cell clean by digesting any foreign material as well as worn-out cell organelles. Foreign materials entering the cell, such as bacteria or food, as well as old organelles end up in the lysosomes, which break complex substances into simpler substances. Lysosomes are able to do this because they contain powerful digestive enzymes capable of breaking down all organic material. During the disturbance in cellular metabolism, for example, when the cell gets
damaged, lysosomes may burst and the enzymes digest their own cell. Therefore, lysosomes are also known as the ‘suicide bags’ of a cell.
5.2.5 (iv) MITOCHONDRIA
Mitochondria are known as the powerhouses of the cell. Mitochondria have two membrane coverings. The outer membrane is porous while the inner membrane is deeply folded. These folds increase surface area for ATP-generating chemical reactions. The energy required for various chemical activities needed for life is released by mitochondria in the form of ATP (Adenosine triphosphate) molecules. ATP is known as the energy currency of the cell. The body uses energy stored in ATP for making new chemical compounds and for mechanical work.
Mitochondria are strange organelles in the sense that they have their own DNA and ribosomes. Therefore, mitochondria are able to make some of their own proteins.
5.2.5 (v) PLASTIDS
Plastids are present only in plant cells. There are two types of plastids – chromoplasts (coloured plastids) and leucoplasts (white or colourless plastids). Chromoplasts containing the pigment chlorophyll are known as chloroplasts. Chloroplasts are important for photosynthesis in plants. Chloroplasts also contain various yellow or orange pigments in addition to chlorophyll. Leucoplasts are primarily organelles in which materials such as starch, oils and protein granules are stored.
The internal organisation of the Chloroplast consists of numerous membrane layers embedded in a material called the stroma. These are similar to mitochondria in external structure. Like the mitochondria, plastids also have their own DNA and ribosomes.
5.2.5 (vi) VACUOLES
Vacuoles are storage sacs for solid or liquid contents. Vacuoles are small sized in animal cells while plant cells have very large vacuoles. The central vacuole of some plant cells may occupy 50-90% of the cell volume.
In plant cells vacuoles are full of cell sap and provide turgidity and rigidity to the cell. Many substances of importance in the life of the plant cell are stored in vacuoles. These include amino acids, sugars, various organic acids and some proteins. In single-celled organisms like *Amoeba*, the food vacuole contains the food items that the *Amoeba* has consumed. In some unicellular organisms, specialised vacuoles also play important roles in expelling excess water and some wastes from the cell.
Questions
1. Can you name the two organelles we have studied that contain their own genetic material?
2. If the organisation of a cell is destroyed due to some physical or chemical influence, what will happen?
3. Why are lysosomes known as suicide bags?
4. Where are proteins synthesised inside the cell?
Each cell thus acquires its structure and ability to function because of the organisation of its membrane and organelles in specific ways. The cell thus has a basic structural organisation. This helps the cells to perform functions like respiration, obtaining nutrition, and clearing of waste material, or forming new proteins.
Thus, the cell is the fundamental structural unit of living organisms. It is also the basic functional unit of life.
**Cell Division**
New cells are formed in organisms in order to grow, to replace old, dead and injured cells, and to form gametes required for reproduction. The process by which new cells are made is called cell division. There are two main types of cell division: mitosis and meiosis.
The process of cell division by which most of the cells divide for growth is called mitosis. In this process, each cell called mother cell
divides to form two identical daughter cells (Fig. 5.7). The daughter cells have the same number of chromosomes as mother cell. It helps in growth and repair of tissues in organisms.
Specific cells of reproductive organs or tissues in animals and plants divide to form gametes, which after fertilisation give rise to offspring. They divide by a different process called meiosis which involves two consecutive divisions. When a cell divides by meiosis it produces four new cells instead of just two (Fig. 5.8). The new cells only have half the number of chromosomes than that of the mother cells. Can you think as to why the chromosome number has reduced to half in daughter cells?
What you have learnt
- The fundamental organisational unit of life is the cell.
- Cells are enclosed by a plasma membrane composed of lipids and proteins.
- The cell membrane is an active part of the cell. It regulates the movement of materials between the ordered interior of the cell and the outer environment.
- In plant cells, a cell wall composed mainly of cellulose is located outside the cell membrane.
- The presence of the cell wall enables the cells of plants, fungi and bacteria to exist in hypotonic media without bursting.
- The nucleus in eukaryotes is separated from the cytoplasm by double-layered membrane and it directs the life processes of the cell.
- The ER functions both as a passageway for intracellular transport and as a manufacturing surface.
- The Golgi apparatus consists of stacks of membrane-bound vesicles that function in the storage, modification and packaging of substances manufactured in the cell.
- Most plant cells have large membranous organelles called plastids, which are of two types – chromoplasts and leucoplasts.
• Chromoplasts that contain chlorophyll are called chloroplasts and they perform photosynthesis.
• The primary function of leucoplasts is storage.
• Most mature plant cells have a large central vacuole that helps to maintain the turgidity of the cell and stores important substances including wastes.
• Prokaryotic cells have no membrane-bound organelles, their chromosomes are composed of only nucleic acid, and they have only very small ribosomes as organelles.
• Cells in organisms divide for growth of body, for replacing dead cells, and for forming gametes for reproduction.
Exercises
1. Make a comparison and write down ways in which plant cells are different from animal cells.
2. How is a prokaryotic cell different from a eukaryotic cell?
3. What would happen if the plasma membrane ruptures or breaks down?
4. What would happen to the life of a cell if there was no Golgi apparatus?
5. Which organelle is known as the powerhouse of the cell? Why?
6. Where do the lipids and proteins constituting the cell membrane get synthesised?
7. How does an Amoeba obtain its food?
8. What is osmosis?
9. Carry out the following osmosis experiment:
Take four peeled potato halves and scoop each one out to make potato cups. One of these potato cups should be made from a boiled potato. Put each potato cup in a trough containing water. Now,
(a) Keep cup A empty
(b) Put one teaspoon sugar in cup B
(c) Put one teaspoon salt in cup C
(d) Put one teaspoon sugar in the boiled potato cup D.
Keep these for two hours. Then observe the four potato cups and answer the following:
(i) Explain why water gathers in the hollowed portion of B and C.
(ii) Why is potato A necessary for this experiment?
(iii) Explain why water does not gather in the hollowed out portions of A and D.
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All spiffed up
Thanks to the Purcell city administration and employees, City Hall is ready for the Fourth of July holiday.
Light up the skies
Free fireworks show set at lake
If you are headed to Purcell Lake on the Fourth, prepare to be wowed by some never before seen fireworks.
Levi Clark, president of Arc Pyrotechnics Inc., said his company has developed new fireworks that people have never seen before.
The colors and designs, he added, are simply amazing.
Clark said his company has included one in the Purcell show and one of seven shows the company will stage across the state on the Fourth.
The company will also produce and stage the largest public fireworks show in Oklahoma on Saturday night at Lawton.
Chris Griffith, Purcell’s parks and recreation director, said there is no admission charge to watch the fireworks show.
Please see Fireworks, back page
The Fourth
Weekend celebrating independence
Break out all your red, white and blue and prepare to celebrate 240 years of independence on the Fourth of July.
The holiday will be Monday, with federal, state, county and city offices, as well as many private businesses and banks closed for the day.
The Purcell Register will be among those closed on Monday.
For a few, however, the long weekend will have an earlier start on Friday.
City offices in Washington and Wayne will close at noon Friday.
Purcell, Lexington and Goldsby city offices will be closed Monday.
Purcell Public Library will be closed Sunday and Monday. It will reopen for regular hours on Tuesday.
Both McClain Bank and First United Bank will be open for regular hours on Saturday, but will be closed Monday.
There will be no mail delivery on Monday.
The Monday holiday will also be observed by Mid-America Technology Center.
Ringing bell for education
Purcell School Foundation assists school district
In times of economic down turn like the ones we are going through in Oklahoma, it is always a good time when a solid foundation can supplement.
The Purcell Public School Foundation, which has assets of nearly $320,000, has assisted Purcell Schools with numerous projects this past school year to the tune of nearly $28,000.
In addition to the $8,000 in grants awarded this year, the Foundation has donated $4,000 for risers for the In
Please see School, back page
Operating revenue
Penny tax would ease PMH crisis
In 7-1/2 weeks, the voters of Purcell will turn thumbs up or thumbs down on McClain County’s only hospital.
On August 23 they will be asked to approve a penny sales tax, the proceeds of which will belong 100 percent to Purcell Municipal Hospital with a single purpose – keeping
Please see PMH, back page
Rain in forecast
The .18” of rain that fell here on Sunday brings the total for 2016 to 23.10”. Normal for this date is 18.37”. That same day Oklahoma City received 2.3” bringing their yearly total to 15.71”.
Additional rain is predicted for the remainder of the week and into next week.
Military tribute
Section C of this week’s Purcell Register is a military tribute.
New chief
Long-time Purcell firefighter Greg Cybert has been promoted to chief.
Find it...
Opinion..............4A
Society..............6A
Neighbors...........1B
Obituaries...........8A
Classifieds.........7B
Southbound and down
Traffic was backed up from downtown Purcell almost all the way to Slaughterville raising concerns about the weight of traffic stuck on the James C. Nance Bridge for most of the day Thursday due to a three vehicle fiery crash on the Norman bridge in the southbound lanes of the interstate. The interstate traffic was diverted to US 77 with vehicles reentering the interstate at the south Purcell exit.
5K Lake Run set for July 2
It’s the 21st annual Heart of Oklahoma Lake Run
The annual Purcell 5K Lake Run is set for Saturday, July 2, at the Purcell City Lake.
The run will start at the Rotary pavilion, located west of the old north dam.
Committee members are anticipating that this year’s run will be a great event as the 21st year of the run is celebrated.
The run will start promptly at 7:30 a.m. Participants may register using the form in this week’s Purcell Register.
Race day registration will begin at 6:30 a.m. The entry fee for each runner will be $18 for pre-registrants and $20 on race day.
The first 100 registrants will be guaranteed a T-shirt commemorating the run. Checks should be made payable to the Purcell Lake Run.
There will be the opportunity for local businesses, churches, civic organizations, etc., to enter five-person relay teams. The cost for a non-corporate team will be $40 and $20 for age 12 and under.
The 5K Relay is the championship relay for the State of Oklahoma.
Proceeds of this year’s run will benefit the Purcell High School Track and Cross Country Teams.
“Bring a friend and get some exercise and help us support this worthy cause,” said organizer Dr. Rick Schmidt.
For more information you may contact Dr. Schmidt at 527-7555.
PJH enrollment upcoming
Purcell Junior High school enrollment will be held July 26-28 from 8 a.m. to 3 p.m.
Proof that the student has had the Tdap vaccine for seventh graders is required before they can enroll. The McClain County Health Department, 9th floor, administrator the shot on Wednesdays from 8:30-11 a.m. and 1-4 p.m. For more information on the Tdap shot call the health department at 627-6541.
Students new to the school district must provide a birth certificate, Social Security card and proof of immunizations.
Nemecek named Norman Branch Manager
Charlie Sherman, CEO, announces that Kelly Nemecek has been named Branch Manager of the McClain Bank Norman Branch.
Sherman said, “Kelly is an important part of the McClain Bank team. We look forward to her continued growth in the Norman market under his leadership.”
Born in Pauls Valley and raised in Wayne and Purcell, Kelly graduated from Purcell High School in 1984. He is a 1989 graduate of Oklahoma State University with a Degree in Business. He completed his MBA from Oklahoma City University in 2001.
His first job was at McClain Bank in the early 1990s, where he worked for over a year before leaving to work at Southern Manhattan Bank in Dallas, Texas, for 4-1/2 years.
Kelly returned to Oklahoma in 1996 and began working as a Loan Officer at McClain Bank. He quickly became an Assistant Vice President, and then a Vice President of the Bank.
Rain appears back in forecast
We will have a chance for T-storms everyday next week except Wednesday, though none should be severe. Highs will be in the lower 90s and lows in the mid to upper 70s. The 4th of July has a slight chance for T-storms, however it is not expected to be a washout so keep those outdoor plans!
~Ashley Pratt
Purcell one of five to see sales tax returns increase in June
Sales tax revenue returned by the Oklahoma Tax Commission to 514 cities and towns in June came to $129,513,036. That was a decrease of $4,209,684 from the $133,722,720 disbursement a year ago.
There were 399 municipalities that received a share of $10,768,443 in use tax revenue. Seventy-six counties shared in the sales tax disbursement that totaled $27,051,995. Unallocated funds ($2,389,056 were returned to 74 counties.
The sales and use taxes represent sales from April 16-30 and estimated sales from May 1-15.
**NEWS In Brief**
**Blood Drive**
Oklahoma Blood Institute will hold a blood drive from 1:30-6 p.m. Thursday, June 30, at the Trinity United Methodist Church Fellowship Hall, 211 N. 2nd, in Purcell.
Appointments are not necessary, but can be made by calling 877-340-5777 or visiting www.obi.org.
**Freedom Celebration Event**
The public is invited to a Freedom Celebration Fellowship Sunday, July 3, at Rose Hill Pentecostal Church of God, 19251 State Hwy. 39 (10 miles east) of Lexington.
The event will begin at 7:45 p.m. with prayer/flag/pole/singing and food followed by fireworks at 9 p.m. Bring lawn chairs and blankets for seating.
**City Council to Meet July 5**
The Purcell City Council and Public Works Authority will hold its regular meetings Tuesday, July 5, at 7 p.m. at the Public Safety Complex meeting room.
The public is invited and encouraged to attend.
**Subscribe and Help Libraries**
You can help fight illiteracy and get your local news source all wrapped up in one easy step.
Fill out the form to subscribe or renew your subscription to The Purcell Register and you can donate to the school library of your choice.
For every renewal or subscription the newspaper will donate $5 to the subscriber’s name to school libraries in Purcell, Lexington, Washington or Wayne.
The offer will continue through August 1.
Yearly subscriptions are $30 for McClain, Oklahoma and Garvin counties, $40 in all other counties and $58 for out-of-state.
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**Benefit Golf Tournament**
Landmark Church is hosting a golf tournament Saturday, July 9, at the Brent Kendall Memorial Golf Course in Purcell. The 4-man scramble is $200 to enter a team, $75 to sponsor a hole or $260 to enter a team and sponsor a hole.
All proceeds will held the Landmark youth with summer camp expenses.
To sign up, or for more information, call Birtney Thompson at (405) 694-9276 or Amber McNally at (405) 640-8646.
**Required Immunization**
All incoming seventh grade students at Purcell Junior High are required to get TDAP shots before they will be allowed to enroll. This is a state requirement and must be received before the start of the 2016-2017 school year.
The McClain County Health Department will be open on Monday, July 4, to get their TDAP shot Tuesdays from 8:30-11 a.m. and 1-4 p.m., and Wednesdays from 8:30-11 a.m.
For more information, call Purcell Junior High at 527-6591 extension 3304.
**Museum News**
The McClain County Museum and Historical Society will be open Thursday, June 30, Friday, July 1, and Monday, July 4, from 1-4 p.m.
Contact the museum at mcclainmuseum.com, call (405) 701-3171 or Facebook to schedule an alternate time to visit or to purchase the historic Purcell poster.
**Purcell Little League Football**
Purcell Little League Football signups will be held July 9, 16 and 23 from 8 a.m. to noon at the garage behind Pizza Hut in Purcell.
The signup fee is $65 for the first child and $45 for each sibling and the cost of jerseys/pants is $75/set.
Each player will need to turn in a copy of their birth certificate and a recent photo.
**Landmark VBS**
Vacation Bible School at Landmark Church will be held from 6-8:30 p.m. July 11-15. Children join the elders of Landmark Church, located at 1106 W. Grant in Purcell.
**NA Group**
Purcell New Beginnings Group of Narcotics Anonymous meets Wednesdays at 8 p.m. for Living Clean, Fridays at 8 p.m. for Basic Text and Saturdays at 8 p.m. for It Works.
The group meets at the 7th and Monroe Church of Christ in Purcell.
For more information call Sarah W. at (405) 816-9233 or Cody C.(405)468-1732.
**Competency, Placements Exams**
Purcell High School will be providing competency and placement exams at 8 a.m. Wednesday, July 27, in the high school library.
Students interested in taking the exams need to email Amy Tolle at email@example.com with their name and what they wish to take by Thursday, July 21, in order to be eligible to participate.
**McClain County Field Day**
Join McClain County Conservation District, the Oklahoma Association of Conservation Districts, USDA-NRCS, and Oklahoma State University for a morning field day focusing on the impact of cover crops.
Experts will be available to answer questions about soil, seeding rates and mixes, and the economics of cover crops.
This workshop is free and open to the public. Attendees
Please see Field Day, page 8A
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**Purcell students study at Oklahoma Summer Arts Institute**
Years of hard work and dedication have paid off for three Purcell students, who have earned spots at the prestigious Oklahoma Summer Arts Institute at Quartz Mountain (OSAI), held June 11-26, now celebrating its 40th year.
The talented students are studying with nationally renowned faculty artists from across the U.S. In conjunction with acceptance, all students receive full scholarships to attend the program.
“Gord Ford, studying orchestra, Harrison Johnson, studying drawing and painting, and Braiden Maggia, studying film and video, all attend Purcell High School,” said Ford.
The work of the Oklahoma Summer Arts Institute has been part of Oklahoma’s cultural landscape for four decades,” said Joy Hofmeister, State Superintendent of Public Instruction. “It may be even more crucial than ever in a year like 2016, when a difficult budget environment has eliminated fine arts classes in many schools around the state. Art enriches life, and programs like OSAI are an inspiration to Oklahoma’s young people and their families.”
At OSAI, Oklahoma high school students spend at least six hours a day studying one of nine artistic disciplines in the literary, visual, and performing arts. In the evenings, they attend a variety of performances, lectures, and demonstrations that give them an appreciation of the arts outside of their chosen discipline.
Students from different disciplines and backgrounds study, reside, and eat meals together.
With so many highly motivated and gifted students working together in close quarters, lifelong friendships and career-enhancing collaborations often develop.
“OSAI is, to say the very least, an amazing opportunity,” said Ford. “I’m absolutely ecstatic that I have the opportunity to meet like-minded people and play with an outstanding orchestra for two weeks. If anything, I feel that it will definitely be a great experience to have to bring to college this fall.”
Since its inception, many famous artists have taught at the program.
Former faculty artists include recipients of the Academy, Emmy, Grammy, and Tony Awards. This year’s Institute boasts a stellar faculty, including presidential inaugural poet Richard Blanco and internationally renowned photographer Karen Marks. Additionally, OSAI alumnus Timothy Long has returned to conduct the 2016 Institute Orchestra.
“This will be my third year to attend the Oklahoma Summer Arts Institute at beautiful Quartz Mountain. To be one of a handful of students selected from across the state for drama and painting is truly an honor,” said Johnson. “I have to thank my high school
Please see OSAI, page 8A
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**70-73 Fireworks**
C. It is unlawful to discharge, fire, explode or ignite fireworks at any time in the city.
The City of Purcell may issue a citation in the amount of $109 if you are caught.
There will be a fireworks display at dusk on Monday, July 4, at the Purcell City Lake.
The City of Purcell, the Heart of Oklahoma Chamber of Commerce and private donations are sponsoring the show.
For more information call 527-6561.
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**Can This Non Surgical Treatment End Your Knee Pain Nightmare?**
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Finally a non surgical, painless treatment has Doctors winning the war against knee pain and might be the answer to your prayers.
Can You Imagine Starting 2016 Without Knee Pain?
For many, this will be possible. Imagine waking up without pain, still knees, being able to keep up with your spouse or friends again. It would be life changing. This is why this non surgical, painless treatment has become so popular and why Dr. Ellis has provided thousands of treatments to Oklahomans over the past 16 years.
The Non-Surgical Answer
Dr. Tracy Ellis, D.C. has developed a very popular non-surgical knee pain treatment program and people with knee pain can’t seem to get it fast enough.
How Does It Work?
To keep it simple, the painless lasers are applied directly to your knees. Actually the treatment feels good. The lasers help to alleviate your pain by reducing inflammation, promote healing allowing the damaged tissues that are causing your pain to heal naturally. As this happens, you will have less pain, more movement and enjoy life like you did before the knee pain.
If you Answer Yes To One Of These You Are Eligible For Dr. Ellis’ $27 Knee Pain Evaluation?
- Knee Arthritis
- Bone on bone
- Need or had surgery
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It Is Very Important That You Don’t Wait-Here is Why:
Because Dr. Ellis is limited to only the first 12 people that call this week. Also, clinical experience shows that the sooner you receive treatment in most cases dangerous surgery may be avoided.
How Do I Get It?
The demand for Dr. Ellis’ treatments is very high so he must limit his offer to only the first 12 people that call his office each week. Pick up the phone today and call 405-378-3400 and say you want your $27 Knee Pain Evaluation.”
The risk-free screening will determine if you are a candidate for this treatment. It has changed so many lives and for some erased their knee pain.
If you are a candidate we will let you know, if another treatment is better for you, they will let you know.
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You will speak personally with Dr. Ellis (not a wait person) the evaluation will take 20-30 minutes. You will
One Last Thing… You DO NOT need a referral from another doctor to receive these DOCTOR portions of the treatment. Since Dr. Tracy Ellis’ D.C. Knee pain treatment is so successful, his office is flooded with calls so if you read this after hour or the weekend call right now 405-378-3400, the phones are answered live 24/7 so you will not miss the deadline. Call Now.
Another win for ShaeBug
Purcell’s ShaeBug Scarberry is not only a fashion statement on the golf course with her Pippi Longstocking socks.
But she is also a two time defending state medalist golf champion and is headed not off to college but to the 11th grade.
Scarberry was up to her old tricks in last week’s 6th annual Texas-Oklahoma Junior Golf Tournament in Wichita Falls, Texas.
Scarberry “ballooned” to an opening round 74 at the Wichita Falls Country Club.
But she came back to fire three straight 68s to win the Monday morning, two-day tournament going away.
Her 278 four-day total was eight strokes ahead of the tournament’s runner-up.
In the field were several college players or future college players.
The final two blistering rounds were at the Champions Course at Weeks Park in Wichita Falls, according to her dad, Tony Scarberry.
The tournament was for girls ages 12-18, Tony said.
Scarberry has led the Dragons to the last two state team titles but will have her work cut out for her with the loss of three seniors in Ashton Nemecek, Kara Davis and Peighton Walker.
In the meantime, Scarberry is once again honing her skills and doing what she does best…winning golf tournaments.
jdm
The July 4 holiday is John Deere’s favorite of all time so he should be a happy camper on Monday.
The only problem with the Fourth landing on a Monday is there is no day to relax and recoup after a long night watching fireworks.
Here’s wishing everyone a safe and Happy Fourth.
That should make Tuesday at the newspaper office even tetter than it normally is.
Hope everyone has a good one.
jdm
Ticked off by ticks
Brian Blansett
Tri-County Herald
This column is about ticks at my place that, I hope, soon will be eaten by guineas.
I have to be honest and tell you it is taking all the self restraint I can muster to avoid writing that I have several nervous ticks.
I am sure you appreciate my efforts in this regard. As you know, I would never resort to words play or punny pips. Like when we say that we have more ticks than a time bomb. I can resist that urge all day long.
Or that Monroe the dog has ticks like a cheap mattress. True enough, she does, but I will never put such a thing in print.
So, I’ll just write that thousands of the little suckers seem to have hatched in the last two weeks.
Monroe learned how to climb over the backyard fence a week or so ago and took several tours of the neighborhood before I strung a hot wire above the chain link.
Each time, she would come back with ticks crawling all over her.
Compare this with my chicken and turkey pen, which is half an acre patrolled by a guinea named, creatively, Guinea.
I had read articles in home-streadding/country living magazines that portrayed guineas as vacuuming ticks like little Hoover’s on claws, so I got a couple last year.
Turns out, that’s just about what happened. Ticks are candy to a guinea.
Recently, one of the guineas disappeared. I suspect it flew over the fence and became dinner for a fox or coyote, leaving Guinea by himself.
He continues to keep the chicken and turkey pen free of ticks but they are becoming a problem in the back yard.
Earlier this year, I bought four guinea keets, three of whom survived and are now large enough to do the two things that guineas do well: chatter and eat ticks.
So, I will make a roost in the back yard and keep them there until it is tick-free.
Martin won’t bother them. He learned as a pup that poking its nose into a wall pack a dog on the forehead.
Before I brought Monroe home, I would sometimes leave open the gate between the chicken/turkey pen and the backyard. Martin and the birds would happily coexist.
Monroe was older when she came to live with us and I worry that she will chase the guineas.
If she does, I’ll be ticked. Literally.
NEWS FROM CAPITOL HILL
Combating the root of terrorism
Congressman Tom Cole
While our nation continues to mourn the innocent lives that were lost in the horrific terrorist attack in Orlando, Fla., our leaders are pushing to know more details as each day passes.
And each day, another disturbing truth is revealed.
Unfortunately, the conversation has strayed from the shooter’s clear, ISIS-inspired motive. The blame has shifted from the shooter’s mind, to the shooter’s gun. The root of this evil is terrorism, and we must do everything we can to stop it.
Almost immediately, the shooter was identified as Omar Mateen. Shortly after, it was revealed that he had been investigated by the FBI prior, but twice, and had not been included on their terrorist watch list.
Following an investigation, the FBI concluded that he did not pose a real threat, and he was removed from its watch list.
This blind obliviousness cannot happen again. The threats lie with those who seek to infect our American ideals and any suspicious man must be identified thoroughly, and investigated fully. Slipping through the cracks will only increase the risk of more loved ones taken from families too soon.
In addition to revealing how and why the Orlando shooting happened, we must be diligent in holding the FBI accountable for its practices and actions. For anyone this suspicious to slide by without regard to their past is extremely detrimental to our efforts to keep our nation secure.
Our suspicions were confirmed once a harrowing 911 call was released by the FBI, where the shooter pledged allegiance to ISIS, and identified himself as an enemy of the United States.
Initially, the details of the phone call were left out – significantly, the claims of radical Islam. It is frustrating to see that our government cannot acknowledge a real threat when they see it.
Time and time again, this Administration has refused to recognize that acts of terrorism are being committed in the name and service of radical Islam, and to ISIS. The evidence is clear. The Administration needs to stop cowering from this evil, and to start identifying those who wish to cause harm, before it materializes.
Although we cannot bring back those 49 innocent victims, we can bring justice for them through our fight against terrorism in homes and abroad. In order to do so, it is imperative that Congress step forward with solid legislation to begin defeating our enemies before they have a chance to strike. I’ve introduced legislation to authorize the military force against ISIS, with faith that it will initiate the efforts to take this fight to the enemy.
We must utilize our resources to prevent another act of terrorism. Our nation will not stand for enemies on our soil. The root of terrorism can be, and will be, defeated.
Your Views
Christian viewpoint
Dear Editor:
If whoever becomes our next president does not support our Lord and bring this country back to our Christian heritage, then this country as we have known it will be finished.
God will not long tolerate the sins of America. The slaughter of babies will be the last straw and He will withdraw His blessings. Nor can a nation give legal rights and endorse sin. There are age old laws in which we must abide.
Our nation is leading down a dark country astray and it must be brought to an end. It is obvious there must be big changes made and we as Christians must take our stand.
We must demand these sinful regulations and laws, that fly in the face of God, must be brought to an end.
This country must turn from its sinful ways.
Rev. Carl Wetherell
Other side of the story
Dear Editor,
In The Purcell Register dated June 23 Rep. Lisa Billy tells readers in her weekly column that anyone who says “education is not a focus of house republicans is simply intellectually dishonest.” Strong words indeed from the normally mild mannered and soon-to-be former state representative. She will leave office in November due to term limits. I wish her good luck in future pursuits.
However, and at the very obvious risk of being labeled “intellectually dishonest”, I indeed strongly disagree with the usually very reasonable Rep. Billy when she proclaims that House Republicans have done a wonderful job of looking out for our schools and the kids we entrust to them daily.
Like all of us, Lisa has a right to her own opinions. However she doesn’t have a right to invent her own facts. The facts about what really has happened to education during her 12 years in the legislature follow like this:
1. That same North Dakota Legislature that increased teacher pay by $8,500. Similarly Mississippi found money to fund a $2,500 pay raise for all teachers in that impoverished state. Lisa and her Republican colleagues have done nothing in this regard so now Oklahoma is dead last in the nation for teacher salaries. That’s right, 50th. This ranks the eighth straight year without pay increases.
2. Because of the teacher shortage in our state over 1,000 emergency teaching certificates were issued by the Department
Please see Hobson, page 5A
**Hot seat**
*These Rotarians, plus Mike Barrey, had a very hot task last Saturday of cooking nearly 150 steaks for the annual Rotary Steak Dinner fund-raiser at the McClain County Farm and Home Community Center. From left are Bernie Cash, team leader Victory Lohn, Cody Barton, Barrey and Danny Jacobs.*
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**Together, we are “Fighting Hunger... Feeding Hope.”**
In 1993, we held our first Letter Carriers’ Food Drive for the Regional Food Bank of Oklahoma. We collected 120,000 pounds of food in six communities and thought we were on to something.
Fast forward to May 14, 2016. More than a million donation bags were distributed throughout 198 communities in central and western Oklahoma. 170 businesses signed up to participate in a month-long food drive, letter carriers across the state picked up donated food along with the mail and volunteers helped pack the food.
Thanks to the generous support of the United States Postal Service; our sponsors, letter carriers, volunteers and individuals who donated, we collected nearly 828,000 pounds of food and raised $590,000 - enough to provide the equivalent of more than 3.6 million meals for our hungry Oklahoma neighbors. In Purcell alone, more than 3,780 pounds of food were collected to benefit Delta Community Action.
The people who helped with the success of this food drive did so not out of guilt, pity or even obligation. They helped because they understand that service to others is a part of the social responsibility that comes with being a member of a community.
They gave, if for no other reason, because they understand that there may come a day when they or someone they know may find themselves in need. We must always remember that we are no better than the people we are serving; we are simply better off.
A recent report out of Washington University found that, by the time they are 60 years old, nearly four in five people experience some kind of economic hardship: they’ve gone through a spell of unemployment, or spent time relying on a government program like food stamps, had to turn to a food pantry for help, or lived at least one year in poverty or very close to it.
In Oklahoma, one in six adults struggles with hunger. The majority of people served by the Regional Food Bank are the working poor struggling to survive on minimum-wage jobs, children and seniors trying to make ends meet on a fixed income. In income-uncertain households, the first item to be reduced is food – in both quantity and quality. That’s why your food and funds matter so critically to certain families literally hundreds of thousands of Oklahomans who depend on the Regional Food Bank and our partner agencies in 53 central and western Oklahoma counties to keep food on their table.
We, in turn, depend on the generosity and compassion of our donors to keep our shelves stocked so that we can continue to meet the needs of our hungry neighbors. Your gifts of time, money and skills help fill the pantries of some very appreciative families. Thank you for helping fight hunger and feed hope in Oklahoma.
Rodney Bivens, Regional Food Bank of Oklahoma
Bivens is executive director and founder of the Regional Food Bank of Oklahoma
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**Bonner retires**
Greg Cypert steps in as new chief
Greg Cypert will become Purcell’s new fire chief today (Thursday).
Cypert replaces Gary Bonner who has been fire chief for just over three years.
Bonner began work as chief on May 6, 2013.
He was previously employed with the Noble Fire Department.
The chief before Bonner was Mike Clifton, who resigned in January 2013.
Cypert served as acting chief following Clifton’s resignation.
Cypert, who was graduated from Purcell High School in 1987, was hired as a volunteer fireman Nov. 11, 1988.
Seven years later he was hired as a full time fireman and he has now worked his way up to chief.
Cypert and his wife, Ann, have two sons, Taylor, 21, and Tyson, 18.
A retirement party for Bonner has been postponed.
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**From page 2A**
Nemecek:
He now serves as a Senior Vice President and is a member of the Raymond Writers.
Kelly lives in Norman, with his wife, Shandy, and their two children, Ryder and Rowan.
When asked why he selected a career in banking, Nemecek answered, “There has been the best part of banking, he said. “For me, it’s building relationships with our customers and trying to help them realize their dreams, whether that’s someone owning their own business, buying some land, or buying a new vehicle. Banking is a great field.”
Currently, he serves as Branch Manager. Kelly will be responsible for developing and enhancing new and existing banking relationships for business and personal customers in the Norman area. Additionally, he is responsible for coaching, educating and mentoring employees and serving as the senior lender in the branch. Kelly will continue to provide service to his existing customers and can be reached at 527-1579.
McClain Bank is located in Purcell, Norman, Noble and Lexington and has been serving customers for 94 years.
When asked what he considered the best part of banking, he said, “For me, it’s building relationships with our customers and trying to help them realize their dreams, whether that’s someone owning their own business, buying some land, or buying a new vehicle. Banking is a great field.”
Kelly will be responsible for developing and enhancing new and existing banking relationships for business and personal customers in the Norman area. Additionally, he is responsible for coaching, educating and mentoring employees and serving as the senior lender in the branch. Kelly will continue to provide service to his existing customers and can be reached at 527-1579.
McClain Bank is located in Purcell, Norman, Noble and Lexington and has been serving customers for 94 years.
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**Hobson:**
of Education to people who are not qualified to teach in Oklahoma classrooms. That probably doesn’t matter unless you want your kids to learn something of substance while in school.
3. A number of area schools have announced four day per week class schedules starting fall due to the monetary crisis. Watch by Lisa and other Republican solons who regularly remind us they are in charge of the legislature … and they are! Bridge Creek, Newcastle, Little Axe and other communities near you have made such decisions.
4. A $33 million dollar appropriation for textbooks was deleted from the final budget approved and voted for by the Republican House. Who needs books anyway? Kids have Play Stations if they can’t read without them and believe they will get jobs in Hollywood creating video games.
5. Numerous other programs such as language arts, psychology, social services, early childhood and disadvantaged children initiatives were abolished or drastically reduced.
6. No state in the union has deeper than Oklahoma – nearly a 25 percent reduction over the last eight years. At the same time 10,000 more students are enrolled in them.
7. Consequently class sizes have soared while Lisa and company “have focused on education.” It is now the norm to have 30 or more students per classroom which is especially harmful in the lower grades. Don’t believe me? Ask a teacher.
8. The University of Oklahoma, located in and near Lisa’s legislative district, took another devastating budget cut of 16 percent for the year starting July 1st. OU will also as well be designated a private university because due to legislative neglect it receives only 11 percent of its funding from the state. Therefore tuition will be raised again in the fall by an another seven percent. How’s that for frugal and conservative spending by Lisa and friends? Perhaps frugal for them. Not so much if you are a student at OU or supporting one enrolled there.
In closing I know Lisa personally and she is indeed pleasant, earnest and anxious to please. However, her legislative voting record is damaging, clueless and downright harmful to our school children, not only of today, but unfortunately those of tomorrow.
Now that’s truly “intellectually dishonest.”
Sincerely,
Cal Hobson
Lexington
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**Once again, the truth shall Set Raymond Free!**
Kevin Slimp’s
The Good Folks of Lennox Valley
The ladies in Caroline’s Beauty Salon were on pins and needles after hearing Raymond Cooper, host of the daily radio talk show, “Rendezvous with Raymond,” deliver chilling words, “I have the latest news flash in Lennox Valley history,” just after Vera Penrod announced that Elbert Lee Jones and Marvin Walsh were the latest to leave the town square across the street.
While all the good ladies in Caroline’s were getting their hair just right for Sunday services, Iris Long, editor of Lennox Valley Human News, was sitting down at her desk to write what might be the most important story of her career.
With four days before the town New Year’s Eve party, she knew it would take something for Marvin and Elbert Lee to keep the news from Cooper that Jones had just confessed to being part of an egg price-fixing scheme headed by none other than Raymond Cooper himself.
That’s when Long heard Raymond’s announcement about the upcoming news flash. Her heart sank. She knew that Raymond was a most prominent celebrity long before he bought the town’s only radio station and ran for mayor.
Cooper was notorious for getting himself into trouble and just as quick finding a way to escape the consequences of his actions.
Iris put her fingers off the keyboard and swiveled. There was no way she could do it.
Back at the radio station, the frantic atmosphere had calmed a bit. In the background, the old country song “Trust and Obed” played. Iris had told his listeners that Elbert Lee had earlier that he had been inspired by his conversation with the previous on-air guest, Brother Jacob, to play a few gospel songs to help the listeners get through the scheme.
A few moments earlier, as Jacob exited the station’s front door, Marvin and Elbert Lee almost knocked him over, their pastor as they hurried toward the lobby while the rest of the hour’s commercials were playing over the air.
“What has gotten into you?” blared Raymond as his winded friends caught their breath.
“Elbert Lee has gone and done it this time.”
Marvin shot back, “He told that newspaper editor that you were behind the egg price deal!”
“Exactly what did he say?” asked Cooper.
Marvin answered, “He said it was ‘that radio man.’”
“That was all he said!” added Cooper.
“Wasn’t that the truth?” Walsh shot back.
Cooper called everyone to sit down. “Give me a minute to think,” he said coldly.
And think he did. Raymond always had an idea. The next trouble he seemed to get out of, the more his listeners loved him. He was a born champion. Cooper knew he just needed the right angle.
In the final hymn played, Raymond heard the words of gospel favorite just as his listeners heard it. “Be still and the storm will cease. Save from wrath and make me pure.”
As the final chorale of the hymn played, Raymond went over the plan once again with the two farmers. Elbert Lee was having such a hard time staying calm that Cooper finally told him to go home in his car.
They had spread throughout the town, and more than two-thirds of the good folks of Lennox Valley were sitting by their radios waiting for the news flash.
“Welcome back, friends,” Raymond began. “I now know why the good Lord led me to play those calming songs a moment ago. He must have known what was about to happen.”
Iris could hardly believe her ears. Just how Cooper was going to get out of this mess.
Cooper continued, “I’m sitting in the studio with Marvin Walsh and Elbert Lee-Jones, two respected farmers and leaders of our community. They’ve come to me wanting to confess something to all the good folks of our town.”
You could hear a pin drop in Caroline’s Beauty Salon as everyone listened.
Cooper continued, “I told Raymond, ‘that my prayer earlier in the show caused these two to do some real soul searching. Elbert Lee just told me that he felt led by God here to tell the citizens of our community that, while he is due to issue a loan to the Federal Reserve, they feel some responsibility for the rise in egg prices over the past two years in our community.’
Iris sank in her seat.
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**READ MORE @ LENNOXVALLEY.COM**
It’s a Small World
Gracie Montgomery
Hope everyone has a Happy July 4th.
Don’t forget to enjoy the fireworks at the Purcell City Lake on Monday evening.
The Purcell Register will be closed Monday for the July 4th holiday.
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A special happy birthday wish to Brady Moakley of Purcell.
Brady celebrates his 12th birthday Friday, July 1.
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Happy birthday to The Register’s own Lorettia Farley.
Loretta celebrates her birthday Thursday, June 30.
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Happy birthday to Eulalia Roberts, Noah Ewing, Ma. De Jesus Cruz, Shane Ellis, Kathleen Loux, Juan Aguinaga, Sarah Dumas, Andrew Johnson, Kaitlyn Jeffrey, Charlene Francis Johnson, Katie Wilson, Blue Ramona Dawson, Glenn Wilder, Leona Mote, Pam Irwin, Lisa Webb, Nathan Croslin, Raigan Tompkins, Chance Hutchens, Jordan Lorim, Georgia Grosroot, Carllyn Ferrell, Corkey Anderson, Kagin Davis, Dustin Glover, Beckam Evans, Brilyn Smith and Houston Hays.
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Happy 62nd anniversary to Charles and Lureen Boydston of Purcell.
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You can help fight illiteracy and get your only local news source all wrapped up in one easy step.
Fill out the form to subscribe or renew your subscription to The Purcell Register so you can donate to the school library of your choice.
For every renewal or subscription, the newspaper will donate $5 in the subscriber’s name to school libraries in Purcell, Lexington, Washington or Wayne.
The offer will continue through August 1.
Yearly subscriptions are $30 in the Purcell, Cleveland and Garvin counties, $40 in all other counties and $58 for out-of-state.
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Happy 62nd anniversary to Charles and Lureen Boydston of Purcell.
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The annual Purcell 5K Lake Run is this Saturday, July 2, at the Purcell City Lake.
The run will start at the Rotary pavilion, located west of the recreation center.
The run will start promptly at 7:30 a.m. Participants may register using the form in this week’s Purcell Register.
Walkers will start at 7:15 a.m. The entry fee for each participant is $1, with the first 100 runners guaranteed a T-shirt commemorating the run.
Race day registration will begin at 6:30 a.m. and is $20. Checks should be made payable to the Purcell Lake Run.
Proceeds of this year’s run will benefit the Purcell High School Track and Cross Country Teams.
For more information you may contact Dr. Rick Schmidt at 527-7555.
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The Summer Reading Program means the Purcell Public Library’s Preschool and Toddler Story Time is racing ahead with stories and more for youngsters, with Storytime set for 10:30 a.m. Thursday, June 30.
Each session of Preschool and Toddler Story will feature stories, rhymes, songs, games and other activities geared to children ages three to five.
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Burton Family Reunion
The children and grandchildren of E.B. and Ova Burton will be hosting a family reunion July 1-3 at the home of Bob and Gail Trimmell.
All relatives and friends are invited to attend.
Saturday will be the fun day. There will be lots of food, fun and visitation.
We would like to see everyone have a good time.
92nd Rosedale reunion
By LaVelta Williams
Rosedale Reporter
The Rosedale High School Alumni Association meets in the Fellowship Hall of the Rosedale First Baptist Church for the 92nd meeting June 25.
Classmates and honorary members enjoyed fellowship and reminiscing. Several had made all arrangements to be present.
Honorary member, John Williams of Fort Worth, Texas, said grace for the occasion. D.J. Yoakum, a 1940 graduate, led the group in the flag salute.
President Del McGowen, a 1951 graduate, extended a warm welcome to all. John Williams was guitar/vocalist for a brief time of entertainment.
Donald Ray Wallace represented his Class of 1956 honoring their 60th anniversary. President Del McGowen honored the Class of 1946 on their 70th anniversary. Unfortunately, no one from that class was present.
Secretary LaVelta Williams, a graduate of 1952, reported five deaths of alumni members this year. They include Odessa Walker Roberts, 1940; Kenneth Ward, 1946; Joyce Mosely Wells, 1950; John Henry Millsap, 1952; and Melvin Penner, 1956. One honorary member was Velma Marie Box Williams.
Tables and programs were arranged with colorful flowers and Hydrangeas. The group enjoyed a meal catered from Susie Que. Various photos on a DVD Blast from the Past were shown and enjoyed by all.
The last class to graduate from Rosedale High School was 1957. Please plan to attend as they will celebrate their 60th anniversary. We will plan something special.
We hope to see you June 24, 2017 for the 93rd Alumni Meeting.
Bilingual story time, activities at the library
The Purcell Public Library is bringing communities together with its upcoming bilingual story times and activities.
The library will present two types of bilingual programs: Family Play Time/Lahorade junior en familia takes place at 11 a.m. Friday, July 1. It is for ages five and under and their caregivers and is a chance for children to learn and develop their brains through simple play.
¡Viva GLART! puts early literacy skills into practice through basic art play. The program will be 11 a.m. Friday, July 22, and is for ages five and under and their caregivers.
All materials will be provided.
The programs are part of the Pioneer Library System’s Read Like A Reader initiative and were made possible from a contribution from an anonymous donor to PLS in 2015.
For more information on the programs and services for children and families at the library, call 527-5546 or go online to www.pioneerlibrarysystem.org/purcell.
Combine Legos, laptops and creativity in library workshop
The Purcell Public Library combines Legos and creativity in a way of teaching some basic robotics in its program “We Do Legos,” meeting next at 2 p.m. Thursday, July 7.
Participants up to age 11 will build a project using Lego, laptop computers and step-by-step directions for programming their robots.
The first 16 participants will work in pairs with the laptops and Legos, and free form Legos will be provided for anyone else who attends until a laptop becomes free for another team to begin working.
All projects will remain library property when completed so the kits can be used again and again for future events.
The “We Do Legos” series takes place the first Thursday of most months, and registration is not required in advance to attend.
For more information, visit the library, call 527-5546 or go online to www.pioneerlibrarysystem.org/purcell.
Maker Mobile to make Purcell debut in ribbon cutting, teen event
The Purcell Public Library invites the community out for a special debut and ribbon cutting for the Pioneer Library System’s new Maker Mobile, at 1:30 p.m. Tuesday, July 5, at the library, 919 N. Ninth St.
The Heart of Oklahoma Chamber of Commerce is sponsoring the ribbon cutting which will allow a chance for a look at the newest feature of the library.
The vehicle is a mobile maker space, featuring many science and technology education items, including three-dimensional printer and scanner, CNC milling machine, laser cutter and laptops, as well as Wi-Fi access.
It will also have an informational touchscreen television that will allow customers to learn about the library’s downloadable collection through OverDrive and many other online features.
Following the ribbon cutting, a teen program for ages 12-16 is being held at 2 p.m., with participants getting a demonstration of the technology of the vehicle and a chance to take a project home from their afternoon.
Space for the teen event is limited, so registration in advance will be required for that part of the afternoon.
For more information, visit the library, call 527-5546 or go online to www.pioneerlibrarysystem.org/purcell.
Gary Lynn Bonner II
Funeral services for Gary Lynn Bonner II, 37, of Noble will be held at 2 p.m. Friday, July 1, 2016 at the Lexington First Baptist Church. Interment will be at Lexington Cemetery under the direction of Wilson-Little Funeral Home in Purcell.
Mr. Bonner died June 27, 2016.
Online condolences may be made at wilsonlifte.com.
Darrel Delane Hudson
Darrel Delane Hudson died June 6, 2016 in Purcell, Oklahoma at the age of 76 years 10 months 23 days.
Darrel was born July 14, 1939 in Noble, Oklahoma to Raymond and Jessie (Williams) Hudson. He was raised and attended school in Lexington, Oklahoma.
Darrel was inducted into the United States Army on January 18, 1963. He proudly served his country being honorably discharged on December 14, 1964. He and Irene Faye Hale were united in marriage on November 16, 1968 in Vinita, Oklahoma. They were married just shy of 39 years when Irene passed in 2007.
Darrel enjoyed bass fishing, camping, traveling, visiting with family and friends. He also enjoyed sitting on the front porch drinking coffee and watching cars pass the house and talking to his pup, Sugar.
Darrel is preceded in death by his parents, Raymond and Jessie Hudson; wife, Irene Faye Hudson; granddaughter, Starla Garcia and brother, James Earl Hudson.
Survivors include his daughters, Karen Webster, Twila Tiroch and Judy Richardson; grandchildren, Justin Webster, April Loera, Jason Dodge, Dalena Tyler, Dakota Holman, Danny Skinner and Carla Shackelford; sister, Barbara Croslin and husband, Clifford; brother, Dewey Hudson and wife, Ila, and Jimmy Hudson and wife, Terry; nine great-grandchildren; son-in-law for 20 years, Pat Webster; special friend, Laura Pace and many other relatives and friends.
Casketbearers were Matt Croslin, John Croslin, Adam Hudson, Ronnie Hudson, Clint Hudson and CoCo Bauman.
Honorary casketbearers were Jennifer Croslin, Steven Hudson, Kennon Howard and Jason Dodge.
Lillian Jeanette Bryen
Funeral services for Lillian Jeanette Bryen, 75, of Slaughterville, Okla., were held Wednesday, June 29, 2016 at Lakeside Church of God in Norton. Interment was at the Noble IOOF Cemetery under the direction of Wilson-Little Funeral Home in Purcell.
Mrs. Bryen passed away on Sunday, June 26, 2016 at her home surrounded by her family.
She was born August 15, 1940 in Oklahoma City, the third of six children. Her parents were Louis Carl Johnson and Ruth Marie (Hall) Johnson. Jeanette grew up in Noble and graduated from Noble High School in 1961. At the age of 22, she married Gordon Larry Bryen on July 2, 1962. They made their home on a small farm in Slaughterville and together raised one son, Larry.
Jeanette worked as a bus driver for Noble Public Schools for 20 years and the past nine years for Lexington Public Schools. She and Larry raised Larry for 48 years.
She loved spending time with her grandchildren, in all their activities, and also supported numerous area 4-H and FFA members with their projects. Jeanette loved traveling, being in the outdoors, taking care of her livestock, gardening, working with her hands and in her yard. She was a wonderful mother, grandmother, sister and friend. She will be greatly missed.
She was preceded in death by her husband, Gordon Larry Bryen; father, Louis Calvin Johnson; mother and step-father, Ruth and Russell Conkling; one sister, Melvina Jackson and two brothers, Donald Johnson and Ronnie Johnson.
She is survived by her son, Larry Bryen and wife, Sandy, of Thomas, Oklahoma; three grandchildren, Kane Bryen and wife, Deitra, of Arkadelphia, Arkansas; Cody Bryen and wife, Nicole, of Dale, Oklahoma; and Kyle Bryen of Thomas, Oklahoma; one sister, Marlene Grimes of Slaughterville, Oklahoma; two brothers, Cecil Johnson and wife, Joyce, of Norman, Oklahoma, and Ralph Conkling and wife, Celesta, of Noble, Oklahoma; two sisters-in-law, Carolyn Johnson of Norman, Arkansas, and Judy Johnson of Australia; many nieces, nephews, cousins and a host of friends.
Online condolences may be made at wilsonlifte.com.
James Lyndon Hilburn
Funeral services for James Lyndon Hilburn, 72, of Wayne will be held at 10 a.m. Thursday, June 30, 2016 at the Wilson-Little Funeral Home Chapel. Interment will be at Hopping Cemetery in Wayne under the direction of Wilson-Little Funeral Home in Purcell.
Mr. Hilburn passed away on Sunday, June 26, 2016 at the Oklahoma City Veterans Hospital.
He was born March 4, 1944 in Mobile, Alabama. He was the youngest of six children born to Admiral Dewey Hilburn and Ruby Lee (Bates) Hilburn. James grew up in Robertsdale, Alabama, and graduated from high school with the class of 1962. The same year he joined the United States Navy and served proudly his country for four years before being honorably discharged in 1968.
While stationed at Tinker Air Force Base he met Lenda Kay Hunt and two months later married on October 31, 1964. James and Lenda together raised three children, Jimmy, Renee and Pam. They lived in the Oklahoma City and Moore area for 22 years before moving to rural Wayne, Okla., in 2000. James owned nearly 10,000 acres of land, Candy Company and later 10 years for the R. C. Bottling Company. Because of his failing health he was forced to retire in 1996.
When he was able, James loved being in the outdoors where he enjoyed gardening and doing woodworking. Throughout his life he enjoyed watching old western movies and spending time with his wife, children and grandchildren.
James was preceded in death by his parents, Dewey and Ruby, Hilburn; one brother, William “Sunny” Hilburn and four sisters, Vonicle, Lois, Barbi Jean and Velma.
His is survived by his wife, Lenda Kaye Hilburn of the home in Wayne; one son, Jimmy Hilburn of Adlington, Texas; two daughters, Renee Morrison and husband, Kevin, of Cache, Okla., and Pam Bollman and husband, Chris, of Moore, Okla.; and a brood-in-law, Fletcher Sellers of Alaboda; seven grandchildren, Ray Bowen, Kylie Morrison, Alec Hilburn, Taylor Morrison, Tiffany Morrison, Beja Hilburn and Jordan Finch; many nieces, nephews, cousins and a host of other relatives and friends.
Online condolences may be made at wilsonlifte.com.
Joshua Clay “J.C.” Farmer
Joshua Clay “J.C.” Farmer died June 27, 2016 in Rosedale, Oklahoma at the age of 28 years 20 days. Funeral Services are scheduled for 11 a.m. Friday, July 1, 2016 at Wadley’s Funeral Chapel. Interment will follow at a local Cemetery near the east of Wadley’s Funeral Service.
J.C. was born June 7, 1988 in Oklahoma City, Oklahoma, to William and Sheryl Ann (Fox) Farmer. He was raised in the Rosedale Area, graduating from Wayne High School in 2007.
J.C. enjoyed hunting, fishing, working on and driving cars and trucks, shooting, welding and being “Uncle Bo” to his niece and nephew. He was a member of the Rosedale Fire Department since he was 18, but assisted since he was 15. J.C. was of the Baptist faith and a member of the Rosedale First Baptist Church.
J.C. is survived by his wife, his mother, Sheryl Farmer; maternal grandparents, Guin and Patricia Fox; paternal grandmother, Norma Farmer; uncle and aunt, Robert and Paula Farmer and cousin, Kayla Farmer.
Survivors include his father, William “Billy” Farmer, sister, Tricia Hobson and husband, Chris; nieces, Alyssa Hobson; nephew, Eli Hobson; all of the home; spouse, Dianne Farmer; son, Joshua; other family, friends and Gary Combs, Kyle and Kale Hobson, Addie Hobson and others. He was a paternal grandfather, William Sr., and many other relatives and friends.
Carol Ray Northcutt
A private memorial service was held for Carol Ray Northcutt, 96, who died June 18, 2016 in Purcell. Services were under the care of Wadley’s Funeral Service. Mr. Northcutt will be interred at Arlington National Cemetery in Arlington, Va., at a later date. Online condolences may be made at www.wadleysfuneralservice.com.
Mr. Northcutt was born May 7, 1920 in Lexington, the son of Walter Gideon and Nancy Essie Homer Northcutt.
He is survived by five Oklahoma siblings, C.D. of Ponca City, Walt of Edmond, Rubye Scull of Oklahoma City, Evelyn Hall of Bisby and Jonni Noah of Grove; daughters, Judy Ferris and Nancy and Paul Godfrey who live in Anacortes, Wash.
In lieu of flowers please send donations to the Alzheimer’s Association in memory of C. R. Northcutt, Oklahoma Alzheimer’s Association, 212 N. Classen Blvd., Oklahoma City, OK 73106, (405) 319-0780, alz.org/Oklahoma.
Charry Ann Thompson
Charry Ann Thompson, 69, of Lexington died June 22, 2016. She was preceded in death by her father, Sam Smith; mother, Bessie Smith and one son, Robert L. Robinson Jr.
She is survived by her daughters, Tammy Worley and husband, William Worley, of Lexington and Penny Massey and husband, Steve Massey, of Wagoner; son, Aaron Robinson and Tyler Dunaway of Purcell; grandchildren, Kayla Thompson, Derick Worley, Luna Martinez and husband, Alberto Martinez, Keshia Neff and husband, Jerney Neff and Kevin Thompson and Wendi Hasz and great-grandchildren, Miaca Martinez, Ian Neff, Wyatt Worley, Spencer Thompson, Ezra Martinez, Radley Thompson and Autumn Neff.
The senior citizen board has decided to keep the lunch program active during the summer, with a two week vacation for the month of July. The exact time will be reflected in the July Menu, with notification in the newspaper. Lunch will still be served at the same time, Wednesday and Thursday from 11 a.m. to 12:30 p.m.
New schedule for Exercise: Monday through Friday from 9-10 a.m. and Monday through Thursday from 5-6 p.m. There is a plan in the works to open some days at 10-15 a.m. We’ll keep you informed on this. If you would prefer another time on the schedule, contact Sue Peery at 527-3601, and leave a message as to your request. She will return your call.
Music on Tuesday at 1 p.m. Jam Session. You are invited to bring your instrument, guitar, fiddle or your singing voice and join in.
From page 3A
OSAI:
Art teacher Jon Corea and my former band director, Jennifer Hilger, for all they’ve done for me. Also my family and friends for their unwavering support.”
Quartz Mountain Nature Park has been the home of Intimate programming since its second year in 1978. This secluded locale makes it an ideal location for arts immersion. Set between Lake Altus-Lugert and the Rocky Mountain Quarries, the Arts & Conference Center boasts a 700-seat performance center, versatile studio spaces and more. Students and faculty draw inspiration from the beautiful natural setting.
“I feel that being accepted to attend the OSAI is a once-in-a-lifetime opportunity not only to grow in my field, but also in all aspects of life,” said Maggia. “I believe OSAI will further my understanding of film & video by working with professionals, other students, and professional equipment.”
Students were selected to attend OSAI through competitive state auditions, with nearly 1,000 students auditioning for just 273 spots.
Purcell students’ scholarships are provided by the Oklahoma State Department of Education and Sarkes Foundation Scholar’s Fund. Additional program support is provided by the Oklahoma Arts Council, Oklahoma Tourism and Recreation Department, Sharna and Irvin Frank Foundation, Samuel Roberts Noble Foundation, Zipporah Young Foundation and SONIC, America’s Drive-In. OSAI culminates in ONSTAGE Weekend, Friday, June 24, and Saturday, June 25. The weekend consists of concerts, performances, film screenings, and gallery exhibitions, where all OSAI students have a chance to present their work.
All ONSTAGE events are free and open to the public, and a performance schedule is available at oaiquartz.org or (405) 605-7500.
Field Day:
should meet at 8:30 a.m. in the parking lot of Libby’s Cafe, 111 N. Main Street, in Goldsby.
Please RSVP by Monday July 18, to firstname.lastname@example.org or (517) 763-8609.
Visit us at: purcellregister.com
OSDH tips for a safe Fourth
It’s time for Fourth of July celebrations – at home with family, friends, fireworks, a backyard barbecue, and maybe a trip to the lake. However, this American holiday is also one of the most dangerous times of year.
The Oklahoma State Department of Health (OSDH) offers the following safety tips for preventing injuries and illness during this year’s activities:
**Firework Safety**
- In areas where fireworks are legal, be allowed with appropriate permits.
- Obey all state and local laws regarding the sale, possession and use of fireworks.
- A responsible adult should supervise all firework activities. Never give fireworks to children.
- Wear safety glasses when shooting fireworks.
- Make sure you, your kids and others watch fireworks from a safe distance.
- Use fireworks outdoors in a clear area, away from buildings and vehicles.
- Always have a bucket of water and charged hose water nearby.
- Never throw or point a firework toward people, animals, vehicles, structures or flammable materials.
- Dispose of spent fireworks by wetting them down and placing in a metal trash can away from any buildings or combustible materials until the next day.
**Food Preparation**
- Clean: Wash hands for 20 seconds with soap and running water before, during, and after handling food. Hold friends and family accountable by asking them if they washed their hands. Wash all surfaces and utensils with hot, soapy water before and after preparing each food item.
- Separate: Avoid cross-contamination. Use separate cutting boards, plates and utensils for fresh fruits/veggies and for raw meat, poultry, seafood and eggs. Also make sure to keep these items separate when shopping at the store, storing in the refrigerator and during preparation.
- Cook: Grill and cook all meat products to the correct temperature. Use a food thermometer to correctly measure temperatures. Hamburgers should be brown throughout with no pink in the center and reaching at least 160 degrees. Whole poultry should reach at least 165 degrees; and leftovers should also reach 165 degrees when reheated.
- Chill: Leaving food sitting out all day or snack on can cause abdominal discomfort and diarrhea. To prevent illness, refrigerate easily spoiled foods within two hours. If the temperature is 90 degrees or higher, refrigerate within one hour.
- Illness: Do not cook food for others when you are ill. If you have had vomiting or diarrhea, wait at least 72 hours after symptoms have stopped before preparing food for others.
**Grilling Safety**
- Always supervise a barbecue grill when in use.
- Never grill indoors – not in your house, camper, tent or any enclosed area.
- Grill out in the open, away from the house, tree branches or anything flammable.
- Use long-handled tools especially made for cooking on the grill.
- Never add charcoal starter fluid when coals have already been ignited.
**Lake Safety**
- Always wear a life jacket when in the water or on a motorized water vehicle such as a boat or jet ski.
- Stay alert for local weather conditions. Check for warning signs or flags.
- Protect the neck – don’t dive headfirst into the water. Walk carefully into open waters.
- Never let your children swim alone. An adult should always be present and paying attention.
- Always have a phone handy should an emergency arise.
- Follow safe boating practices. Have an observer if rowing a person, stay a safe distance from the shore and use good judgment operating around other watercraft.
- Chart a safe course. The Fourth of July is sometimes the last day many people venture out on the water after dark. Visual navigation markers you rely on during the day may not be visible.
- Designate a sober driver. The side effects of alcohol are impaired judgment, reduced balance and poor coordination, which can lead to a deadly boating environment. It is illegal to operate a boat or water ski with a blood alcohol concentration (BAC) of 0.08 percent or more.
**Sun Exposure**
- Try to limit exposure to the sun between the hours of 10 a.m. and 4 p.m.
- Always wear a sun protective factor (SPF) of at least 15 with UVA and UVB protection and reapply every two hours, even on cloudy days.
- Stay hydrated and watch for signs of heat stroke – rapid, weak pulse, fast, slow breathing and hot, red skin. A heat stroke is a medical emergency.
To receive more information on summer heat safety or proper food handling techniques, visit http://health.ok.gov.
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**Small World:**
toddlers and preschool-age children and their caregivers. Registration is not required to attend any of the story times. Find out more by visiting the library, calling 527-5546 or going online to www.pioneerlibrarysystem.org/purcell.
***
I love slow cooker recipes and this one would be perfect for July 4th.
**Slow-Cooker Barbecue Beef Brisket**
3/4 cup Kraft Original Barbecue Sauce
1/4 cup flour
1-1/2 lb. small red potatoes (about 10)
3 carrots, peeled, cut lengthwise, then crosswise in half
1 onion, cut lengthwise in half, then crosswise in half
3 lb. beef brisket
Whisk barbecue sauce and flour until blended. Place vegetables in slow cooker; top with 1/2 cup barbecue sauce mixture and meat. Cover with lid. Cook on low 8 to 10 hours. Meanwhile, refrigerate or remove remaining sauce mixture until ready to use.
Remove meat from slow cooker; place on cutting board. Cover; let stand 10 minutes. Meanwhile, use slotted spoon to transfer vegetables to platter. Whisk remaining (refrigerated) barbecue sauce mixture into juices in slow cooker. Cook, covered, on high 10 minutes or until thickened. Cut meat across the grain into thin slices. Add to platter with vegetables. Drizzle with sauce.
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Tobacco use and associated disease kills over 7,500 Oklahomans each year and cost our state $1.62 billion in healthcare costs annually, according to the Campaign for Tobacco Free Kids.
While smoking rates have dropped in Oklahoma, the state still ranks well above the national average for per-capita tobacco use ranking 40th in the nation.
Purcell Municipal Hospital and its affiliated clinics are tackling the leading cause of preventable death in our nation head on by helping patients to quit.
PMH has adopted tobacco treatment best practices recommended by the Oklahoma Hospital Association (OHA) and Oklahoma Health Improvement Plan (OHIP).
“Curbing tobacco use is essential to improving health and reducing healthcare cost in Oklahoma, it is also a core measure of the OHIP. PMH is doing tremendous work by providing all patients who use tobacco with medications, counseling, and support to quit,” said Joy Leuthard, Health Improvement Initiative Coordinator for the Oklahoma Hospital Association.
“Since the launch of the project, the hospital has arranged for over 100 patients to receive follow up services from the Oklahoma Tobacco Helpline (1-800-QUIT-NOW),” she said. “They could be recognized for their contributions to health improvement in our state,” Leuthard said.
Additional support and resources for the tobacco cessation program at PMH have been provided by the OHIP Hospitals Helping Patients Quit program, which is funded by TSET.
If you are a patient or visitor at PMH, staff can suggest ways to ease nicotine withdrawal symptoms, and if you are ready to quit, trained professionals will help you.
Election:
Cynde Robertson and 4,202 for Marilyn Williams. Williams and Reynolds will go head to head in a runoff election on August 23.
The winner will face Lynn C.R. Stattin, a Democrat, and Kelly Owings, an independent, on November 8.
On the Republican ballot for the Oklahoma House District 42 seat, Jim Downing of Purcell received a total of 1,884 votes, while Brandon Lindsey of Lindsay. Those figures reflect results from both McClain and Garvin counties. The seat was previously held by Lisa Billy, who was term limited.
School:
Intermediate School, donated $7,000 for a teacher conference in Orlando, Fla., $5,000 for new iPads, $2,000 for a new gym floor at the elementary school and installed four benches at the Intermediate building at $150 apiece.
The Foundation will donate two additional picnic benches, also paid for by Jason Bailey and his Ag students this summer, bringing the total to $28,299.
Foundation President Kerry Wilhoit said it is a total team effort from his entire board of trustees that makes the Foundation successful.
“We also created an endowment with Oklahoma City Community Foundation for $25,000 and $15,000 in matching funds,” Wilhoit said.
In addition to Wilhoit, board of trustees include Mary Webb, John D. Montgomery, Gail Wilson, Jana Mayes, Carrie Mayes, Kraig Edelman, Justin Blankenship, Ted Cox, Becky Galyean, Kelly Eck, Pam Irwin, John D. Montgomery, Michael Dillinger, Jenny Gowens and ex officio board members principals Linda Dillard, Lori Ann Woods, Jay Solomon, Bret Petty, superintendent Jason Midkiff, assistant superintendent Jerry Swayze, faculty member Amy Tolle and school board member Kim Croslin.
The Foundation was founded in 1991 and has steadily built up its reserves and has served the Purcell School District each year of its existence.
PMH:
the hospital open through an uncertain future.
The hospital’s chief financial officer, Jennifer Warren, said the revenue will be used for “every day” operation of the hospital, including supplies.
“We are doing everything in our power not to close,” Warren stressed.
But facts are facts and there’s no denying there’s more red ink in the summer months than any other time of year.
“It’s very tight,” Warren continued. “The summer months are historically bad. Volume is down and reimbursement is down.”
The sales tax is “absolutely” vital to the hospital.
“Without it (sales tax), the future of our hospital is uncertain,” Warren said.
A combination of the Republican-led Oklahoma Legislature’s refusal to accept Medicaid dollars from the federal government as part of the Affordable Care Act and shrinking Medicare reimbursement has forced hospitals across the state out on a limb.
The towns of Sayre, Frederick and Enid all have lost their hospitals.
The city has pledged money to support the hospital until the first sales tax monies would be available in March. That support is slated to start in July.
Clothes pin challenge
Racing the clock, this girl sees how many times she can open and close a giant clothes pin in 30 seconds. It was one of the events Tuesday at a Summer Olympic Sports Science program at Purcell Public Library.
Fireworks:
“But donations are welcome,” he said.
The gates will open at 7 p.m. and the show will begin at 9:30 p.m.
The duration of the fireworks show will be similar to last year’s, lasting approximately 20 minutes, Griffith added.
The public is reminded that while it is legal to sell fireworks inside the city limits, setting them off in the city is a violation of a city ordinance.
Scholarship winner
Recent Purcell grad Hannah Bayless
Hannah Bayless, a 2016 Purcell High School graduate, was recently awarded 1st place in the Oklahoma City Chapter of the Executive Women’s International Scholarship Program (EWISP).
EWISP is an annual, competition-based program which awards more than $200,000 in college scholarship money each year.
It has been recognized by Money Magazine as one of the top 12 scholarship programs in the United States.
Students are nominated by their schools to participate in the competition. Judges select winning students based on their scholastic achievement, leadership qualities, good citizenship and extra-curricular activities.
Hannah will receive $3,500 at the chapter level. Her application will be submitted to the corporate level for a chance to win one of six corporate scholarships which range between $1,000 and $5,000.
As a result, Purcell High School will receive an award of $500 which was presented to Purcell High School counselor Amy Tolle.
Hannah will be attending Oklahoma State University in the fall where she will major in zoology.
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Academic All-State
Shianne Andrew, center, is congratulated by Kathy and Neil Schiemer at the Oklahoma Foundation for Excellence Academic Awards Banquet in Norman. First United Bank and Trust Company, where Schiemer is community bank president in Norman, was Andrew’s scholarship sponsor.
Andrew is honoree at OFE Academic Awards Banquet
Shianne Andrew, an Academic All-Star from Purcell, was honored during the recent Oklahoma Foundation for Excellence Academic Awards Banquet in Norman.
Andrew, a 2016 graduate of Purcell High School, was among 100 outstanding seniors from Oklahoma public schools who were honored. She received an Academic All-State scholarship sponsored by First United Bank and Trust Company.
Neil Schiemer, FUB band director and his wife, Kathy, accompanied Andrew.
Oklahoma Foundation for Excellence is a statewide nonprofit organization that recognizes and encourages academic excellence in Oklahoma’s public schools.
A member of the band leadership team, Andrew is a seven-year member of the Southwestern Oklahoma Band Directors Association Honor Band and also earned superior as a solo trombonist at district contest and an excellent rating at state contest.
At Purcell High School, she was a member of the high school jazz choir, East Central Oklahoma Choral Directors Association Honor Choir and the Oklahoma High School Honor Society. She also served as colorguard captain and president of the National Honor Society and the band.
She is a student leader in the First Baptist Church youth group and volunteers for community service through her church and school.
Andrew plans to attend the University of Tulsa, majoring in psychology.
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Hands
Purcell Senior Brady Barrett hauls in a pass during drills at the prestigious Football University camp in Owasso earlier this month. Barrett is one of 250 seniors from around the United States selected to attend a FBU National Top Gun Showcase in Rock Hill, South Carolina in July.
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Town of Washington news
Angie Steele
Washington Correspondent
Washington Band Fireworks Stand
Washington’s Band will be selling fireworks behind the Washington Feed and Seed Store through July 5. The stand will open at noon daily.
All proceeds from the firework sales will go to fund the band trip to the Russell Bowl Game in Orlando.
First Baptist Church of Cole
Church schedule: Sunday School at 9:30 a.m. and worship at 10:45 a.m. Sunday evening Bible Study at 6 p.m.
Wednesday evening activities for all ages at 7 p.m.
The church website is www.fbcw.org.
The church is located in Cole on SH 74 B between Washington and Blanchard.
For more information, send an email to the website or call (405) 482-3277.
Washington United Methodist Church
We are a friendly, Bible based church where everyone is welcome. Our Sunday worship service begins at 11 a.m. We have a Bible Study class that meets at 4:30 on Sunday afternoons.
Also, Loretta Dodson teaches children to sew on alternate Saturday mornings. Please call her at 288-2478 for more information.
Union Hill Baptist Church
Sundays—Age Group Bible studies, 9:45 a.m. and 5:30 p.m.; Children’s Church, 11 a.m.; Worship, 11 a.m. and 6:30 p.m.
Wednesdays—Evening Bible Study, 6 p.m.; Age Group Bible Studies, 6:30 p.m.
Monthly Schedule—Retired/Senior Lunch, 4th Tuesday at Noon; Men’s Breakfast, 1st Saturday of each month, 7 a.m.
First Baptist Church Washington
Weekly Worship Service Times:
Sunday – 10:45 a.m. and 6 p.m.
Wednesday, 6:30 p.m.
Weekly Small Group Opportunities
Sunday School, Sundays, 9:45 a.m.
Youth Bible Study, Sundays, 5 p.m. and Wednesdays, 6:30 p.m.
GAs (girls 1-5 grade), RAs (boys 1-5 grade), Sundays
Please see Wash News, page 3B
Enjoying the parade
Washington residents Shawna Farmer and Keagan Hardcastle enjoyed the festivities at the Washington Independence Day Celebration last Saturday.
Parade cuties
All dolled up for the Washington July 4th Parade in their patriotic attire were Ally Dennis, Emma Wade, Dorothy Shepard, Kylee Wade and Lily Wells.
Class to hoop about
Coming Tuesday to Purcell Library
Hula hoops and hometown libraries.
You wouldn’t think the two had anything in common. But you probably haven’t met Kelsey Philo.
“Positive body image is so important, I’m finding something that’s fun for you to do to be active,” she said. “You don’t have to have an expensive gym membership to get in shape.”
Philo will be at the Purcell Public Library on Tuesday to lead a hula hooping class at 2 p.m. Participants will decorate their own hoops which Philo will furnish and then learn the basics of hula hooping.
Philo used hula hoops in her recovery from an injury that left her unable to walk. It’s become a passion in her life.
“Before going through this I do not think I would have had the guts to do all of this,” she said. “I have the most fun job ever. I get to perform all over. I get to inspire public speaking. I’ve already been given a second chance and I want to make the most of it.
“What I really took away from all of this is that we are so much stronger than we think we are. We are supported by our own strength and resilience in every step of this journey.”
Also on Tuesday, the Oklahoma Museum Network and Science Museum Oklahoma will offer a Summer Olympics presentation for children ages 11 and younger that will start at 10:30 a.m.
Participants will get a taste of Summer Olympics through the Summer Olympics Sports Science program which will demonstrate the science of many Olympic events.
Both programs require pre-registration. To sign up, visit www.pioneerlibrarysystem.org/purcell.
At 2 p.m. June 30 and July 14, worldwide challenges will be featured in presentations of The Amazing Race.
For more information on these or other Summer Reading Program activities, call 527-5546.
SWOSU enrollees
A total of 776 high school seniors have enrolled for the 2016 fall semester at Southwest Oklahoma State University as part of the first four sessions of the New Student Orientation Program on the Weatherford campus.
Among the 180 students who enrolled at the June session were Nathaniel Kail Ford of Lexington High School and Ryan Allen Sylvia of Purcell High School.
SWOSU is offering two more enrollment opportunities for high school seniors who plan to attend SWOSU this fall. Enrollment dates are July 18 and August 17.
Students must apply and be accepted to SWOSU before they can attend an enrollment session. Each of the enrollment sessions offers students the chance to meet current SWOSU students and new freshmen, visit and enroll with a faculty advisor within the major they have selected, and obtain answers to any of their questions.
OU honor roll students
Students from 304 communities are listed on the University of Oklahoma Norman campus honor roll for the spring 2016 semester.
In more colleges, students must earn a minimum 3.5 grade-point average on a 4.0 scale to be included on the honor roll. Students in the College of Architecture are recognized with a 3.3 or better, and students in the College of Engineering are recognized with a 3.0 or better.
Honor roll students who are enrolled full time in at least 12 credit hours are listed below by the hometowns they provide for their records. The names of students who earned a 4.0 (A) grade-point average are also President Honor Roll designates and are indicated by an asterisk.
Students making the honor roll include Emily E. Cole*, Dalton R. Fountain, Trenton R. Hamm, Shelley Medrano*, Stacia Sorrelles*, Skye Lynn Uhlenhake* and Caitlin Nicole Watkins, all of Lexington; Hannah K. Czarnecki of Paoli; Breanna T. Barger, Allison G. Barnes, Ryan N. Brown, Juli Helms, Bell, Arapahoe Dakota Burch, Carla Reina Collins, Cecilia Maria Harris*, Makayla A. Mainord*, Maggie E. Martin, Rebecca A. Mayes, Ashley Christine McCarrell, Savannah Elizabeth McCurdy, Dylane E. Painter, Matthew Peters*, Nicholas Drew Potter, Kaityln L. Sherry*, Harrison G. Williams, all of Purcell.
Also on the list are Hannah M. Jones*, J. Hamilton*, Matthew M. Herndon, Alison C. Higgin, Amber N. Madden, Jessica F. Mcleung, Jacob S. Roswurm*, Stephen J. Roswurm*, Kaegan Marie Smith*, Robert T. Tanizawa and Emilyne R. Winchester*, all of Washington; and Skyler Lyn Fogle and Ashley D. Hosek*, both of Wayne.
Mainord receives scholarship
The University of Central Oklahoma College of Business recently awarded a scholarship to Brianna Mainord of Washington during the UCO College of Business Honors and Awards Banquet.
The college awarded more than $118,000 in scholarships for the 2016-17 academic year at the annual event which recognizes Central’s business students for academic excellence and outstanding service to the university.
Mainord, a junior accounting major, received the Colton-Shaff Scholarship.
“The 2016 scholarship recipients in the UCO College of Business are an exceptional group of students. The faculty and staff are delighted to recognize, reward and support these students who are destined to become tomorrow’s business leaders,” said Mickey Hepner, Ph.D., dean of Central’s College of Business.
OSU Extension News
Fall webworms
Wes Lee
Extension Ag Educator
Fall webworm, Hyphantria cunea, is most commonly observed feeding in groups on the foliage of host plants from within a web constructed on branch terminals. Webs are most prominent in late summer or early fall but in outbreak years like this one their webs are noticeable much earlier in the summer.
Adult moths are almost pure white and have a wingspread of about 1-1/4 inches (32 mm). Some specimens have the front wings more or less heavily marked with small black spots.
Larvae may be pale yellow, yellowish green, greenish, or orange but most have tworows of black spots down the back. The head may be red or black. The body is rather sparsely covered with long white hairs.
Fall webworms are found over most of Canada and the United States and into northern Mexico. They are present over all of Oklahoma but are more common in the east than the west.
Adults of the overwintering generation emerge during May or occasionally in late April. Egg laying occurs in late May and early June. Each female can lay 400 to 500 eggs on the underside of leaves.
Egg masses are covered with white hairs from the female’s abdomen and may have a pale green background color. There are usually two or three generations per year depending on species.
The fall webworm has been recorded on at least 88 species of shade, fruit, and ornamental trees in the United States. The preferred hosts vary from one region to another. In Oklahoma persimmon and pecan are most commonly infested and black walnut and hickory are also common hosts.
Sycamore, birch, and redbud are often attacked in years of heavy webworm infestations. Infestations on cottonwood, American elm, and bald cypress have been reported.
Damage is caused by the larvae feeding on the leaves. They rarely are heavy enough to defoliate completely the tree for pecans and persimmons. On most forest and shade trees, the insect is detrimental mainly to the beauty of the host and is thus more of a nuisance than a threat to the health of the tree.
Actual damage can occur on pecan as defoliation affects tree vigor, yield, and nut quality. The earlier defoliation occurs, the more harmful the damage.
Control is rarely warranted for fall webworm because it is usually a nuisance pest. However, control may be necessary to protect pecan yield and tree vigor.
Larvae and their webs may be cut out of small trees and destroyed, but larger trees whose branches are in the canopy should be treated with insecticide to achieve control.
When using conventional insecticides that rely on contact, sufficient spray pressure is needed to reach and penetrate the webs of these caterpillars.
Several insecticides will normally provide control if adequate spray penetrates the webbing. Bt products provide an good organic insecticide alternative.
Give us a call at your OSU Extension office at 527-2174 for more information.
Wash News:
at 5 p.m.
Mission Friends (Pre-K and Kindergarten), Sundays, 5 p.m. Ladies’ Bible Study, Tuesdays, 9 a.m.
Kid’s Church and Bible Study—Wednesdays, 6:30 p.m.
Journey Through the Bible—Wednesdays, 6:30 p.m.
News and Announcements:
VBS Video—Susan Barnes has video and pictures from VBS week. If you have pictures that would like to add to the collection, please email them to her at email@example.com.
Men’s Breakfast—Saturday, July 2, 7:30 a.m.
Deacon’s Meeting—Sunday, July 3, 8:30 a.m.
July Offering Service on Sunday, July 10.
Baptisms, Sunday, July 10.
The Lord’s Supper—July 10th, 4:05 a.m.
Events:
Follow Me: Bible Study—Sundays, 5 p.m.
Men’s Bible Study, “Experiencing God,” Thursdays at 6:30 a.m. and 6:30 p.m.
If you are not receiving the Baptist Messenger and would like to, please contact Skyler in the church office and give her your mailing address.
Connect with us at firstname.lastname@example.org, 288-6060, Facebook: FBC Washington, Twitter @FBCWashingtonOK.
Dale K. Graham Norman Veteran’s Corner
We are not affiliated with any other organization. We are available each Tuesday and Thursday only at the Faith Pointe Baptist Church in Norman.
On June 27, we were privileged to be a part of the 2nd Annual Chickasaw Nation Veterans Conference held in Thackerville, Okla. This conference was a day to honor and recognize the many Chickasaw veterans who have bravely served our great country. We were honored to meet Chickasaw Nation Governor Bill Anoatubby and visit with him about our services to veterans and their families. A group of volunteers accompanied me, and we assisted over 50 veterans and surviving spouses with their claims.
Last week our volunteers assisted a record number of veterans and surviving spouses on Tuesday and Thursday mornings. In many years we have been helping to make a difference in the lives of the men and women who have served in the military we have never helped so many. There were 221 assisted with their VA benefits and information about benefits. I don’t know how it would be possible to single just one volunteer to be recognized as the Volunteer of the Week. Being a part of what we do for veterans and their families is very rewarding for all of us who volunteer our time each week to make a difference.
Last week I wrote about the need for more laptop computers and printers so we could add several more volunteers to our Tuesday morning crew. I’m very proud of three of our veterans who have donated the funds to purchase several of these laptops. You know who you are, and we are very thankful!
We are also looking for a high-speed commercial copier that can be used to copy the large amount of documents we fill out and serve records that some of our veterans have. The VA has started sending some veterans records on disc instead of paper copies. The information on these discs may require several hundred pages to be printed for some veterans. We will need a few more people to join us on Tuesday morning from 6 a.m. until about 12 p.m. An OSBI background check is required for all volunteers before being issued a computer, identifying shirts and business cards.
As a VA Accredited Claims Agent, I receive the rating decisions on each of the veterans and surviving spouses who are represented at Faith Pointe Baptist Church. This process proved to be very helpful for us to make sure that each veteran and surviving spouse is receiving all of the VA benefits for which they are eligible.
Last week I received rating decisions on two veterans who have a disability rating of 100 percent for their service-connected disabilities. These men and women will receive a combined annual compensation of $259,298.86 per year. There were also 17 veterans who had ratings increased ranging from 10-90 percent for their service-connected disabilities. This group of disabled veterans combined annual compensation will be $130,888.80 per year.
Currently, we are on track to help veterans and their families to receive benefits of over 30 million dollars annually for their service-connected disabilities, pension, and surviving spouse benefits. Some of this will come from Aid and Attendance benefits, housing, and assisted living expenses. Many of the veterans and their families are not aware of the VA benefits that are available to them. I don’t know of any veteran or surviving who the VA calls and said that they are aware of whether there are benefits of any kind. It is time for you to stop by and visit with one of our volunteers about VA benefits?
The number of DIC, Pension and Aid and Attendance claims continue to grow each week; 30 were filed last Tuesday and Thursday. These types of benefits could be used to help veterans or spouses who are living in nursing home or assisted living facilities. For questions on these types of benefits, call Shirley at 405-550-8806 x 104 or stop by to visit with one of our ladies.
We were able to have the Chevy van that Clayton uses to transport veterans wrapped last week with our Dale K. Graham Veteran’s Corner logo, military emblems and the American Flag. When you see Clayton give him a high five for his dedication to the men and women who have served in the military. We plan to wrap the T-illium soon when funds become available.
We use the donations we receive as 501(c)(3) to support veterans and their families with medical testing, rent, utilities and food items. Each week we are spending a huge sum to assist the men and women who have served in the military. Pastor Gann is available each day to help you with your spiritual needs.
Please remember that to reach us we have a phone system that automatically routes the call to the person who can help you the quickest. Please call (405) 550-8806 and select the option that best suits your needs.
On each and every visit, veterans should bring all of their DD-214’s, marriage license, all VA letters and all VA forms that have been filed. For privacy reasons, Dale K Graham’s Veteran’s Corner does not keep your information on file and does not have access to any of this information.
If you would like to support Dale K. Graham Veteran’s Corner, you can mail your donations to Dale K. Graham Veteran’s Corner, PO Box 592 Washington, OK 73093 or you may make a donation online at dalekgrahamveteranscorner.org. We have an account at Republic Bank and Trust that is used for all of our monies.
Dale K. Graham Veteran’s Corner has food boxes available. If those are not an application for this type of assistance will be available on Tuesday and Thursday mornings. A DD-214 or military discharge will be needed to apply. Please contact Rhonda 405-550-8806 Extension 103 at the number above to apply for a food box.
To schedule an appointment for Tuesdays, please contact Diana at (405) 550-8806 Ext. 102.
We are at Faith Pointe Baptist Church each Thursday morning at 7 a.m. and located at 3404 NW 36th in Norman. Please contact Dale with any questions at (405) 550-8806 Extension 101 or email@example.com or Shirley Clark-Cowdin for spouse benefits at Extension 104. Visit our website at www.dalekgrahamveteranscorner.org. Semper Fi!
Dale Washington Correspondent Contact Information
I would love to share your personal or community news with our readers.
My contact information is firstname.lastname@example.org or 413-2471 if you have any news to share, story ideas, or if you have someone you would like to see in a future article about. Send me birthday, anniversary, or personal news that you would like to share with our community.
Angie Steele
Grand Marshall
Matt Stringer was the Grand Marshall in the Washington Independence Day celebration parade last Saturday.
• Photo provided
Be a Champ
Bryn Farmer, a freshman at Washington, attended “Be a Champ” Cattle Camp at Connors State College.
Pastor James Wilder had the honor of baptizing two people into the Kingdom of God this morning! As Pastor James said, “There is no better way to begin a time of worship than with a baptism!”
Our worship leader, Cody Evans, brought the Kid’s Message this morning. Cody called the kids to the sanctuary front and spoke to them about the meaning of love.
Cody showed the kids a jar of insta-snow, which is a white substance resembling baking soda. The insta-snow wasn’t doing anything special as it sat in the jar.
He told the kids that without Jesus in our lives, we are much like that substance. Then, Cody added water to the insta-snow and it began to grow and flow over the top of the jar! Cody told the kids that this is what our lives are like with Jesus. When we have Jesus, God’s love overflows from our lives!
Leigh Anne McGregor sang a special song entitled, “I Am Your Love.” Leigh Anne performed the song beautifully and it was a perfect reminder of God’s sovereignty over all things!
Pastor James brought God’s morning message from the New Testament book of Ephesians. Chapter 1, the first principle is telling us – and the people of Ephesus, how God makes us new when we make Him the center of our lives. Paul reminds us that God is the center of everything and we must give Him this proper place in our lives.
God longs to forgive our sins and make us a new creation so that we can give Him the praise and glory only He deserves. Through Jesus, God has solved the problem of sin in our lives, but we must accept this gift of grace.
If we have truly accepted Jesus as our Lord and Savior, others should see the Holy Spirit working in our lives. We should be just like the jar of insta-snow that overflows love to all those we come into contact with!
Our Sunday School classes begin at 9 a.m. and our Sunday Morning Worship starts at 10:15 a.m. each week. Come join us to learn more about what God has done for you!
Welcome, friends, to the “front porch.”
I want to tell you today what I believe to be as real and solid as anything in this world. I believe with all my heart that God created this world and everything that is in it. I am sure most of our readers agree.
The reason we believe that God created the world is simple: We believe it because God’s Word declares it. As soon as the Holy Spirit came upon the disciples of Jesus, He says, “In the beginning God created the heaven and the earth” (Genesis 1:1).
The Lord never goes about “proving” His existence in His powerful Word. He does it powerfully and emphatically. Should a person ever question the great truth, the Spirit announces forcefully that “the fool hath said in his heart, there is no God” (Psalm 14:1).
A few days ago, I was invited to attend a panel discussion to question God’s grand declaration of Genesis 1:1. I happened upon a panel discussion on one of the national news stations where the host asked several guests to share a great scene in history that would have been witnessed if possible. One by one the panelists recounted some great American moments they would re-visit, such as Kennedy’s “Ask not what your country can do for you…” speech, or to Martin Luther King’s speech at the Great March on Memphis.
But one guest surprised the entire group when he turned up to speak. He said, “I think I’d go back to the resurrection.”
The panel laughed loudly, thinking, it seemed, “What a stupid question! How could anyone go back to a scene that never really happened?” even though we know the resurrection is the greatest event in the history of the world.
I couldn’t help but think at that moment: What a sad thing for a man or woman to live such a faithless life!
The host of the show – obviously in reaction to the previous gentlemen – said, “Well, I think I’d go back to the big bang.” The group was more than pleased with that countermove and chattered on a good while before their worldly response. When the host did invite down the first gentleman – unwilling to concede to faithless notions – said boldly, “Well, I subscribe to a different belief.”
It was refreshing to see a man there on national television – sitting there in what the world sees as an old, archaic, out-of-date belief: “In the beginning God created…”
It may be out of date to the world, but it is not out of date to God! And it was out of date to those who would have pen the Holy Spirit guided lesson plan.
The psalmist writes pointedly: “By the word of the Lord were the heavens made; and all the host of them by the breath of his mouth … For he spake, and it was done; he commanded, and it stood fast” (Psalm 33:6,9).
Nehemiah, one of the last writers of the Old Testament – writing around 400 B.C., says, “Thou, even thou, art Lord alone; thou hast made heaven, the heaven of heavens, with all their hosts, the earth, and all things that are therein, the seas, and all that is therein, and thou preservest them all: and the host of heaven worshippeth thee” (9:6).
The Hebrew writer adds, “Through faith we understand that the worlds were framed by the word of God, so that things which are seen were not made of things which do appear” (Hebrews 11:2).
David, Nehemiah, nor Paul wavered in their declaration. They are not where when God creates the heaven and the earth powerfully by a simple word. They were not there when God takes invisible objects we now know as “atoms” and makes all of matter. They are not there when God’s Spirit guides magistically across a formerly unformed void of space; he creates the earth, and it stood fast (Genesis 1:2), adding organization and structure to a vast universe and to an earth designed for life. And they are not there when God reaches down to the dust of the ground to crown the crown of His creation – man – in His very image (Genesis 1:26/2:7).
But these inspired writers choose to believe in God’s creation by faith – no, not by “blind” faith but by the vast evidence of His power (Hebrews 11:1). Faith does not mean we cannot know. Faith only means we cannot see!
Man may become so “intellectual” that he can deduce the glory of the heavenly to a random, mathematical explosion. There was an “exploration,” for sure, but it was not accidental. We stand today with the psalmist, and we declare with assurance: “The heavens declare the
Please see Westside, page 5B
Our Lady of Victory Catholic Church
By Deacon John Warren, Pastoral Associate
Have you talked to many folks who say that they are not busy and have a lot of free time? Instead you may hear a litany of duties which is bordering on overwhelming. Work duties require progressively more time. Children’s after-school activities seem to be multiplying. Maintaining your dwelling requires more time and more money. Your spouse takes legitimate demands for which there is too little time. Participation in community activities (good citizenship) is expected and demands are increasing. Participation in sports as parent and/or participant and/or coach requires large amounts of time for which you are committed a year at a time.
Where do we fit religion, church, prayer and church activities? There are exactly 24 hours in the day and most of those hours are spoken for by work and/or committee. Our relationships are becoming strained because there is not time to nurture them. We are beginning to avoid certain persons in our lives because we don’t want to say “no” again to a request for assistance.
As Jesus was reaching the end of his life on this earth, with a sense of urgency he invited folks he met to follow him. He attempted to make following him first priority. He wanted them like the disciples, to announce God’s kingdom with their words and with their actions starting right then. He offers each of us the same invitation.
“Lord, I am in a real bind. I want to be your disciple. I want each of my family members to be a believer in you. I want to be a model of Christian living for my children. But where do I begin? How do I arrange my life so I make you more important than I am over-committed to my current life. Help me, little by little, to move closer to you. Somehow show me how to start re-arranging my life. Please be patient with me. It’s taken me a lifetime to get where I am today.”
As of this moment we have no air-conditioning in our church office. The office is closed pending resumption of air-conditioning. Call the office number 527-3077 and we’ll get back with you. Any requests for assistance, please call 595-1087. We apologize for any inconvenience.
Fr Jim returns from Uganda June 30. Thanks to the many people who did extra work to keep things going during his absence. We will rejoice in his return.
Our weekly Mass schedule: Saturday at 5 p.m. (English), Sunday at 11 a.m. (English) and 1 p.m. (Spanish).
For more information, call the church office at 527-3077 or visit our parish website at ourladyofvictorypurcell.org. And follow us on Facebook.
Johnson Road Baptist Church
Please be careful as you and your family go about celebrating the birth of our great nation on July 4th.
Please be careful with the firecrackers, the boat, the strong drink and the off the road driving.
We are pray at Johnson Road enlisting youth in grades 7-12 to attend Falls Creek Youth Assembly July 18-23.
If you would like for your child or children to attend with the youth of Johnson Road, please meet contact with the youth at 443-6709 or Donna Brown at 527-1836.
The camp fee is $70 which includes registration, lodging and meals. There will be help financial for those who need sponsorship. Falls Creek, located in the Arbuckle Mountains, is the largest youth camp in the world. There are countless accounts of lives being changed at Falls Creek. The music, preaching, fellowship and solitude can never be matched anywhere else. It is always good to see the photographs in The Oklahoman.
Gyneal Gentry sang “Because He Lives.” Scripture texts for discussion was the 13 chapter of Exodus. Christ must always be prepared for the next move forward in life. The children of Israel while wondering in the wilderness were guided by a cloud during the day and a fire by night. It is not a cloud or a fire that guides us through our vacation, we make certain preparations. If we are planning to fly, we must secure a ticket, pack our luggage, arrive at the terminal on time, go through security, board the plane and buckle our seat belt. We are responding to all the initial steps. Once on board, the pilot and his crew will carry us to our destination.
If we are planning to travel to Heaven at the end of our life on earth, we must follow the rules of travel set forth in God’s Word. The three essential rules are acknowledge our sinfulness, die and be born again. Open the door for Jesus and invite Him into our life. It’s simply wonderful. Follow the rules that prepare us for a trip to the eternal land of peace and rest, Heaven.
For discussion the scripture for discussion was the 13 chapter of Exodus. Christ must always be prepared for the next move forward in life. The children of Israel while wondering in the wilderness were guided by a cloud during the day and a fire by night. It is not a cloud or a fire that guides us through our vacation, we make certain preparations. If we are planning to fly, we must secure a ticket, pack our luggage, arrive at the terminal on time, go through security, board the plane and buckle our seat belt. We are responding to all the initial steps. Once on board, the pilot and his crew will carry us to our destination.
If we are planning to travel to Heaven at the end of our life on earth, we must follow the rules of travel set forth in God’s Word. The three essential rules are acknowledge our sinfulness, die and be born again. Open the door for Jesus and invite Him into our life. It’s simply wonderful. Follow the rules that prepare us for a trip to the eternal land of peace and rest, Heaven.
Chickasaw Nation cooking shows
The Chickasaw Nation “Get Fresh!” cooking show will present making healthy choice programs at the Purcell Nutrition Services site.
These cooking cooking shows are free and open to the public and demonstrate healthy cooking for the entire family.
Leave with recipes, nutrition education and new ideas to cook healthier every day.
Classes are set for Tuesday, July 5, at 10 a.m. and noon; and 7 p.m., and Thursday, July 7, at 10 a.m. and noon.
For more information call 527-6967.
Sunray Baptist Church
Special music was provided by the “Sunray Kids” at the Sunday morning worship service. Brother Dennis spoke about “The Feeding of the Thousands” from John 6:1-15. He told of the miracle of feeding 5,000 men, plus women and children, using two poor boy’s meal of five barley loaves and two fish. Jesus blessed it, broke it, and distributed it. The people ate and filled themselves. There was 12 baskets full of fragments left over after the feeding. The man realized Jesus was the prophet spoken of in the Old Testament. They never saw Jesus as the Christ - only as one to meet their physical needs. The weren’t concerned about the spiritual aspect of it.
The evening message continued a series of sermons on “Fishing Well” from Philippians 3:13-14. God has provided everything necessary, even in this present world, to live a Godly life. One must make a deliberate decision to serve God by having a singular focus. Jesus takes priority over everything else. There has to be an expectation of persecution. This world will not follow along with us. There is a need for Godly decision making.
Our youth will be sponsoring a lunch and dessert auction following this coming Sunday’s worship service. All donations will help with expenses for StuB BMA Youth Camp, which will be held July 18-22. There will be prizes.
Our quarterly business meeting and potluck meal will be held at 6:30 p.m. Wednesday, July 6. Sunray will be hosting a one-day Vacation Bible School on Saturday, July 9, from 10 a.m. to 2 p.m. All children, preschool to seventh grade, are invited to attend. A lunch will be provided. Our 11th Annual SummerFest will be held Saturday, July 30, beginning at 6:30 p.m. Link Union, abiding church from Lebanon, Mo., will be the musical group. A love offering will be taken to help the families.
You are always welcome at Sunray Baptist Church. We are located at 2223 North 9th Street in Purcell. For more information call 527-6808.
Helping Vets
That’s the name of the game at Veteran’s Corner.
Veterans Helping Veterans
A Veterans Corner volunteer recently met a couple when he went to their home to help with a transportation problem. During the discussion the husband disclosed the man was a veteran who served in Vietnam. He had never applied for VA Health Care or Compensation. Since the man was incapacitated due to a stroke, the volunteer went to the couple’s home to complete the paperwork to apply for VA Compensation. Six months later, the man was awarded a 100 percent disability. The back pay was enough to move into a home that is wheelchair accessible. The wife with tears in her eyes told the volunteer, “Thank you so much. Now I’ll be able to take care of my husband at home. I never knew any help was available, or if you really needed it, when you needed to help.” Helping veterans is such a rewarding experience! Veterans Corner is always excited to meet new veterans and volunteers. If you are a veteran or know someone who would like to get involved, please make stop by with Veterans Corner on Highway 9 and meet the team.
Transportation
If you would like to help your fellow veterans, have a good driving record and like to drive, Veterans Corner needs your help. Please call Fred Zacher (405) 779-3693 if you would like to help.
If you need a ride to a medical appointment or would like to help Veterans Corner, please call one of our drivers to schedule an appointment: Greg Kelsch (405) 255-2208 or Sam Knight (405) 808-5096 or Fred Zacher (405) 779-3693. Veterans Corner has a van and a wheelchair lift, including one with a wheelchair lift. There is never a charge for these service but donations are always appreciated. Veterans Corner can also help you qualify for a handicap accessible vehicle or a van with a 100 percent disability rating.
Medical Equipment
Veterans Corner has manual and electric wheel chairs available. They also have electric lifts to transport the chairs. Please contact Jerry Baxter if you need some medical equipment to help make a veteran or their surviving spouses life a little better. Veterans Corner also has food boxes and groceries available for veterans’ needs. There is never a charge for Veterans Corner services.
About Veterans Corner
Veterans Corner is located just south of Norman, 2 miles west of I-35 and Exit 106 on the east side of Highway 9. From the intersection, four miles north of Blanchard on Highway 62 to Highway 9, Travel east 4 miles to Western Avenue and 1 mile to the center. Veterans Corner is 1/4 mile on the south side. The facility is open from 7 a.m. to 12 p.m. Monday, Tuesday, Wednesday, and Friday. They offer extended hours on Thursdays from 7 a.m. to 1 p.m. Veterans Corner is a 501(c)(3) non-profit and all gifts are tax deductible. Donations can be sent to: Veterans Corner; P.O. Box 722160; Norman, OK 73070-8635. All proceeds are used to support veterans and their spouses.
Vacation Bible School at Lexington UMC
Lexington United Methodist Church will host a one-day “Galactic Blast” Vacation Bible School Saturday, July 9, from 9 a.m.-2:30 p.m.
The program is open for children entering kindergarten through fifth grade.
Children will have lots of fun as they board the starship Galactic Praise to tour our solar system, universe, and our amazing God, in a whole new way. They will experience God through Bible stories, arts and crafts and science. There will also be a moon bounce, snacks and lunch.
“We are very excited to offer this day full of God and fun to the children of our community,” says Pastor Pam Cottrill.
The church is located at 631 Ash, corner of 6th and Ash, in Lexington.
Please call 527-3506 to register your child.
Westside:
glory of God, and the sky above proclaims his handiwork …” (Psalm 19:1, ESV). I have to say I was proud the other day of the gentleman on that panel of worldly scholars. He took the unpopular stance of faith amidst an unbelieving crowd. While that stance may be old, archaic, and out of date to the world, to us who believe it is still new and refreshing, just like the early morning dew.
email@example.com
Purcell Senior Citizens
By Fredda Perry
Hot, hot, hot is the forecast for the next few weeks. Just wanted to get all the seniors attention so they would be cautioned about getting outside and getting soaked. Heat needs consume plenty of water, and when inside be sure they have some form of cool air.
Last week we mentioned a change in the nutrition program and that we would keep you informed. We got through last Thursday and as it turns out, the program is not changing.
After much confusion, Delta was awarded the nutrition contract extension for three months, at which time the bid will be reopened and Delta will be allowed to bid for a fall contract.
Nutrition boxes for a five day week have already been placed because it is closed this week and will reopen Tuesday, July 5. If you are looking for a place to have a birthday party or family reunion, the senior center is available to be rented for $70 per event. If you are interested, give us a call and let us know if you are in all the particulars. Dale will be calling for the summer so if you are planning to use the center, please get in touch with us as soon as possible.
Bingo will start at 10 a.m. sharp Thursday morning at the center. Everyone wins before the games are over so come and join us in some good fun and fellowship, then stay and enjoy lunch. Anyone 60 or over can eat for a $2 donation.
A reminder for the seniors who like to dance and fellowship with like minds, there is a dance at the center every Friday night beginning at 6:30 p.m. and ending around 9:30 p.m. The price is $6 per person. There is a live band which can be enjoyed for those who do not dance.
The seniors invite anyone 60 or above to come visit the center where there is always something good cooking and some good activities and fellowship. If you are looking for something new to do, give us a try.
Legal
No. 453-June 30-1 Time ORDINANCE NO. 453-A AN ORDINANCE OF THE TOWN OF GODSBY, OKLAHOMA AMENDING SECTION 1-13, ARTICLE 1 OF THE GODSBY CODE OF ORDINANCES ESTABLISHING THE DAILY AND TIME OF REGULAR SCHEDULED MEETINGS OF THE BOARD OF TRUSTEES, PROVIDING THAT SUCH MEETINGS SHALL BE HELD IN THE TOWN HALL ON THE FIRST THURSDAY OF EACH MONTH OFF IN THE EVENT OF A HOLIDAY, A HOLIDAY, THE NEXT FOLLOWING THURSDAY WHICH IS NOT A HOLIDAY OR THE NEXT THURSDAY WHICH IS NOT A HOLIDAY, AT 7:00 O’CLOCK P.M.; PROVIDING THAT ANY ADJOURNED MEETING MAY BE HELD AT THE TIME AND PLACE DESIGNATED BY THE BOARD OF TRUSTEES WHICH IS OPEN TO THE PUBLIC WITHIN THE TOWN; AND DECLARING AN EMERGENCY.
SECTION 1. AMENDED BY THE BOARD OF TRUSTEES OF THE TOWN OF GODSBY, OKLAHOMA, THAT SECTION 1-13, ARTICLE 1, Paragraph 1 of Section 1-13, Article 2, Chapter 1 of the Godsbys Code of Ordinances be amended by the addition of Section 1-13.1 Article 2, Chapter 1 of the Ordinances for Godsbys, Oklahoma be amended and its entirety read as follows:
“1. Municipal business shall be conducted at regularly scheduled open and public meetings held in the Town Hall on the first Thursday of each month except in the event of conflict with a holiday. The next following Thursday which is not a holiday beginning at 8:00 o’clock p.m. provided that any adjourned meeting may be held at any other place designated by the Board of Trustees which is open to the public within the Town.
Section 2. Emergency, in the event of an immediate declaration of the public health, safety and welfare of the citizens and residents of the Town of Godsbys, Oklahoma, that this Ordinance shall become effective immediately upon its adoption, and that upon its adoption, as provided by law.
PASSED, APPROVED AND ADOPTED by a vote of the Board of Trustees at the time and place of regular scheduled meetings delivered to the Town Clerk this 3rd day of March, 2016.
TOWN OF GODSBY
/s/ Cindy Scott MAYOR
ATTEST:
/s/ Virgie Andrews
TOWN CLERK
No. 447-June 23-3 Times Bid Advertisement: Washington Public Schools 2015 Bond Project
Owner: Washington Public Schools
Construction Manager: Goldsby Construction
Solicitation No.: Bidders For: Norman Public Building Project
Solicitation Date: June 21st, 2016
Bid Date, Time & Place:
• Date: July 14th, 2016 At 2:00pm
• Deadline: 2:00pm CST
• Place: Washington Public Schools
• 10 E. Karby Avenue
Washington, OK 73093
All Project Information may be obtained from Goldsby Construction:
Project Contact: Tyler Graves
Goldsby Construction
Project Manager
Cell: (405) 318-8313
firstname.lastname@example.org
The following persons have been charged by the State of Oklahoma with traffic or other violations or have filed other court actions in McClain County District Court between June 16 and 28, 2016.
**Traffic**
- Alfred D. Smith, speeding, 90/70.
- Michael J. Wagner, failure to obtain current registration.
- Eddie D. Wright, DUS (3rd offense).
- Thomas A. Dickson, speeding, 80/70.
- Jan A. Pogue, speeding, 85/70.
- Layne T. McCrernahan, speeding, 80/70.
- Scott M. Kornay, no insurance.
- Scott M. Korney, no valid driver’s license.
- Kyle A. Sorrells, speeding, 42/45.
- Kyle A. Sorrells, no insurance.
- Kyle A. Sorrells, taxes due state.
- Kyle A. Sorrells, operating motor-cycle without endorsement.
- Vickie J. Kennedy-Sgroi, speeding, 92/70.
- Whitney D. L. Morgan, speeding, 85/75.
- Gary D. Manley, no seatbelt.
- Adam N. Quintana, speeding, 55/45.
- Robbie D. Steelman Jr., no seatbelt.
- Emily E. Hendrix, failure to devote full attention.
- Aron M. Choate, TOC non-intoxicating beverage.
- Aron M. Choate, operator not reasonable care.
- David N. Biggs, DUS.
- David N. Biggs, no insurance.
- David N. Biggs, affix improper plate.
- Eduardo Orozco Tapia, overweight - 3001 to 4000.
- Richard A. BissonII, speeding, 90/75.
- Jonathan J. Elkins, speeding, 93/75.
- Jonathan J. Elkins, no valid driver’s license.
- Montez D. Lowe, no valid driver’s license.
- Montez D. Lowe, TOC alcoholic beverage.
- Jeffrey D. Andrews, no seatbelt.
- Jeffrey D. Andrews, DUS.
- Jimmy D. Weat, DUS.
- Amy C. Yount, DUS (2nd offense).
- Amy C. Yount, failure to obtain current registration.
- Derek L. Owens, speeding, 83/70.
- Colin G. Wilborn, speeding, 80/70.
- Lori J. Poppell, speeding, 80/70.
- Michaela L. Poppell, speeding, 80/70.
- Elizabeth A. Stack, failure to devote full attention.
- Anthony M. Arena, speeding, 80/70.
- Claire A. Kelly, TOC non-alcoholic beverage.
- Jason Barron, no valid driver’s license.
- Joel L. Faulkner, speeding, 80/70.
- Elizabeth D. Thrash, speeding, 55/45.
- Linda L. Peeler, speeding, 42/45.
- Ella Y. Turner, speeding, 85/75.
- Jonathan G. Orange, speeding, 80/70.
- David A. McFarland, speeding, 80/70.
- Kevin A. Sitzes, speeding, 80/70.
- Cody T. Webb, speeding, 80/45.
- Jay S. Edwards, speeding, 55/45.
- Renee L. Hensley, speeding, 80/70.
- Antonio Rocha, speeding, 80/70.
- Marcus A. Whiteis, speeding, 99/75.
- Alba E. Quintero, speeding, 80/60.
**Misconduct**
- Michael W. McCaullla Jr., resisting an officer.
- Lamar A. Franklin, carrying concealed weapon.
- Joshua S. K. Baldwin, reckless driving.
- LaTonya M. Linker, unlawful possession of drug paraphernalia.
**Felonies**
- Kristopher A. Parker, uttering a forged instrument.
- Richard J. Tarver, unlawful use of license or identification card.
- Kat R. Gawl, possession of stolen vehicle.
- Monica D. Hamin, unauthorized use of vehicle.
- Jessie J.A. Reed, unauthorized use of a vehicle.
- Andy D. Quinn, possession of CDS.
- Heidi M. Lewis, malicious injury to property - over $1000.
- Joel S. Robertson, possession of CDS.
- Jill D. Weber, child neglect.
- Steven C. Burnett, possession of CDS.
- Justin D. Barnhill, grand larceny.
- Laquita J. Hail, forgery, second degree.
- Seth R. Hamilton, knowingly concealing stolen property.
- Bryan D. Giddens, knowingly concealing stolen property.
- Angela F. Emardthe, uttering a forged instrument.
**Small Claims**
- Arbuckle Finance vs. Carolyn D. Aldridge, small claims under $1500.
- Legacy Bank vs. Angela D. Beson, small claims under $1500.
- Norman Regional Health System vs. Heather H. Mix, small claims under $1500.
- Norman Regional Health System vs. Thomas L. Williams, small claims under $1500.
- Purcell Municipal Hospital vs. Zacharie J. Carville, small claims under $1500.
- Purcell Municipal Hospital vs. Ralph R. McCas, small claims under $1500.
- Norman Regional Health System vs. Brenda S. Ruiz, small claims under $1500.
- Norman Regional Health System vs. Bruce E. Leonard, small claims under $1500.
- Integris South OKC Hosp Corp vs. Marissa Mindelis, small claims over $1500.
- Norman Regional Health System vs. Radonna R. Robbins, small claims over $1500.
- Christopher L. Lee vs. George Higginbotham entry and detainer under $1500.
- Oklahoma Stud Ranch Inc vs. Jamie Mcgeary, small claims over $1500.
- Jimmie Hunt vs. Charles Seris, small claims over $1500.
**Civil**
- American Collection Services vs. Krishnan S. Adkins, civil action $10,000 or less.
- American Collection Services vs. James D. Deane, civilaction $10,000 or less.
- Midland Funding LLC vs. Tom Rice, civil action $10,000 or less.
- Portfolio Recovery Associates vs. Ryan Hayes, civilaction $10,000 orless.
- Portfolio Recovery Associates vs. Tracy T. Hendrix, civil action $10,000 or less.
- Portfolio Recovery Associates vs. Michael A. Vargin, civil action $10,000 or less.
- Don E. Simms vs. Monica Gibson, civil action $10,000 or more.
- Mary L. West vs. Thomas W. Young, civil action $10,000 or more.
- Bob Boyster vs. Comfort RV Repair, LLC, civil action $10,000 or more.
- JP Morgan Chase Bank NA vs. Jeffrey L. Hopper, civil action $10,000 or more.
**Marriages Filed**
- Hunter A. Thompson, 20, and Tara J. Newman, 19, both of Blanchard.
- Gary D. Burch, 52, and Darlene M. Campbell, 53, both of Lawton.
- Archie L. Gregory Jr., 51, and Kathy S. Cox, 47, both of Byars.
- Stanley L. Beams, 64, of Wayne and Sherry A. Beams, 64, of Wayne.
**Divorces Granted**
- Misty R. Gravatt vs. Toby W. Gravatt.
- Hilary D. Baker-Tabb vs. Ryan J. Tabb.
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**Extreme Animals summer program**
The Purcell Public Library welcomes a visit from some furry and amphibious friends from Extreme Animals at 10:30 a.m. Tuesday, July 5. Extreme Animals is an Oklahoma City-based organization that cares for exotic animals and educates the public about the animals in visits to a variety of events at schools, libraries and many other locations.
The group will have several of its animals inside the library for its one-hour presentation, which is geared to children 11 and under and their caregivers.
Registration is not required in advance.
For more information, visit the library, call 527-7554 or go online to www.pioneerlibrarysystem.org/purcell.
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**Town of Wayne news**
By Tracy-Lynne Lewis
Clerk/Treasurer/Court Clerk
**Reminder to Residents** – It is unlawful for any person to discharge or ignite any type of fireworks within City limits. Violators will be subject to a $244 fine.
**Feeding Animals**
Due to an overpopulation of feral cats in Town limits, the Wayne Board of Trustee are reminding residents not to leave food out for stray dogs or cats.
**Dogs at Large**
Dogs must be kept on a leash or in a fenced area at all times. Any animal running at large in the town may be impounded and fined at the owner’s expense.
**Property Clean Up**
The Town of Wayne encourages residents and landlords to mow and keep their yards clean and free of debris, appliances, and furniture. This includes bar ditches, to ensure drainage, and alley easements to the middle of the roadway.
We will be sending violation notices in the coming days. If you receive a Notice of Violation, you will be required to complete the requested clean up within 10 days from the date of the notice.
Failure to comply may result in additional fines and/or liens being filed against the property owner.
**Garage Sale Permits**
Garage sale permits are required for any garage sale within city limits. Permits are $25 and may be purchased in advance at City Hall.
**Wayne Multi Purpose Center**
The Wayne Multi Purpose Center may be rented by individuals and organizations for events and activities. Cost is $150 with a $100 refundable deposit. Contact City Hall at 449-3451 to reserve.
**Wayne Economic Development Authority**
If you are interested in opening a small business in Wayne, the Wayne Economic Development Authority has financing funds available at a low interest rate.
Applications may be picked up at City Hall.
If we ever forget that we are ONE NATION UNDER GOD, then we will be a nation gone under.
— Ronald Reagan
Proudly display this flag and remember those who have served and are serving today as we celebrate “Independence Day.”
THIS FLAG IS SPONSORED BY THE FOLLOWING:
Kristel Gray
The Hon. Washington Town Hall
Charles Gray
Teresa Jones
Memorial Assembly
Dr. Glenn Mead
Ted Cox
Pam Irwin
Bobby Cleveland
Don Hewett
J&K Auto
Barrett Trailers
J&R Windows & Glass
Alma’s Flowers
Devereaux Law Firm
First Baptist Church
Bill’s Pawn Shop
City of Purcell
Clark’s Floors & More
Benny McGowen
Dr. Rick Schmidt
Chamber of Commerce
Tyler’s Furniture
Sunray Baptist Church
Andrea’s Barber Shop
Wilson Lyles
DeWayne Norton
Purcell Public Library
Heart of Oklahoma
City of Lexington
United Drug
The Hon. Jeff Virgin
Turner Drug
Funeral Home
Libby’s Cafe
Roger Cudd
Westbrook Gardens
Sunset Estates
Althea’s Vault
Michael Monroe
Herndon Family
Dentistry
The Purcell Register
Memories, friendships and love for life
By Bill Huddleston Jr.
The experiences of the American soldier hold countless memories and stories that remain cherished for a lifetime.
In addition to the life altering circumstances of battle, relationships and never to be forgotten facts remain long after and are passed down through generations of family members and friends.
Such is the story of my father and my hero, Bill Huddleston of Purcell.
As was the case for many back in the day, Dad enlisted in the U.S. Army following graduation from Purcell High School in 1948. After a year of service, he returned home to enroll at Murray State College where he played football for one year but because of the escalation of the Korean Conflict, Dad was called to active duty in August of 1950 only days after reporting to fall football practice at Murray.
Along with thousands of others, Dad was sent by boat to Korea joining America’s continued attempts to preserve freedom around the world in addition to battling the freezing cold temperatures and winter snow of the foreign soil.
While his mother, Louella Huddleston, prayed daily for her son’s ability to survive the bitter cold, ironically it would be the winter conditions that would save his life while being engaged in active combat and being wounded by gunshot in battle on Jan. 26, 1951 near Tblmisil, Korea.
When medics finally rescued Dad, the freezing cold temperatures had frozen the wound resulting in frostbite of the left heel in addition to the injury caused by the enemy’s gunfire that severed the sciatic nerve requiring an emergency Sympathectomy to save the wounded leg.
God heard a mother’s prayers and kept her son alive. Following his rescue, Dad was evacuated to Osaka Japan and then to William Beaumont Army Hospital in El Paso, Texas where he encountered 14 major surgeries resulting in doctors attempting to repair the nerve damage and totally rebuild the left heel that was destroyed by the frostbite. Despite the pain and suffering, it was in El Paso where Dad first encountered a group of four other wounded soldiers that became friends for life as a result of the service to their country. Dillard Fontenot of Ville Platte, La., and John Wayne of Ames, Iowa, Morgan “Sonny” Gordon of Pecos, Texas, and Glen Hart of Tishomingo, refused to allow their injuries to alter their determination for recovery and developed a “brotherhood” friendship circle.
Entertainment was self created and the five took every advantage of making the best of the situation. Thousands of games of poker were all played with a competitive spirit along with wheel chair races, no doubt unapproved by medical personnel, kept a smile on the faces of this group that would leave stories to be shared later in life.
Forty-two years following in 1994, the five “army buddies” reunited in Purcell to recall their favorite memories including their loudest laugh of the day when Dad asked who wanted to play checkers. Accounts are Dad was the champ and they still knew it.
On one of Dad’s approved leaves home while continuing his recovery from surgeries, he was asked by principal T.T. Hopper to speak to students at Purcell High School about his own experiences. Among those listening was a young woman, Alma Blackwell, who was captivated by what the soldier had to say.
On Sunday, while attending services at First Baptist Church, Dad pointed to the same young lady asking one his own classmates, Richard Gray, to tell them who she was. Dad made a personal call to the young woman later that afternoon and instead of going to the movies accepted her invitation to attend evening church services.
All because of the memories and influence of the hometown soldier and his words of love and honor for his country, a friendship turned to an endless love resulting in a marriage of 51 years, two children, my sister, Patti, and myself, and leaving his legacy of faithfulness through his four grandchildren and six great-grandchildren.
While my dad didn’t talk much about his days in battle and conflict, he would always share his memories of friendships with soldiers including his five Army buddies as well as the love for those who came into his life as a result of his opportunity to serve the country and freedom that he loved. Perhaps that is why every time I hear the Star Spangled Banner played, I proudly place my hand on my heart and stare into the Stars and Stripes and see the face of my father, Bill Huddleston, smiling back and saying to me…have a good one, son.
On May 21, 1942, The Purcell Register headlines read, “Washington Service Man Here.”
The article recounted a brief but insightful view of the war in the Pacific at the time and noted, “The Killgore brothers, Rawleigh (sic) and Weldon, sons of R. E. (Robert Elgin) Killgore of Washington, have been in the thick of things in the Pacific fighting ever since the outbreak of the war.”
The article also related the tragic loss of Raleigh aboard a ship sunk in the area of what is now known as Indonesia.
Raleigh and Weldon, known as Bud in the family, joined the Navy in April 1939, well before the outbreak of World War II.
After basic training they were assigned to separate ships, but both ships became part of the Asiatic Fleet in the Western Pacific with ports-of-call in China, the Philippines and Indonesia.
After the outbreak of World War II the Asiatic Fleet (actually little more than a modest task force) would be asked, against all odds, to stand between the Japanese war machine and the U.S. and its allied nations.
Weldon, a gunner’s mate second class, was one of approximately 460 men aboard the USS Marblehead. In the days prior to the Japanese attack on Pearl Harbor, the Marblehead had been assigned to proceed 1,000 miles
Please see Killgore, page 5C
Killgore:
south from the Philippines to Balikpapan, an important oil center in the Dutch East Indies.
Their mission, even though hostilities between Japan and the U.S. had not yet begun, was to protect this oil center and the surrounding oil fields from the incursion of Japan, which had by then forced its empire into Korea, Taiwan, Manchuria, Nanking and other parts of China.
At the same time Raleigh was back at Cavite Navy Yard, Philippines aboard the USS Pillsbury, where his ship and another destroyer (the USS Peary) were undergoing repairs when they collided a month earlier during night training exercises in Manila Bay.
Aboard the Pillsbury, Raleigh was a torpedoman’s mate, second class, among a crew of about 150.
Only an hour after the Japanese bombing of Pearl Harbor on December 7, 1942, the commander of the Asiatic Fleet transmitted all ships, “Japan started hostilities; prepare yourselves accordingly.”
Weldon on the Marblehead was rousted from his bunk when General Quarters was sounded at 3 a.m. However, his ship would not see shooting action for nearly 45 days. When Pearl Harbor was being bombed, the Japanese were also bombing Singapore, Malaya, Hong Kong and the Philippines.
The Pillsbury went underway, but at dock and still undergoing repairs, she was dangerously close to merchant ships being hit by Japanese bombers. Two days later, 50 high-altitude Japanese bombers struck Manila Bay again, nearly destroying the entire U.S. Navy base. Still undergoing repairs, the Pillsbury and Peary were this time substantially damaged. The Peary lost eight men but none of Raleigh’s shipmates aboard the Pillsbury were killed or seriously injured.
Over the next two weeks the Pillsbury and the now repaired Peary patrolled in the Manila Bay area, surviving numerous Japanese-bombing raids on the capital city and the surrounding region.
By December 26 with reports of Japanese soldiers landing on the main Philippine island of Luzon days before, the two ships were finally released to proceed south to Java. Just as they were getting underway off Corregidor, both ships were again attacked but escaped unscathed.
The Pillsbury arrived in Balikpapan, Borneo without further incident on December 28.
Performing various convoy escort duties during January 1942, Raleigh on the Pillsbury and Weldon on the Marblehead kept crossing paths but were never at the same port at the same time. Finally, as the Marblehead with one of its engines disabled limped back to Surabaya on January 25, the Pillsbury had already been in port three days. Because there were a large number of ships in port with limited dock space, ships were moored side by side. Getting from the most outboard ship to the dock might mean crossing two or three ships before reaching the gangplank.
Weldon relates he was on the dockside ship, preparing to disembark, when he looked down the gangplank to see Raleigh coming up. Weldon said they celebrated that night out on the town and “had quite a few beers.” A shipmate of Weldon’s, asked 60 years later about his impressions of the Dutch East Indies, remembered “streets were dirt, mud when it rained, planked walkways served as sidewalks (much like) … early western towns in the U.S.”
He also said there was “lots of beer and the Dutchmen were good company.”
“Even a movie house” that was showing a “Hopalong Cassidy western movie.” Surely, something similar is what the Killgore brothers must have experienced that night out drinking. The next day Marblehead and Pillsbury, along with a number of other ships, would pull out to position for what became known as the “Battle of Makassar Strait.”
Both brothers would survive that battle, but the “night on the town” would be the last time Weldon and Raleigh ever saw each other.
Finally after considerable delay the Marblehead on January 4 headed for the Madura Strait on its way to Makassar. Men topside of their warship enjoyed the mixed blessing of a day bright and clear.
The day was beautiful and the peaks of Bali were visible at a distance of over 40 miles. But the clear day also made the ship easier to spot by high flying enemy aircraft.
By mid-morning the lower levels of the ship (without air conditioning) would be heated up beneath the relentless sun.
At 9:40 a.m., the serenity of an open sea was broken when spotters sighted 37 Japanese bombers coming in from the east, bearing down on the task force caught in the open on the Flores Sea.
By 10:16 a.m., the Marblehead was being attacked a third time by Japanese bombers. Like the first two attempts, the captain’s astute maneuvers eluded the Japanese and stopped them from hitting the Marblehead’s anti-aircraft fire was successful, as one Japanese plane was seen trailing smoke.
Surprisingly, the plane turned and aimed for the ship, the pilot apparently intent on a kamikaze crash. The gunners, who may have included Weldon, fired at the plane, cutting it to pieces. It crashed not far from the ship, generating cheers that could be heard below deck. Eleven minutes later, the fourth wave of bombers came around and the Marblehead’s luck ran out.
She was struck by three bombs that caused considerable damage — any of which, it was later determined, could have sunk the ship, if placement had been slightly different.
Fires broke out everywhere on the ship. Within minutes the ship was listing 15 degrees to starboard and the bow settled to a 30-foot draft.
Worse, the ship was not responding to the helm; the rudder was jammed and the ship whirled in circles at 25 knots.
All over the ship men pulled shipmates from wreckage, fought fires, and bailed water. Electricians struggled to restore electricity and communication lines. Aft, a team of men sloshed through a hellish chest-deep mixture of seawater and fuel oil to free the jammed rudder.
Two decks above the steering compartment in the chief petty officers’ mess, flames threatened 18 cans of gunpowder, which had been pre-positioned to supply the aft gun turret.
Three men worked desperately to extinguish the blazing oil and twisted metal, while pipes and wires before the powder ignited.
Fifteen men were killed or mortally wounded and 34 seriously injured. Weldon was uninjured.
After being hit the ship continued to circle for over an hour, making at least 15 maddening loops. Other ships followed the same pattern, offering whatever assistance they could. By 11:40 a.m., the rudder was finally adjusted near to the amidships position.
Though the rudder was still inoperable, the ship could be steered by varying the direction and speed of the propellers. That was OK for operating in open sea, but at dusk on February 4 as the Marblehead approached Lombok Strait, known for its treacherous currents, it took two tries in the waning daylight to get the ship headed in.
With a jury-rigged phone system to communicate onboard and communication lamps blinking instructions from the accompanying destroyers, the Marblehead, with no gyroscopic or magnetic compass, threaded its way through coral outcrops and blinding rain squalls.
More than once the accompanying destroyers had to take evasive maneuvers to avoid the errant Marblehead as she lumbered through the night.
In the dark hours before daylight the Marblehead emerged from Lombok Strait and headed for Tjilatjap, arriving about midday on February 6, 50 hours and 700 miles after being hit.
Her captain and crew had gone with little sleep and little rest during the entire ordeal. Because of the extensive damage, the Marblehead was ordered back to the States as soon as minimal repairs could be completed. While the ship was being repaired at Tjilatjap, Japanese scout planes made almost daily flights over the port and by February 12 the Marblehead’s captain was itching to head back to the States.
On February 13 the Marblehead was finally at sea, heading due south from Java and then turning west to the Indian Ocean, making for Trincomalee, Ceylon (now Sri Lanka).
Arriving there on February 21, the ship hoped to get into the dockyard for repairs to their still inoperable radar and other equipment. However, they found the dockyard booked for weeks. They stayed with repairs they could and on March 2 steamed for Durban, South Africa, making the crossing in 13 days.
After getting considerable repairs at Durban in preparation for the hazardous Atlantic crossing the Marblehead left on April 15, touched briefly at Recife, Brazil, for fuel, and then headed for New York. On May 4 the Marblehead made an emotional pass in front of the Statue of Liberty and immediately entered drydock at the Navy Yard.
Repairs that were begun as far back as Tjilatjap were
Please see Killgore, page 6C
A soldier’s perspective
Enlisting was right choice to make according to Jake Thomas McElroy
Jake Thomas McElroy was a senior in high school when he joined a program called Future Soldier.
“I joined because I felt like I wanted to do something extraordinary with my life rather than just go straight to college or start working after high school,” he said.
McElroy, recently promoted to specialist E-4, is presently stationed at Ft. Wainwright, Alaska.
His military occupational specialty is 13F. For civilians, that is a forward observer whose job it is to call in artillery strikes.
“Highly recommend joining the U.S. Army,” he continued. “You won’t find any other sense of being a part of something larger than just yourself.”
“We are one big family. Not only that, the Army can potentially teach you a job skill that can carry over to the civilian sector.”
For McElroy, there’s the assurance the military will pay for college when he leaves the Army.
McElroy hopes to be deployed although he believes deployment would be “nerve wracking and hard because of being away from family and a lot of the things I’m accustomed to.”
“But I also feel like I could handle it with no problem because it’s what I’m trained to do,” he added.
“I think that things overseas have definitely settled down over the past few months as far as the United States being involved. I feel like the efforts we’re giving to the Iraqi, Afghani and Saudi forces are helping steer them in the right direction to becoming more of a self-stabilized government.”
McElroy is the son of Rebecca Cypert of Lexington and Chris McElroy of Norman.
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Destroyer row
The USS Pillsbury (DD-227) is pictured alongside her sister destroyers next to the destroyer tender USS Black Hawk. The Pillsbury with her crew of 200 was sunk by the Japanese on March 2, 1942. There were no survivors.
From page 5C
Killgore:
continued, many on parts of the ship that had remained flooded all this time. Less than three weeks after arriving in New York, Weldon was spending some well-earned furlough in Washington, Oklahoma.
The ship would remain in the yard until October 15, 1942.
The Marblehead’s saga would become the subject of one of President Franklin D. Roosevelt’s many radio “fireside chats,” introducing America to her heroes.
The Navy also would capitalize on the Marblehead’s triumph, creating a recruiting poster illustrating the ship’s amazing story.
The poster depicted an image of the Marblehead superimposed over a map of the eastern hemisphere; tracing the actual route of the Marblehead from India to New York City. The poster spoke highly of the Marblehead:
“THE U.S.S. MARBLEHEAD COMES HOME”
“Whenever men gather to speak of heroic deeds, the saga of the Marblehead will rank with the greatest. After the battle of Makassar Strait this gallant ship took her place in the line and accepted the challenge of a vastly superior foe. With guns blazing a torrent of steel she fought her way clear through the enemy without quarter from the skies.
“The enemy reported her as sunk. With steering gear shattered, with great gaping holes in her sides, she started her epic 13,000 mile voyage to safety. Only the courage, stamina and resourcefulness of men who would not ‘give up the ship’ brought her home.
“If good red fighting blood flows in your veins, if you want the comradeship of men as those on the Marblehead, go to your nearest Navy Recruiting Station today!
“There’s a billet in the U.S. Navy waiting for you.”
The poster’s mention of the Japanese mistakenly reporting the Marblehead as sunk, the ship on which Weldon survived, ironically was (from later review of Japanese battle reports) the misidentification by the Japanese and sinking of the Pillsbury, the ship on which Raleigh was lost.
On February 14, the day following the Marblehead’s departure from Tjilatjap, the Pillsbury joined a task force of 15 ships, that was headed north to intercept the Japanese in the Palembang area on the north side of Sumatra where forces of the Imperial Japanese Navy were thought to be heading.
The plan called for a complicated movement of the task force that would bring them into contact with the Japanese by coming from an unexpected northerly direction.
However, the Japanese somehow anticipated the task force movements and were not where the Allied ships expected.
Things remained relatively quiet the next couple of days for Pillsbury and the other ships but on February 18 reconnaissance aircraft discovered Japanese troops landing on the southeast coast of Bali.
A night raid to attack the landing vessels was planned in the water. The second wave, which included the Pillsbury and four other ships entered the foray shortly after midnight on February 20.
In a period of little more than an hour the Pillsbury was spotlighted and fired upon by a Japanese ship, fired three torpedoes unsuccessfully at Japanese ships, came to the assistance of a Dutch cruiser and finally fired off three torpedoes that sank a Japanese battleship.
On the morning of February 20 after the night action the Allied force steamed along the north coast of
Please see Killgore, page 7C
Killgore:
Bali headed back to safer territory.
Nine Japanese bombers attacked along the way but fortunately no hits were suffered. The task force arrived at Surabaya later that night.
One of the battle ships had been so damaged, it was scuttled and the crew were split among the remaining battle ships still in the area.
The Pillsbury now had 200 crewmen on a ship designed for 150. Even though bunk space was now exceeded, it probably got little use anyway. Dog tired sailors slept on the stations or strewn on the deck, prepared to go to action in a heartbeat.
By late February, the Pillsbury was one of dozens of ships in an increasingly crowded Tjiatjap harbor, the last remaining haven for allied ships in the Dutch East Indies.
A relaxed state existed because of the crowded conditions, air raid warnings throughout the day and reports of Japanese submarines outside the harbor entrance.
Furthermore, a massive Japanese Navy task force was thought to be forming up south of Tjiatjap between Java and Western Australia in order to intercept fleeing Allied ships.
It was becoming painfully obvious the noose was being tightened on Tjiatjap.
Seeing the situation as nearly hopeless, the command was given on March 1 for all ships to abandon Java.
Surely happy to finally leave, Raleigh and his shipmates aboard the Pillsbury departed that afternoon at 3 p.m. in the company of the gunboat USS Asheville, heading for Exmouth Bay, Australia.
Somehow, by design or chance the Pillsbury and Asheville became separated.
By the evening of March 2 the solitary Pillsbury was 400-500 miles south of Java, about half way to Exmouth Bay. Unfortunately, the tremendous Japanese task force had materialized as expected and was between the fleeing Allied ships and Australia.
At 8:36 p.m., two Japanese cruisers sighted the Pillsbury. Pursuing at top speed, the cruisers overtook the Pillsbury less than an hour later.
The Japanese opened fire, launching more than 170 eight-inch shells at the Pillsbury. The demolished Pillsbury blew up and sank within seven minutes at 9:02 p.m., approximately 600 miles southeast of Christmas Island.
There were no survivors from Pillsbury’s 200 crew.
Raleigh Wayne Killgore is memorialized at the Manila American Cemetery on Fort Bonifacio in Manila, Philippines, his name engraved, among many others, on one of numerous large stone tablets, representing those lost or buried at sea.
A large bronze plaque on the capitol grounds in Oklahoma City, listing Oklahomans lost during WWII, also bears his name. He was just four weeks short of his 28th birthday when he died.
Weldon, after his furlough in Oklahoma, would be aboard the rebuilt Marblehead on October 15, 1942, when she again put to sea. Attached to the South Atlantic Force, she operated in reasonably peaceful waters from Recife and Bahia, Brazil until February 1944. Then, for the next five months she operated along the treacherous North Atlantic convoy lanes. Finally, the Marblehead was assigned to the Mediterranean, arriving at Palermo, Italy, on July 29, 1944.
Ship and crew eventually participated in the D-Day invasion of France nearly a year later.
However, shortly after arriving in Italy, Weldon was transferred off the Marblehead to a minesweeper, one of the most dangerous assignments in the Navy.
More than 55 years later, Weldon could relate tales of being aboard that ship as if it were only yesterday.
Weldon Winters Killgore made a career of the Navy and eventually retired at a relatively young age.
After some years on land, the seacalled Weldon again, this time to the Merchant Marines.
He proudly said that he had served in three wars; WW II, the Korean War, and the Vietnam War. Eventually, he purchased and settled on a small farm in Witts Springs, Ark., living there for nearly 30 years.
He died June 14, 2001 at McClellan Veterans Hospital in Little Rock, Ark., following a brief illness. He was 85.
On June 7, 2001, just one week before Weldon’s death, President George W. Bush signed a proclamation declaring March 1, 2002, “U.S. Navy Asiatic Fleet Memorial Day,” thus paying tribute to the brave men who served and fought as members of the Asiatic Fleet, originally formed in 1902 and disbanded in March of 1942.
Between December 7, 1941 and March 4, 1942 the Asiatic Fleet lost 22 ships – 1,826 sailors were killed and 518 men were placed in Japanese prisoner of war camps.
Navy veteran
Charles Wilson’s 12 years in the Navy were bracketed by two undeclared wars – Korea and Vietnam. Now 82 and stricken with terminal cancer, Wilson wonders what’s become of the nation he served.
Jeanne Grimes • The Purcell Register
The Navy was an odd choice of service for Charles Wilson.
Wilson hails from the landlocked Blue Ridge Mountains of southwest Virginia and he’s never been particularly fond of large bodies of water or the ships that sail on them.
He grew up so far back in the hills “they had to pump sunshine in.”
The nearest town was Wytheville and it was a hard day’s ride from home in a horse-drawn wagon.
Times were hard and so was life.
Wilson attended a country school through sixth grade. And when he was 13, he set out on his own, hitchhiking “all over the United States.” A true vagabond, he slept in rail yards and cardboard boxes, stealing food to survive.
He was 17 when he enlisted in the Navy.
The truth about his age caught up to him during training and he was sent back to the one place he’d never wanted to see again.
In Wytheville he went to the local store and persuaded the owner to sign for him so he could re-join the Navy.
Straight out of boot camp at Bainbridge, Md., Wilson
Please see Wilson, page 8C
In better days
A 1937 Christmas card for the Asiatic Fleet featured this image of the USS Pillsbury (DD-227). The ship was sunk by the Japanese in March 1942, taking her 200-member crew down with her.
• Photo provided
learned he was being assigned to the USS Missouri.
Given his dislike of the sea, it was not an assignment he wanted.
Fortunately the orders were changed before he had an opportunity to become seasick. Instead of the USS Missouri, Wilson was sent to the Naval Air Technical Training Command at Norman where he learned to bore sight guns and eventually taught hydraulics of the guns on fighter aircraft.
It was also where he learned to love flying.
The year was 1952 or maybe 1953 and the Norman base was newly reopened after being shut down at the end of World War II.
He spent most of his time on the south base at Norman, though he was familiar with north base as well.
He was reassigned to Norman a second time in 1954, staying approximately 10 weeks.
He recalled the man-made hill growing from the plains like a blister. It was part of the gunnery range and was a distinctive landmark east of I-35 until being leveled a few years ago for a shopping center.
“We spent thousands of dollars worth of .45 ammunition shooting into that hill,” he said.
Wilson also recalled a tunnel that ran from the north base nearly to the hill.
“It was wide enough you could drive a Jeep through it,” he said.
Wilson said he would have made a career of the Navy, but his wife, Earline, didn’t like the moves that are the lot of military families.
The couple returned to Oklahoma and settled on an acreage outside Blanchard.
Around 2005, they received an offer for their land and home that was too good to refuse.
They sold their place and began looking for a place without so much traffic or people.
Purcell fit the bill.
“It’s one of the cleanest towns I’ve ever been in,” Wilson said. “People take pride in their stuff here.”
For much of the time spent in the Navy, Wilson was stationed at various locations in Florida.
“I loved the military and I loved to fly,” he said. “When I got out of the Navy, I had my own plane for a while. It was an old junker, but it got me up and down.
“You get up there and nobody gets to you.”
Wilson enlisted during the Korean Conflict and finally separated from the Navy during Vietnam.
As a civilian, Wilson made his way through the oilfields, enjoying the boom years, surviving the busts. Earline made her career with the Oklahoma Tax Commission before retiring after 40 years.
He was a trucker for half a century and retired from OG&E as a heavy equipment operator.
Hard work was his way of life and he credits the Navy with giving him that work ethic.
“When I was in the service, it was different than the service is now,” he said.
Take, for example, the draft notice he received—at age 60.
“If I hadn’t been in the service, I would probably have wound up in prison.
“The Navy was good to me. I put 12 years in—four years active and eight years reserves.”
Now 82, Wilson knows his days are numbered. He’s been diagnosed with the cancer that will end his life in six months, give or take.
He’s without pain and still active, for which he’s grateful.
And he’ll tell you he’s grateful, too, that he won’t be around to see where the country is headed.
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DISTRICT RECYCLING STRATEGY V 1.1.2
CREATIVE RECYCLING PROJECTS FROM COMMON HOUSEHOLD ITEMS
15 June 2022 Version 1.1.2
The following is a list of the most common types of data that can be collected and analyzed using the methods described in this paper:
- **Demographic Data**: Information about the age, gender, race, ethnicity, education level, income, employment status, and other demographic characteristics of the population being studied.
- **Behavioral Data**: Information about the behaviors and activities of individuals or groups, such as their consumption patterns, travel habits, shopping preferences, and social interactions.
- **Environmental Data**: Information about the physical environment, such as temperature, humidity, air quality, noise levels, and light intensity.
- **Health Data**: Information about the health status of individuals, including their medical history, symptoms, diagnoses, treatments, and outcomes.
- **Financial Data**: Information about the financial transactions and assets of individuals or organizations, such as their income, expenses, investments, and debts.
- **Educational Data**: Information about the educational experiences and achievements of individuals, including their academic records, test scores, grades, and degrees.
- **Legal Data**: Information about the legal status and actions of individuals or organizations, such as their criminal records, lawsuits, and court proceedings.
- **Political Data**: Information about the political affiliations, opinions, and activities of individuals or groups, such as their voting behavior, campaign contributions, and participation in political events.
- **Social Media Data**: Information about the online activities and interactions of individuals, such as their posts, comments, likes, shares, and followers on various social media platforms.
- **Geospatial Data**: Information about the location and movement of individuals or objects, such as their GPS coordinates, addresses, and travel routes.
- **Biometric Data**: Information about the physical and physiological characteristics of individuals, such as their fingerprints, iris scans, DNA profiles, and heart rates.
- **Internet of Things (IoT) Data**: Information about the devices and sensors connected to the internet, such as their usage patterns, performance metrics, and error reports.
- **Big Data**: Information about large datasets generated by various sources, such as social media, e-commerce, and sensor networks, which require specialized techniques for analysis and visualization.
These types of data can be used to gain insights into various aspects of human behavior, society, and the environment, and to inform decision-making processes in fields such as healthcare, education, finance, law, politics, and technology.
# TABLE OF CONTENTS
| No. | Description | Page |
|-----|-----------------------------------------------------------------------------|------|
| i | District Background | 3 |
| 1. | Definition of Recycling | 4 |
| 2. | Why Recycle? | 5 |
| 3. | Legislative Requirements to Recycle | 5 |
| 4. | Problem Statement | 6 |
| 5. | History of Recycling Strategies in the Chris Hani District Municipality | 7 |
| 6. | Objectives and Scope of District Recycling Strategy | 8 |
| 7. | Overview of Waste Management in Chris Hani District Municipality | 8 |
| 8. | Alignment with other Strategic Plans & Recycling Strategies in South Africa | 11 |
| 9. | Economic Analysis | 19 |
| 10. | Status of Integrated Waste Management Plans within the District | 23 |
| 11. | Approach and Methodology | 24 |
| 12. | Compliance with Existing Legislation and Guidelines | 26 |
| 13. | Recycling Surveys | 31 |
| 14. | National Overview of Recycling | 35 |
| 15. | Waste Recycling in the Eastern Cape and Chris Hani District Municipality | 42 |
| 16. | District & all Local Municipal Profiles | 43 |
| 17. | Challenges to Recycling in the District | 45 |
| 18. | Mechanisms to Increase Recycling in the District | 49 |
| 19. | Recycling Opportunities in the District | 54 |
| 20. | Identification of Recycling Mechanisms for Different Geographic Areas | 55 |
| 21. | Objectives and Targets | 58 |
| 22. | Stakeholder Engagements | 63 |
| 23. | Challenges | 63 |
| 24. | Opportunities to Increase Recycling | 64 |
| 25. | Conclusion | 64 |
| 26. | Way forward | 64 |
| 27. | References | 65 |
| 28. | Annexures (Implementation Plan) | 66 |
(i) DISTRICT BACKGROUND
The Chris Hani District Municipality situated in the North-Eastern part of the Eastern Cape Province, a linking node to all regions in the Province. It shares boundaries with the Joe Gqabi District to the north, Sarah Baartman and Amathole Districts to the south, OR Tambo District to the east, and Northern Cape Province to the west. Chris Hani is the second-largest district in the Province, making up almost a third of its geographical area with a total area of about 36 407 km². The Municipality comprises six local municipalities, namely, Inxuba Yethemba, Enoch Mgijima, Intsika Yethu, Engcobo, Sakhisizwe and Emalahleni. The main towns are Engcobo, Cala, Cofimvaba, Lady Frere, Tsomo, Elliot, Dordrecht, Queenstown, Tarkastad, Whittlesea, Indwe, Cradock and Middleburg.
Source: IHS Markit GIS & Municipal Demarcation Board, 2016
In 2019, the district had a population of 873 362 people which is 12% of the provincial population. The annual population growth from 2009 to 2019 is 0.7%, which is below both the national and provincial average. Although the district has a relatively high functional literacy rate of 72.78%, it is still lower than that of the Eastern Cape Province at 79.02% and even lower than the National at 84.96%.
(ii) Waste Management
In 2018, 31% of households have access to basic waste removal as compared to 30.9% in 2016. In this regard, a total number of 71 400 (29.63%) households had their refuse removed weekly by the authority, a total of 3 420 (1.42%) households had their refuse removed less often than weekly by the authority and a total number of 143 000 (59.22%) households had to remove their refuse personally (own dump).
The following is a list of the most common types of software that are used in the field of computer science:
1. Operating Systems: These are the programs that control and manage the hardware and software resources of a computer system.
2. Programming Languages: These are the languages used to write computer programs. Some examples include Python, Java, C++, and JavaScript.
3. Database Management Systems: These are programs that allow users to store, retrieve, and manipulate data in a database.
4. Web Development Tools: These are programs that allow developers to create and maintain websites.
5. Graphics Software: These are programs that allow users to create and edit digital images.
6. Office Suite: These are programs that allow users to create and edit documents, spreadsheets, and presentations.
7. Video Editing Software: These are programs that allow users to edit and manipulate video files.
8. Audio Editing Software: These are programs that allow users to edit and manipulate audio files.
9. Game Development Tools: These are programs that allow developers to create and publish video games.
10. CAD (Computer-Aided Design) Software: These are programs that allow engineers and designers to create and manipulate 2D and 3D models.
| Municipality | Removed weekly by authority | Removed less often than weekly by authority | Removed by community members | Personal removal (own dump) | No refuse removal | Total |
|----------------------|-----------------------------|---------------------------------------------|------------------------------|-------------------------------|------------------|-------|
| Inxuba Yethemba | 17,300 | 1,140 | 421 | 2,200 | 168 | 21,200|
| Intsika Yethu | 1,560 | 256 | 1,340 | 37,600 | 4,580 | 45,400|
| Emalahleni | 4,900 | 181 | 1,040 | 26,900 | 2,680 | 35,700|
| Engcobo | 1,190 | 549 | 903 | 33,800 | 5,140 | 41,600|
| Sakhisizwe | 2,420 | 221 | 864 | 12,600 | 2,120 | 18,200|
| Enoch Mgijima | 44,000 | 1,080 | 2,210 | 29,500 | 1,990 | 78,700|
| **Total Chris Hani** | **71,361** | **3,424** | **6,774** | **142,634** | **16,666** | **240,860**|
1. **DEFINITION OF RECYCLING**
The National Environmental Management Waste Act (Act 59 of 2008) defines recycling as ‘a process where waste is reclaimed for further use, which process involves the separation of waste from a waste stream for further use and the processing of that separated material as a product or raw material’.
Recycling of waste is located below waste reduction and re-use in the waste management hierarchy. Waste reduction is largely driven by the manufacturing and retail sector and can be achieved through review of product and packaging design to minimise the amount of material used and through the use of returnable packaging such as returnable beverage bottles.
Waste recycling typically occurs in the post-consumer phase of a products lifespan and is driven to a large extent by consumer behaviour and availability of services of facilities for recycling.
**Figure 1: Waste Management Hierarchy (source NWMS, 2020)**
2. WHY RECYCLING?
Recycling of waste can have a number of socio-economic and environmental benefits including:
- **A reduction in waste to landfill.** Which can result in saving in landfill site airspace and undesirable impacts associated with landfill sites including surface and groundwater contamination, burning of waste, and wind scatter litter. Landfill sites are also extremely expensive to construct (due to stringent liner requirements) and operate (if operated correctly). Landfill site owners should therefore seek to maximise the lifespan of their landfill sites.
- **A reduction in reliance on virgin material.** Recycling of materials such as plastic and glass requires less energy than use of virgin materials. Incorporation of a portion of recycled material into new products reduces the need to use virgin materials.
- **Job creation.** Recycling can create significantly more jobs than simply disposing of waste to landfill.
3. LEGISLATIVE REQUIREMENTS TO RECYCLE
There are several pieces of legislations as well as strategies and guidelines which address recycling. A summary of key legislation and guidelines and conditions which are applicable to recycling are listed below.
| Legislation/ guideline/ strategy | Recycling requirements |
|----------------------------------|------------------------|
| National Environmental Management: Waste Act (59 of 2008) | - Each municipality must as far as reasonably possible provide containers or receptacles for the collection of recyclable waste.
- A holder of waste (generator) must take measures to reduce, re-use and recover waste. |
| National Domestic Waste Collection Standards (2011) | - 25% of recyclables diverted from landfill.
- All, metros, secondary LMs and large towns to have initiated separation at source programmes. |
| National Waste Management Strategy, 2020 | - 50% of waste diverted from landfill within 5 years, 80% in 10 years and 95% in 15 years |
| Eastern Cape Provincial IWMP | - Provincial masterplan to be developed to address recycling facilities.
- DEDEAT to host quarterly forums with WMOs and |
private sector.
- 50% of urban households in metros to undertake S@S by 2023.
- Both metros and 12 LMs to have operational MRFs by 2023.
- Both metros to investigate programmes for crushing of C&DW.
- All municipalities to have at least 1 drop-off facility in the main town by 2022.
- All municipalities to implement in-house recycling programmes
Chris Hani District Integrated Waste Management Plan, 2018
- Recycling and composting seem the most feasible option at this stage.
- In other words, the role of the district is in ensuring that there is a framework that encourages less waste going into its landfill sites.
- Communities and business sector to have their waste collected and to participate in recycling and awareness raising.
Operation Phakisa
- Reduce municipal waste to landfill by 50%.
- Increase e-waste recycling from 7% - 30% by 2023.
- 50% of households in metros to be S@S by 2023.
- Develop 9 transfer station per metro.
- Establish 17 MRFs and 9 plastic pelletisation plants.
4. PROBLEM STATEMENT
The Chris Hani District Municipality is largely rural in nature which is illustrated by the high number of B4 municipalities in the district. More than 80% of the local municipalities in the district are B4 municipalities. The rural nature of these municipalities presents challenges in terms of waste collection and recycling. A high percentage of the population will reside in small settlements, villages or towns which may be located far from the main towns and poor road infrastructure may render some areas inaccessible by traditional refuse collection vehicles. Provision of a recycling service to small villages and settlements may not be economically viable due to high transportation costs and low volumes of material being generated.
The following is a list of the most common types of software that are used in the field of computer science:
1. Operating Systems: These are the programs that control and manage the hardware and software resources of a computer system.
2. Programming Languages: These are the languages used to write computer programs. Some examples include Python, Java, C++, and JavaScript.
3. Database Management Systems: These are the programs that allow users to store, retrieve, and manipulate data in a database.
4. Web Development Tools: These are the tools used to create websites and web applications. Some examples include HTML, CSS, JavaScript, and React.
5. Data Analysis Tools: These are the tools used to analyze and visualize data. Some examples include Excel, Tableau, and R.
6. Cloud Computing Tools: These are the tools used to access and manage cloud-based computing resources. Some examples include AWS, Azure, and Google Cloud Platform.
7. Artificial Intelligence Tools: These are the tools used to develop and implement artificial intelligence algorithms. Some examples include TensorFlow, PyTorch, and Scikit-learn.
8. Machine Learning Tools: These are the tools used to develop and implement machine learning algorithms. Some examples include scikit-learn, TensorFlow, and Keras.
9. Natural Language Processing Tools: These are the tools used to develop and implement natural language processing algorithms. Some examples include NLTK, spaCy, and Gensim.
10. Computer Vision Tools: These are the tools used to develop and implement computer vision algorithms. Some examples include OpenCV, TensorFlow, and Keras.
There is a significant lack of recycling data available in the District Municipality. The South African Waste Information System (SAWIS), managed by DEFF, aims to improve waste data collection and management for South Africa and use of the system is supported by the National Waste Information Regulations (GN 625 of 2012). At present there are no recycling facilities reporting on the SAWIS for the district. To set informed targets for recycling a baseline is required.
| Table 2: Municipality classification (categories and descriptions sourced from DBSA, 2011) | Description | No. municipalities |
|------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------|--------------------|
| Category | | |
| A | Metropolitan municipalities | 0 |
| B1 | Secondary cities, local municipalities with the largest budgets | 0 |
| B2 | Local municipalities with a large town as core | 1 |
| B3 | Local municipalities with small towns, with relatively small population and significant proportion of urban population but with no large town as core (e.g. most of the population within several towns) | 1 |
| B4 | Local municipalities that are mainly rural with communal tenure and with, at more, one or two small towns in there are. | 5 |
| C1 | District municipalities that are not water services authorities | 0 |
| C2 | District municipalities which are water services authorities | 1 |
5. HISTORY OF RECYCLING STRATEGIES IN THE CHRIS HANI DISTRICT MUNICIPALITY
This is the first Chris Hani District Recycling Strategy developed at a district level or local level. Other District Municipalities do have recycling programmes in place which will also serve as a point of reference for Chris Hani District Municipality.
6. OBJECTIVES AND SCOPE OF DISTRICT RECYCLING STRATEGY
The scope of works for this strategy is:
- Identify and remove barriers and obstacles to achieving efficient recycling levels as a means of achieving socio-economic and environmental sustainability within the District.
• Develop a framework for exchange of information between industrial sectoral organizations and District & Provincial government sector departments in so far as setting up informed recycling targets and thereby encouraging more widespread implementation of existing recycling initiatives.
• Develop a practical and basic institutional framework to for infrastructure, transport and initial stimulation of markets for recycled products.
This Recycling Strategy is limited to the Chris Hani District Municipality which consists of six local municipalities and with 110 wards.
The focus of the recycling strategy is on increasing recycling of post-consumer or domestic waste as it poses a greater challenge that post-industrial waste. Post-industrial waste is typically available in large quantities, is usually less contaminated, and hence is easier and more lucrative to recycle and hence is generally well managed by the recycling industry.
7. OVERVIEW OF WASTE MANAGEMENT IN CHRIS HANI DISTRICT MUNICIPALITY
The Municipalities within the CHDM are experiencing a wide variety of challenges ranging from inappropriate disposal sites to lack of collection equipment and limited number of personnel. Their challenges also include limited public awareness about the service or noncompliance by the public regarding various norms and standards. There are limited advocacy avenues in most instances about waste management. There is no clear coordination of efforts by the municipalities to ensure that there are effective recycling initiatives linking up adjacent municipalities (see figure 8 below).
Some landfill sites do not have operations and maintenance plans, and some are illegal sites and are not fenced. Below reflects consequences of lack of O & M plans. The evaluation of the service delivery also indicated that although they are experiencing severe problems some of the municipalities can cope remarkably well and must be encouraged to perform even better.
Uncontrolled Recycling initiatives
Currently major limitations exist within the District Waste Management planning process:
• Limited funding for the service,
• Inaccurate costing of the service
• No communication plan in place regarding waste issues,
• Equipment management (break downs for long periods of time),
• No regional planning in relation to waste minimization,
• No operations and maintenance plans for the service
• Lack of records or information about the service (resource usage, number of households receiving the service or waste volumes generated),
• No monitoring and review mechanisms in place,
• No agreed upon regional standards for the service.
• Unclear municipal waste infrastructure requirements or needs.
• Non-alignment of district’s IWMP with those of the local municipalities since the local municipality IWMPs were generated before the district’s IWMP
• All landfill sites within the 6 local municipalities are non-compliant.
Effective integration, coordination, and alignment of actions of government at national provincial and local spheres remain an important aspect in ensuring efficient and effective provision of basic services to all. As waste management issues gain public awareness, concern has risen about the appropriateness of various disposal methods. It is acknowledged that effective waste management can contribute to job creation thereby responding to the aspirations contained in the National Development Plan, to provide a quality life for all. There is a need to streamline the coordination of waste management initiatives within the district and bring together all the role players. This includes other government departments, provinces, municipalities, private sector, civil society, and the general public in order to ensure that the plight of waste management is elevated and that it is placed at the top of government's service delivery agenda.
**WASTE CHARACTERIZATION IN THE DISTRICT**
| Category Name | Description |
|---------------------|-----------------------------------------------------------------------------|
| Plastic Bottles | All clear and tinted polyethylene terephthalate (PET) plastic bottles typically including water and juice bottles and other food packaging. |
| Category | Description |
|-------------------|-----------------------------------------------------------------------------|
| Rigid Containers | All plastic containers including dairy, food packaging, polystyrene foam and plastic nursery pots. |
| Film - Retail Bags| All plastic film retail bags. |
| Packaging Foam | Expanded polystyrene (EPS) foam packaging and food service from containers. |
| News | Newspapers including glossy inserts coloured paper, office paper, junk mail and paper cartons. |
| Grey board | Chipboard or paperboard boxes such as cereal, food packaging and shoe boxes. |
| Magazines | Magazines, catalogues, and other bound paper. |
| Metal Cans | All bi-metal food cans and bi-metal beverage containers including soda, beer, and other carbonated drinks containers. |
| Glass | All clear, green, and brown glass jars and containers. |
| Organic Material | Organic food products such as vegetables and food waste. |
| Rubble | Building materials such as bricks and concrete |
| Ash | Charcoal and wood ash |
| Hazardous | Medical waste and some industry products such as batteries |
| E-waste | Computers, printers |
8. ALIGNMENT WITH OTHER STRATEGIC PLANS & RECYCLING STRATEGIES IN SOUTH AFRICA
While this recycling strategy will function as a standalone report it is necessary to align it with existing strategies and plans. Details of these documents are provided below.
- **Eastern Cape Integrated Waste Management Plan (2018 – 2023)**. The Eastern Cape Provincial Integrated Waste Management Plan (PIWMP) is currently being implemented. The PIWMP culminates in an implementation plan which lists several projects which seek to improve waste management in the Province over the next 5-year period (2018 – 2023).
- **Chris Hani District Municipality has developed an Integrated Waste Management Plan (2018 – 2023)** that was adopted by Council in 2018, the IWMP development process suggested the prioritization of the District Recycling Strategy. This Integrated Waste Management Plan has therefore been developed in line with the requirements of the Waste Act and the Department of Environmental Affairs (DEA) Guidelines for the Development of Integrated Waste Management Plans. Issues that have been identified to limit the provision of the service in the region are the following:
- Limited funding for the service.
- Inaccurate costing of the service.
- No communication plan in place regarding waste issues.
- **The National Waste Management Strategy, 2020 (NWMS 2020)** revises and updates the 2011 strategy by building on the successes and lessons from the implementation of that strategy and addressing the challenges and gaps identified. Most importantly, the 2020 strategy has the concept of the “circular economy” at its centre. The circular economy is an approach to minimising the environmental impact of economic activity by reusing and recycling processed materials to minimise: (a) the need to extract raw materials from the environment; and (b) the need to dispose of waste. The circular economy is built on innovation and the adoption of new approaches and techniques in product design, production, packaging, and use – industrial symbiosis, for instance, is a way of preventing waste in industrial production by redirecting waste from one production process to serve as raw materials for another production process.
In line with the outcome-based planning approach of government, the strategy is premised on three (3) pillars which will see a future South Africa with zero waste in landfills; cleaner communities, well managed and financially stable waste services, and a culture of zero tolerance of pollution, litter and illegal dumping. The Government priorities will be achieved through three (3) supporting pillars, namely Waste Minimisation; Effective and Sustainable Waste Services; Compliance, Enforcement and Awareness. Collectively, the outcomes, strategic pillars,
interventions, and actions consolidate and builds on the eight (8) overarching goals of the 2011 strategy.
Significant strategic shifts from the 2011 strategy made in the NWMS 2020 includes:
- Addressing the role of vulnerable groups, waste pickers and the informal sector and supporting women, youth and people living with disabilities in the circular economy.
- Promoting approaches to the design of products and packaging that reduce waste or encourage reuse, repair and preparation for recycling, support markets for source separated recyclables.
- Investigating potential regulatory or economic interventions to increase participation rates in residential separation at source programmes.
- Investing the economies associated with transporting of recyclables to waste processing facilities.
- Addressing the skills gap within the sector with a special focus on women, youth and people living with disabilities.
- Engagement with the National Treasury regarding the operational expenditures for municipalities associated with implementing the NWMS and the Waste Act.
Additionally, the NWMS 2020 provides an enabling environment for the projects identified in the 2017 Operation Phakisa Chemicals and Waste Economy (CWE). The CWE as part of a cross sector national planning process intended to identify and support the implementation of projects in each sector of the economy that will contribute to national goals for sustainable economic growth, job creation and social transformation. The strategy comes at a time when there is growing knowledge and awareness of the environmental consequences of human activity in relation to the climate and environmental pollution. The widespread impact of plastic packaging in our coasts, rivers and wetlands is a cause for a great concern.
The NWMS 2020 outlines a strategic approach to reduce littering and illegal dumping, and to reducing the production of single-use plastics such as food wrappers, disposable cups, and straws that are currently destroying our marine habitats. The success of the NWMS 2020 depends on the extent to which it finds a foothold in local and provincial government and the private sector. But government and business can't solve our problems with waste on their own. Increasing recycling rates to promote the circular economy depends on consumer behaviour change, such as separating waste at source – something which all South Africans should be practising. The revised NWMS seeks to build on existing initiatives in schools and draw on community-based organisations and NGOs to help in cleaning up our communities and reducing the carbon footprint of our economy by correct disposal and recycling of waste.
• **Phakisa: Chemicals and Waste Phakisa** - Operation Phakisa is an initiative which seeks to unlock South Africa’s economic potential. The plan identifies several initiatives to progress waste management in South Africa. The following initiatives are relevant to this Recycling Strategy.
o Reduce industrial waste to landfill by 75%.
o Reduce municipal waste to landfill site 50%.
o Move toward zero meat production waste to landfill by 2023.
o Increase e-waste recycling from 7% to 30% by 2023.
o Unlock government ICT legacy volumes and create 1,000 jobs through reclamation of precious metals.
o Create 1,000 jobs through recycling and re-use of government computers.
o 50% of households in metropolitan municipalities separating at source by 2023.
o Development of at least 9 transfer stations per metropolitan municipality.
o Establish 17 MRFs and 6 plastic palletisation facilities.
o A minimum of 30% of construction waste to be re-used in construction activities.
o 8,000 direct and indirect jobs through plastic recycling.
o Produce building aggregates and construction inputs from rubble and glass.
o Extend EPR for packaging waste.
o Establish an industry for reclamation of refrigerants and phase out import of disposal cylinders.
• **Eastern Cape Provincial Development Plan** - The theme of the Eastern Cape Provincial Development Plan is ‘flourishing people in a thriving province’. The Eastern Cape Development Plan sets the following targets related to waste management.
o An inclusive, equitable and growing economy for the province.
o An educated, innovative, and empowered citizenry.
o A healthy population.
o Vibrant, equitably enables communities.
o Capable agents across government and other institutional partners committed to the development of the Province.
o The plan recognises that poor waste management results in environmental challenges and can cause health issues.
• **Recycling Enterprise Support Programme** - This recycling strategy will be aligned with the objectives of the Recycling Enterprise Support Programme (RESP) that is implemented by the DEFF. The RESP was developed to encourage entrepreneurship and job creation to:
o Maximise the economic potential of waste management.
o Support waste management projects.
Increase recycling rates and diversion from landfill.
Promote innovation in the recycled products market.
Encourage funded project sustainability.
- **Working on Waste** - The Working on Waste programme is run by the Department of Environmental Affairs and is implemented under the Expanded Public Works Programme (EPWP). The aim of the Working on Waste Programme is to work towards the achievement of goals of the NWMS.
- **National Development Plan** - South Africa National Development Plan (NDP) was published in 2012 and outlined the required steps to eliminate poverty and reduce inequality by 2030.
The NDP sets the following objectives related to recycling:
- An absolute reduction in the total volume of waste disposed to landfill site each year through a national recycling strategy.
- Carbon price, building standards, vehicle emission standards and municipal regulations to achieve scale in stimulating renewable energy, waste recycling and retrofitting buildings.
- Consumer awareness initiatives and sufficient recycling infrastructure should result in South Africa becoming a zero-waste society.
- Implement a waste management system through rapid expansion of recycling infrastructure and encouraging composting of organic domestic waste to bolster economic activity in poor urban communities.
- The NDP also recognises the opportunity for the manufacturing sector to reuse waste.
**Recycling Strategies in South Africa**
- **Separation at Source Survey** - The Department of Environment Forestry and Fisheries commissioned a nation-wide study on separation at source in 2017. The key aims of the study were to:
- Determine the status quo of separation at source.
- Identify policy options and models to increase separation at source.
- The study is not currently available for public review.
**Management Options for Construction and Demolition Waste and Factors that Influence Recycling Behaviour.** The Department of Forestry, Fisheries and the Environment commissioned a study in 2017 on the construction and demolition waste (C&DW) industry in South Africa. The aim of the study was to better understand the status of the C&DW recycling industry and determine options for improving it.
The following section summarises recycling strategies and guidelines which have been developed for other provinces.
- **General Waste Minimisation Plan for Gauteng** - The Gauteng Department of Agriculture and Rural Development (GDARD) released a general waste minimisation plan for the province in 2009. One of the key targets in the plan was a decrease in waste disposal by 1% per year between 2009 and 2014. The report lacked accurate data due to a lack of weighbridges at waste disposal facilities, however it was estimated that 25% of the Gauteng waste stream was composed of main line recyclables. *The report covered the following:*
- Status quo – estimated waste steam composition and recyclable quantities.
- Waste generation forecasts.
- Identification of waste minimisation options.
- Legislative interventions.
- Short, medium and long term waste minimisation targets.
- Implementation plan.
*Projects in the implementation plan were captured under the following headings,*:
- Enabling environment
- Generation
- Transport cycle
- Recovery and recycling
- Development of MRFs
- Development of rubble crushing plants
**Disposal**
Various targets were identified under each of the headings which were classified as short, medium or long term targets.
**Western Cape Waste Minimisation Guidelines for Municipalities**
The Department of Environmental Affairs and Development Planning (DEA&DP) released waste minimisation guidelines in 2015. The guidelines presents practical information on how different recycling options could be implemented including required capital investment, operational costs, pros and cons of different solutions and case studies.
The strategy does not contain an implementation plan or any goals or targets, but rather is designed as a user-friendly guideline to assist municipalities in exploring different options to minimise waste.
**Eastern Cape Recycling Strategy**
The Department of Economic Development Environmental Affairs and Tourism (DEDEAT) has identified that there is a need to increase recycling in the Eastern Cape. There is currently a significant lack of data available on recycling to allow DEDEAT to determine the status quo of recycling in the province. The focus of the recycling strategy is on increasing recycling of post-consumer or domestic waste as it poses a greater challenge than post-industrial waste. Post-industrial waste is typically available in large quantities, is usually less contaminated, and hence is easier and more lucrative to recycle and hence is generally well managed by the recycling industry.
**Industry Waste Management Plans**
In December 2017 the Minister of Environmental Affairs published a notice (GN 1353 of 2017) requiring the paper and packaging industry, electrical and electronic industry and lighting industry to prepare and submit industry waste management plans (indWMP) for DEFF’s approval. The intention is that these indWMPs will entrench extended producer responsibility into these industries which generate significant wastes.
In response to this notice the following industry waste management plans have been developed:
- Electrical and electronic industry – E-waste Recycling Authority.
- Electrical and electronic industry – South African Waste Electrical and Electronic Enterprise Development Association (SAWEEEDA)
- Packaging Industry - Packaging South Africa (Packaging SA) Industry Waste Management Plan – Federation of Plans consisting of inputs from the following industries:
- Glass – The Glass Recycling Company (TGRC)
- Paper and board – PAMDEV
- Metals – MetPac-SA
- Polyolefins – Polyc
- Polyethylene terephthalate (PET) – PETCO
- Polystyrene – Polystyrene Association of South Africa
Packaging Industry Waste Management Plan
The Packaging SA Industry Waste Management Plan – Federation of Plans was submitted to DEFFA on 05 September 2018 (Packaging SA, 2018). The plan will come into effect on 01 January 2019 (subject to approval by DEFF) and cover a 5-year period until 31 December 2023. Each of the individual indWMPs will also follow these timeframes.
The following sections summarise the targets of each of the individual plans which comprise the Federation of plans.
(a) Glass
The glass indWMP will be implemented by the Glass Recycling Company (TGRC), a not-for-profit organization and the official producer responsibility organization (PRO) for promoting glass recycling.
In 2017 41.5% of glass waste recycled in South Africa, it should be noted that this figure only considers glass packaging materials such as bottles and jars, it does not cover window glass or windscreen glass.
(b) Paper and Packaging
The paper and packaging indWMP will be implemented by PAMDEV a not-for-profit organization and producer responsibility organization (PRO) of the Paper Manufacturers Association of South Africa (PAMSA) for promoting glass recycling. In 2017 70.7% of all recoverable paper was collected for recycling in South Africa, which is a significant increase from the 57.3% collection rate in 2012 (Packaging SA, 2018). In 2017 70.7% of all recoverable paper was collected for recycling in South Africa, which is a significant increase from the 57.3% collection rate in 2012 (Packaging SA, 2018).
(c) Metal
The metal indWMP will be implemented by MetPac-SA a non-profit company. The current metal packaging recovery rate is estimated at 73%.
(d) Polyolefins
The Polyolefin Recycling Company (Polyco) is a non-profit company which represents a group of polyolefin packaging converters. The plastic polymer groups which Polyco represents are:
- Polymer code 2 – high density polyethylene (HDPE).
- Polymer code 4 – Linear low and low-density polyethylene (LL/LDPE).
- Polymer code 5 – Polypropylene (PP).
Polymer code 7- multilayer materials
(e) Polyethylene terephthalate
The polyethylene terephthalate (PET) indWMP will be implemented by PETCO, a registered not-for-profit company. PETCO’s portfolio currently only covers packaging materials composed of PET. PETCO has included edible oil products such as cooking oil and thermoform and sheet sectors (trays, blister packs etc.) into their indWMP.
(f) Polystyrene
The Polystyrene indWMP will be implemented by the Polystyrene Association of South Africa, a not-for-profit organisation. Some of the key targets included in the polystyrene indWMP are:
- Increase the polystyrene recycling rate from 16.8% - 18.9% over a five-year period.
- Development of small-scale municipal recycling hub facilities in some small to medium sized municipalities.
- Creation of an addition 35 – 50 jobs through the development of hubs.
(g) Polystyrene
The Polystyrene indWMP will be implemented by the Polystyrene Association of South Africa, a not-for-profit organisation. Some of the key targets included in the polystyrene indWMP are:
- Increase the polystyrene recycling rate from 16.8% - 18.9% over a five year period.
- Development of small-scale municipal recycling hub facilities in some small to medium sized municipalities.
- Creation of an addition 35 – 50 jobs through the development of hubs.
(h) PROPOSED EXTENDED PRODUCER RESPONSIBILITY FEES
The following extended producer responsibility fees were proposed in the packaging indWMP.
| Material | Category | 2019 EPR fee R/tonne | 2020 EPR fee R/tonne | 2021 EPR fee R/tonne | 2022 EPR fee R/tonne | 2023 EPR fee R/tonne |
|----------------|---------------------------|----------------------|----------------------|----------------------|----------------------|----------------------|
| PET | Bottles | R901 | R1,189 | R1,169 | R1,185 | R1,071 |
| | Edible oil | R604 | R830 | R989 | R 1,250 | R 1,255 |
| | Thermoforms | R740 | R966 | R1,019 | R1,295 | R1,538 |
| Polyolefins | Rigid and flexible | R250 | R250 | R250 | R250 | R250 |
| | Multi-layer | R420 | R420 | R420 | R420 | R420 |
| | Carrier bags | R420 | R420 | R420 | R420 | R420 |
| | Recyclate | R100 | R100 | R100 | R100 | R100 |
| Glass | Cullet | R 37 | R 39 | R 41 | R 43 | R 45 |
| Polystyrene | | R 150 | R 158 | R 165 | R 174 | R 182 |
| Vinyls | | R 150 | R 158 | R 165 | R 174 | R 182 |
| Paper | | R 3.5 | R 3.7 | R 3.9 | R 4.1 | R 4.3 |
9. ECONOMIC ANALYSIS
South Africa’s commitment to sustainable development is aimed at balancing the broader economic and social challenges while protecting environmental resources. For the waste sector in South Africa this means care must be taken to ensure wise consumption and production patterns, resource efficiency, waste prevention and minimization and waste reuse and recovery.
The ‘Circular Economy’ is a central concept to the:
- A response to the aspiration for sustainable growth in the context of the growing pressure of production and consumption on the world’s resources and environment.
- The economy has mainly operated on a ‘take-make-dispose’ basis.
• Replaces linear model and notion of “end of life”.
• Keep the added value in products for longer to eliminate waste.
• Keep resources within the economy when a product has reached end of its life, so that they can be productively used again and again and hence create further value.
• A transition to a circular economy shifts the focus to reusing, repairing, refurbishing, repurposing, recycling, and upcycling.
• Business can redesign complete supply chains for resource efficiency and circularity.
• Creates new markets responding to shifts in consumption patterns away from traditional ownership towards using, reusing, and sharing.
**Recycling Opportunity Statement:**
• Recycling rates are influenced by the quality of recovered materials and the economic viability of recycling operations.
• Opportunities for improving may not reside in the already well-developed markets (i.e. glass, paper, plastics and cans).
• The real potential lies in unexplored markets for (tyres, eWaste, organic waste, construction & demolition waste, obsolete cars, etc.). Increasingly complex waste streams will therefore rely on more specialized technologies to enable recycling.
**The Economic Value or ‘Resource Value’ of Recycling**
The economic value or ‘Resource Value’ of municipal solid waste goes beyond the cost of dealing with the physical waste stream, to the value that is inherent in the actual waste which can be maximised or extracted through recovery, recycling, reuse and preparing for reuse, energy provision and any other method of extracting additional value from the waste stream. Moving waste up the hierarchy towards reuse, recycling and recovery contributes to the principles of a ‘green economy’ in a number of ways:
- Re-introduction of resources back into the economy,
- Contribution to economic growth and job creation, and
- Reducing social and environmental costs (externalities).
An important element of this methodology is that it implies that the values reported in the study are likely to under-estimate the full benefits of moving waste up the hierarchy, as the benefits associated with job creation and economic growth, as well as the avoided costs and externalities associated with virgin material extraction, are not taken fully into account.
The aim of this study is to assess the benefits of increased recovery of resources from waste. The benefits are to municipalities specifically, and society more generally. The focus is therefore on the potential value of the materials that could be recycled, rather than the value of materials currently being recycled.
All economic activities (including waste management activities, such as landfilling or recycling) incur both benefits and costs. However, certain of these benefits and costs, such as environmental or social externalities\(^1\), are intangible or difficult to quantify, and are therefore not typically accounted for in policy and decision making, which can in turn lead to incorrect decisions being made. Economic valuation refers to the process by which economists quantify (in monetary terms) the unaccounted-for benefits and/or costs of economic activities or policy actions. The information generated through this process can then be used to contribute towards improved decision making, in conjunction with other relevant information.' (DST, 2014. Page 3)
To determine the potential ‘Resource Value’ of recycling within the waste economy being evaluated, it is necessary to determine both the potential volumes or quantities of waste that could be recovered, recycled, or re-used in one form or another, with the metric for measuring this being a metric ton; and the ‘Unit Value’ of that ton of waste material which has had its value improved or increased. (For the sake of this report we will refer to all material that has been ‘recovered, recycled or re-used’ as ‘recycled’ waste material.) We have used the DST definition of ‘unit value as follows: ‘We use the term ‘unit value’ rather than ‘price’ to represent the value per tonne; since in economic terms the value per unit of a good or service is not necessarily equal to its market price. Economic value refers to the maximum amount that users of a good or service are willing to pay for the good or service. The decision to purchase a unit of the good or service implies that the user places a higher value on the good or service than its market price. Nevertheless, in the absence of costly and time-consuming valuation studies in which many surveys are conducted with users regarding their maximum willingness to pay per unit of a specific good or service, market prices must often suffice as a proxy of unit values.’ (DST, 2014. Page 5)
The price paid by waste recyclers to waste collectors is used as the proxy for the unit value per type of waste. Since unit prices increase along the recycling value chain, it is necessary to choose a specific point along the chain where unit values will be determined. The figure below illustrates a simple schematic of the recycling value chain. The arrows represent exchanges of materials, each of which also entails monetary exchanges (in the opposite direction). For example, collectors purchase waste materials from individuals or waste pickers, and in turn sell the collected materials to recyclers. In turn, the recyclers undertake processing of the waste materials, and sell the recycled materials to downstream industries for further processing and ultimately for use as a raw material in production processes. Importantly, at each point along the value chain, value is added.
to the waste materials. This implies that the ‘value’ (and the price) per tonne of the material increases along the value chain. The definition of all economic activities relating to waste management has been succinctly provided by the South African Department of Science and Technology (DST) as follows:
Value Along the Recycling Value Chain
Source: Department of Science & Technology (DST), 2014.
CHDM RECYCLING OPPORTUNITIES
The CHDM is strategically positioned in the province with good transportation routes linked to all major provinces in the country such as the Western Cape, KwaZulu-Natal, Gauteng, the Northern Cape and the Free State. With the available recoverable waste material, it is ideal for collaboration or linking up with strategic partners in other major towns such as East London (EL) and Port Elizabeth (PE) and are all in the Eastern Cape Province. With its proximity to the Industrial Development Zones (IDZ) in PE and EL, it positions itself well for exportation of its recoverable waste such as electronic waste and since the area is mostly rural it can benefit from compost production.
Fluctuating markets for recyclables remain a threat for the sustainability of recycling initiatives. Regulation of the recycling sector by national government may offer some relief and balance in the local markets. Low volumes of recyclables and the distance to the markets may hamper the success of recycling initiatives in smaller and remote municipalities. A cost-benefit analysis of the different treatment and disposal options for specific municipalities should be addressed in the Integrated Waste Management Plans to enable a municipality to make an informed choice of the most appropriate system(s) based on its specific scenario and setting.
Budgeting for waste management services is dependent on accurate costing of the required services. The full cost of waste service provision is seldom understood by both municipal officials as well as the public. This results in waste management services often being under budgeted and/or communities being reluctant to pay the rightful cost of the service. Tariffs have the potential to fully cover the costs of providing the services, but the charges are often set below actual costs. A full cost accounting exercise for waste management services is at present not done and should include aspects of collection, transportation, landfill, street cleansing, fee collection, debt payment and depreciation. Implementing recycling programmes will reduce the disposal costs and generate revenue for the municipality. The cost accounting exercise referred to above could include the costs of recycling programmes against their gains in terms of real monetary returns as well as cost savings relating to increased landfill life span through saved air space.
Therefore, cost - benefit analysis of aspects of the service was limited throughout the district. Economic principles such as opportunity costs were not clearly or adequately addressed. The issue of property rights was also not well defined throughout the region hence indemnity forms should be signed by those accessing landfill sites for an example. Intsika Yethu Local Municipality is the only municipality in the district that has outsourced the running of its landfill but what is lacking in their plan is an economic assessment of the effectiveness of such a strategy. Such assessments should be done throughout the district assessing the whole value chain of the waste management service. Asset registers and landfill valuations in terms of GRAP 17 and 19 are important economic tools that our municipalities have. Such reports should be adequately developed and populated with realistic information to support sustainable decisions.
10. STATUS OF INTEGRATED WASTE MANAGEMENT PLANS WITHIN THE DISTRICT
The District Integrated Waste Management Plan (2018 – 2023) was adopted by Council in 2018 and will be submitted to the MEC of Department of Economic Development, Environmental Affairs and Tourism for endorsement. The District IWMP will be reviewed in the 2022/2023 Financial year to address the inputs from the DEDEAT and be aligned with the National Waste Management Strategy, 2020. All Local Municipal IWMP’s are due for review (Emalahleni LM & Intsika Yethu LM) and others are still under review (i.e Dr AB Xuma LM, Sakhisizwe LM, Inxuba Yethemba LM, Enoch Mgijima LM).
11. APPROACH AND METHODOLOGY
A phase approach was used for the development of this recycling strategy. The phases are detailed below.
- **Identification of Key Stakeholders**
One of the first tasks undertaken in the development of this District Recycling Strategy was the identification of key stakeholders.
The table below summarizes key stakeholders:
| Key stakeholders in the recycling industry | Roles & Responsibilities |
|------------------------------------------|--------------------------|
| DEDEAT | DEDEAT are responsible for overseeing waste management in the province. |
| Local municipalities and district municipalities | Municipalities are responsible for providing an enabling environment for recycling in their area of jurisdiction. |
| Recycling companies | Recycling companies irrespective of size involved in recycling in one way or another. |
| Building industry | The building industry generates construction and demolition waste. Components of construction and demolition waste can be recycled. |
| Manufacturing industry | The manufacturing industry are key stakeholders, especially plastic product manufacturers. Manufacturers can choose to use recycled materials in their product and can also determine whether their products themselves are recyclable. |
| The public | The public can influence recycling in the province through choosing to buy recycled products and committing to recycling on a household level. |
| Extended producer responsibility | These organizations manage and co-ordinate manufacturers of a particular product. |
- **Data Gathering of Recycling Initiatives within the District** – The District embarked on a data gathering exercise where questionnaires and interviews were conducted in all 6 Local Municipalities within Chris Hani District Municipality. Focus was mainly on Local Municipalities, Cooperatives, informal and formal recyclers.
• **Workshops and Stakeholder Engagement** - 6 stakeholders’ engagements were arranged to present the draft recycling strategy. The stakeholder engagements were conducted virtually at Enoch Mgijima Local Municipality, Inxuba Yethemba) and physical sessions were held at Dr AB Xuma Local Municipality, Sakhisizwe Local Municipality and Emalahleni Local Municipality. The Intsika Yethu Local Municipality could not commence due to non-availability of the political leadership and till to date there has not been any formal engagement with the Municipality. One District Workshop encompassing all the 6 Local Municipalities will be held before 30 June 2022.
• **Literature Review**
An in-depth literature review was undertaken to determine current recycling practices in the province and countrywide. The following key reports were reviewed:
o Eastern Cape Integrated Waste Management Plan: General Waste, 2010.
o Eastern Cape Integrated Waste Management Plan: Hazardous Waste 2010
o IWMPs for the 6 Local Municipalities, District and Province.
o SAWIS statistics.
o Waste facility permits.
o Statistics SA Census 2011 and Community Survey 2016 data.
o Industry waste management plans.
o National Waste Management Strategy, 2020
o EC Recycling Strategy
o EC Economic Recycling Study
• **Internal Processes**
The Draft District Recycling Strategy will be presented to the following platforms:
o CHDM Disaster Advisory, Environment and Climate Change Forum.
o Health and Community Services Standing Committee.
o CHDM Policy Workshop
o CHDM Mayoral Council.
o CHDM Council.
A review of the level of compliance of recycling practices in the district in relation to targets set by legislation and guidelines was undertaken to identify gaps in current recycling operations in the district.
- **National Environmental Management: Waste Act (Act No. 59 of 2008)**
| Topic | Section | Requirements | Comments |
|------------------------|---------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| General duty | 3 | The state must put in place measures that seek to reduce the amount of waste generated, and where waste is generated, ensure that it is re-used, recycled and recovered in an environmentally sound manner. | DFFE has initiated the development of guidelines and strategies to increase recycling in the province including a study on waste separation at source. DFFE has approved and promulgated the National Waste Strategy, 2020 which puts emphasis on prioritization of recycling initiatives both formal and informal. |
| Waste Service Standards| 9 (1) & (2) | The municipality must deliver waste management services, including waste removal, storage and disposal services in adherence to the national and provincial norms and standards (section 7 and 8 of the Act); whilst:
- Integrating the IWMP and IDP.
- Ensuring access to services.
- Ensuring affordable service delivery.
- Ensure effective and efficient Sustainable and Financial management. | There is a gap between waste service provision in the District and the requirements of National Norms and Standards. |
| | 9 (3) | The Municipal may furthermore set local standards:
- For separating, compacting and storing waste.
- Management of solid waste, i.e.: Avoidance, Minimisation, Recycling.
- Coordination of waste to relevant | All Local municipalities do not have by-laws in place to govern waste management, the District has Municipal Health Services By-Laws which do not explicitly address waste management services in accordance with set prescripts. By-laws MUST specify requirements for waste separation and |
| Designation of Waste Management Officers | 10(3) | The Municipality must designate in writing a waste management officer from its administration to be responsible for coordinating matters pertaining to waste management in that municipality. | The District and most of the Local Municipalities if not all have not designated WMOs. |
| Integrated Waste Management Plans | 11 (4) & (7) | The Municipality must submit an IWMP to the MEC for endorsement (response from the MEC must be given within 30 days).
- Include the approved IWMP into its IDP.
- Follow the consultative process in section 29 of the Municipal Systems Act (separately or as part of IDP). | IWMPs of Local Municipalities and District are not yet endorsed by the MEC due to the following:
- Alignment with the NWS, 2020 is required.
- Due for review and other are under review.
- No Council approval.
- Omission of the Public participation process. |
- **National Norms and Standards for the Disposal of Waste to Landfill (GN 636 of 2013)**
The National Norms and Standards identify several waste streams which will be banned from landfill. The following table summarizes waste streams which are applicable to this Recycling Strategy.
| Waste stream | Compliance timeframe |
|------------------------------------------------------------------------------|----------------------|
| Lead acid batteries | 8 years (2021) |
| Re-usable, recoverable or recyclable used lubricating mineral oils, as well as oil filters, but excluding other oil containing waste | 4 years (2017) |
| Hazardous waste electric and electronic equipment – lamps | 3 years (2016) |
| Hazardous waste electric and electronic equipment – other | 8 years (2021) |
| Waste tyres - whole | Immediate (2013) |
| Waste tyres - quartered | 5 years (2018) |
• **National Domestic Waste Collection Standards (GN 21 of 2011)**
This standard aims to provide a uniform framework within which domestic waste should be collected in South Africa to address the past imbalances in the provision of waste services. The standards aim to guide municipalities on how to provide acceptable, affordable, and sustainable waste collection service to the human health and the environment.
| Requirement | Progress in the District & Local Municipalities |
|----------------------------------------------------------------------------|----------------------------------------------------------------------------------------------------------------|
| Separation at source must be encouraged in line with relevant IWMPs and all households in municipalities must be separating waste at source. | - Neither of the municipalities have a municipal separation at source programmes in place |
| Service providers/ municipalities must provide clear guidelines to households on sorting of waste, appropriate waste containers and removal scheduled for different waste types | - Municipalities which have participated in separation at source programmes have undertaken awareness campaigns with residents. |
| Community involvement in recycling must be encouraged | |
| Municipalities must provide an enabling environment for recycling through a kerbside collection service for mainstream recyclable or provision of communal collection points. | - Neither of the metros have municipal separation at source programmes in place. |
| | - Enoch Mgijima Local Municipality owns a buy-back centre where recyclables can be dropped off. Local municipalities Must provide public drop-off facilities for the public to use. |
| | - Local Municipalities and the District must have a coordinated recycling & collaborative approach which will unlock economic opportunities in the recycling sector. |
| Non-mainstream recyclable (e-waste, scrap metals batteries etc.) must be routed to drop-off centres | - The majority of municipal drop-off facilities are not designed to accept hazardous waste. |
| Recyclable waste must be removed from drop-off centres at least once a fortnight | - The frequency of collection of recyclable waste from drop-off centres will vary on a site-by-site basis. |
• **National Pricing Strategy for Waste Management (2016)**
The aims of the National Pricing Strategy for Waste Management (hereafter referred to as the Pricing Strategy) are:
- Mainstream the polluter pays principal.
- Reduce waste generation.
- Increase waste diversion from landfill.
- Support the growth of South Africa’s waste economy.
- Reduce the environmental impacts of waste.
The Pricing Strategy identified downstream, upstream and subsidy-based instruments which could be used to increase recycling rates in South Africa.
• **National Waste Information Regulations (GN 625 of 2012)**
The National Waste Information Regulations came into effect on 01 January 2013. The aim of these regulations is to improve waste information management for South Africa. Annexure 1 of the regulations lists activities including recovery and recycling, treatment and disposal of waste for which the person conducting the activity must register and report on the South African Waste Information System. Person conducting the following activities or operating the following facilities in terms of recycling must comply with the National Waste Information Regulations.
• **National norms and Standards for Sorting, Shredding, Grinding, Crushing, Screening and Bailing of General Waste**
These norms and standards have two different requirements depending on the size of a facility: All waste facilities (used for sorting, shredding, grinding, crushing, screening of waste) *less than 100m² in size* must register with the competent authority and provide details including the location, types of waste processed, and civil design drawings of the facility as set out in Section 4 of the standard. All waste facilities (used for sorting, shredding, grinding, crushing, screening of waste) *more than 100m² in size* must register with the competent authority as set out in Section 4 of the standard, *as well as* comply with requirements for the location, design, construction, access control and signage. Operational requirements in Section 8 of the standard address management of operational impacts such as control of hazardous substances, air emissions, discharging of wastewater, noise and odour emissions. The standard also covers training, emergency response, monitoring and reporting, general requirements, requirements during the decommissioning phase and transitional provisions.
13. RECYCLING SURVEYS
- General Household Survey 2016
A review of domestic waste recycling was undertaken as part of the Stats SA General Household Survey in 2016. On a national level households located in metropolitan municipalities are more likely to separate waste at source for recycling than traditional and rural households (Stats SA, 2018). The higher percentage of household which are separating waste at source in Urban areas than Rural areas, this could be due to the presence of separation at source programmes or the availability of easily accessible recycling drop-off facilities, or due to ability to pay a service provider to collect recyclables.
The Stats SA survey also assessed reasons for households not engaging in recycling, the following feedback was received from the survey:
- The majority of households which do not recycle (75.8%) indicated they did not recycle because they could put recyclable materials into their bin with the rest of their waste.
- A lack of recycling services (38.9%) and conveniently located recycling drop-off points (29.0%) were also given as reasons for not recycling. These results indicate that if municipalities were to provide a kerbside collection service for recyclable or easily accessible recycling facilities then the percentage of households recycling would increase.
- Of concern is that 34.8% of households do not think it is important to recycle, which indicates a lack of waste awareness on a national level.
- A further 31.1% of households indicated that they do not recycle due to a lack of financial incentives.
Public Perception Surveys
The key aim of this study is to identify mechanism for increasing recycling in the province. Recycling can only be increased if the public and private sector understand the value of recycling and support recycling initiatives. There have been a number of surveys undertaken across South Africa which assessed the public perception of recycling. Key findings of these studies are presented in the table below.
| Study name | Survey description | Key findings | Reference |
|----------------------------------------------------------------------------|------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------------------------------|
| Sustainability of waste management recycling: A case study of Paarl | Surveys were distributed to 100 households in Paarl to assess households attitudes towards recycling. 70 surveys were returned. | • 48% of households recycle.
• 33% of households which don’t recycle cite the reason for this as it takes too much effort to recycle.
• A further 28% state they do not have time to recycle.
• Paper (33% of households) is the most recycled material by households followed by glass (30% of households) and plastics (28% of households).
• 45% of households were aware of the location of their nearest recycling facility.
• 78% of households were aware of the importance of recycling.
• 81% of households were willing to learn about recycling.
• 74% of households would be willing to | Rossouw, L and Du Plessis, R (2018), Sustainability of Waste Management Recycling: A case study of Paarl, presented at IWMSA WasteCon 2018, Emperors Palace, Johannesburg |
| A survey on selected households within the Ekurhuleni Metropolitan Municipality to participate in solid waste management and recycling | 100 questionnaires were delivered to households or undertaken face-to-face in the city of Ekurhuleni. A total of 80 responses were received. | • 60% of respondents were aware of recycling centres.
• 55% of respondents are involved in waste minimization.
• 65% of respondents are involved in reclaiming of waste to recycle or to sell to recycling companies.
• 64% of respondents understood the important of separation at source.
• 36% of respondents recycle due to environmental concerns. 30% separate waste at source as it is useful for recycling or composting and 20% separate waste at source due to influences from the media.
• 44% of respondents who do not recycle indicate the reason is a lack of containers.
• 23% of respondents do not recycle due to lack of awareness. | Gumbi S.E and Rampedi I.T (2018) A survey on selected households within the Ekurhuleni Metropolitan Municipality to participate in solid waste management and recycling, presented at IWMSA WasteCon 2018, Emperors Palace, Johannesburg |
| Municipality | Waste Management Public Perception Survey |
|------------------------------------|------------------------------------------|
| Nelson Mandela Bay Municipality | A waste management public perception was undertaken using face-to-face surveys, an online survey and to a lack of time. |
| Nelson Mandela Bay Municipality | 37% of households in medium – high income areas recycle but only 11% of households in low-income areas recycle. Glass (29% of respondents) was the most widely recycled material followed by paper/cardboard (22% of respondents) and plastic (18% of respondents). |
Nelson Mandela Bay Municipality (2012). Waste Management Public Perception Survey. A
14. NATIONAL OVERVIEW OF RECYCLING
The 2018 draft State of Waste Report estimates that of the 42 million tonnes of general waste generated annually in South Africa only 11% is recycled (DEA, 2018). This illustrates that South Africa as a whole falls short of the 2011 NWMS target of 25% of recyclable waste to be diverted from landfill.
The following sections detail current recycling of different waste streams in the country.
- **Paper and Cardboard Recycling**
Based on statistics provided by PRASA, in 2016 paper consumption in South Africa was 2,381,442 tonnes. A high level of paper recycling is occurring in South Africa. On a national level 68% of all paper was collected for recycling in 2016. This amounts to a total of approximately 1.4 million tonnes. Of the 1.4 million tonnes of paper recovered in South Africa in 2016 1,388,228 (99.2%) was recycled (PRASA, 2017).
Recovered paper is used in approximately 65% of paper mills in South Africa and some paper mills only use recovered paper stock in manufacturing (Packaging SA, 2018).
**Paper recycling rates 2010 - 2016**
| Year | Recovered paper as a percentage of recoverable paper | Tonnes of paper recovered (tonnes) | Reference |
|------|-----------------------------------------------------|-----------------------------------|-----------|
| 2013 | 62% | 1,169,296 | PAMSA (2014) |
| 2014 | 64% | 1,063,129 | PAMSA (2015) |
| 2015 | 66% | 1,196,026 | PAMSA (2016) |
| 2016 | 68% | 1,399,039 | PAMSA (2017) |
The PAMSA data is used in the Packaging SA indWMP to provide a status quo of paper recycling in South Africa.
The SAWIS also provides data for paper recycling in South Africa, however the SAWIS records do not directly correlate with PAMSA’s data. In 2013 PAMSA reported 1,169,300 tonnes of paper being recycled in 2013 and SAWIS reports 8,101,933 tonnes. The year on year data reported by PAMSA is more consistent than the SAWIS data which fluctuates significantly year on year. The PAMSA data is therefore considered to be the more accurate data set.
Paper recycling tonnages 2013 – 2017 for South Africa (source SAWIS, access 19 November 2018)
| Year | Paper | Brown grade | Mixed grades | Newspaper magazine & White | Total |
|------|-------------|-------------|--------------|----------------------------|-----------|
| 2013 | 202,219 | 5,984,370 | 1,299,664 | 220,612 | 395,066 | 8,101,933 |
| 2014 | 1,044,744 | 6,522,421 | 1,589,245 | 285,652 | 622,803 | 10,064,866|
| 2015 | 760,949 | 1,682,266 | 343,455 | 202,066 | 367,584 | 3,356,322 |
| 2016 | 285,426 | 1,095,944 | 291,267 | 153,408 | 350,165 | 2,176,210 |
| 2017 | 514,784 | 852,305 | 577,634 | 1,187,699 | 293,772 | 3,426,196 |
Based on SAWIS records there were 178 facilities registered as recycling paper, which may include facilities where paper is sorted and bailed.
| Year | Paper | Brown grade | Mixed grades | Newspaper magazines & White grades | Total |
|------|-------------|-------------|--------------|------------------------------------|-----------|
| 2013 | 6 | 22 | 21 | 17 | 22 | 88 |
| 2014 | 12 | 28 | 21 | 19 | 21 | 101 |
| 2015 | 24 | 38 | 36 | 27 | 31 | 156 |
| 2016 | 21 | 38 | 34 | 27 | 33 | 153 |
| 2017 | 32 | 43 | 37 | 28 | 38 | 178 |
Glass
Glass is widely recycled in South Africa; there are over 4,017 glass banks in South Africa, 41% of glass is recycled and 87% of glass is diverted from landfill. In addition, the recycling of glass supports 3,125 entrepreneurs (web reference 4). The majority of glass is sent to Cape Town or Johannesburg for recycling. The major glass recyclers in South Africa are Consol and Nampak. Nampak recycled 59,000 tonnes of glass in 2016, and 47% of the material used in glass packaging by Nampak is recycled glass (Nampak, 20160).
| Glass consumption and collection tonnages 2012 -2016 in South Africa (source, PSA, 2018) Year | Glass consumption (tonnes) | Glass collected (tonnes) | % collected |
|---|---|---|---|
| 2012 | 865,400 | 339,200 | 39.2% |
| 2013 | 809,300 | 320,900 | 39.6% |
| 2014 | 734,800 | 286,000 | 38.9% |
| 2015 | 678,600 | 152,300 | 41.1% |
| 2016 | 686,500 | 285,000 | 41.5% |
The percentage of glass collected increases annually, however there has been a decrease in annual consumption of glass from 865,400 tonnes in 2012 to 686,500 tonnes in 2016. The decrease in glass consumption could be due to redesign of glass packaging to decrease weight or a loss of market share to plastic packaging (Kagiso Asset Management, undated).
Returnable glass bottles are in circulation in South Africa; there is an 85% return rate on returnable bottles (Packaging SA, 2018). These returnable bottles can be reused up to 30 times (web reference 5). Approximately 80% of all beer sold in South Africa is sold in returnable bottles (Nampak, 2018). According to SAWIS records in 2017 there were 41 glass recycling facilities operating in South Africa, and in 2017 a total of 177,681 tonnes of glass was recycled.
**Glass recycling records (source, SAWIS, accessed on 19 November 2018)**
| Year | Glass recycling (tonnes) | No. registered facilities |
|---|---|---|
| 2012 | 2,212 | 4 |
| 2013 | 9,774,167 | 21 |
| 2014 | 6,497,948 | 25 |
| Year | Glass Recycling Tonnage (tonnes) | % Collected |
|------|---------------------------------|-------------|
| 2015 | 403,725 | 33 |
| 2016 | 164,041 | 35 |
| 2017 | 177,681 | 41 |
As can be seen in the table above, there are significant discrepancies between year on year annual glass recycling tonnages reported on SAWiS (2012 – 2,212 tonnes, 2013 9.7 million tonnes), confirming that this data is not reliable.
**Metal Packaging**
Can recycling rates in South Africa are high. Collect-a-Can estimates that the recycling rate for beverage cans was 72% in 2015 (web reference 3). Approximately 162,000 tonnes of cans were produced in South Africa in 2017, although the annual tonnage of cans produced decreased from 202,000 tonnes in 2013 to 162,000 tonnes in 2017. One reason for this decline is the packaging industry moving from use of steel cans to aluminium cans (PSA, 2018). Steel is approximately 2.5 times denser than aluminium.
Data presented in the Packaging indWMP shows a decline in the consumption of metal packaging between 2012 (230,200 tonnes) and 2016 (194,500). The percentage of metal packaging being collected for recycling has shown an 11.1% increase from 64.6% in 2012 to 74.7% in 2016.
**Metal packaging consumption and collection tonnages 2012 -2016 (source, PSA, 2018)**
| Year | Consumption packaging (tonnes) | Metal packaging collected (tonnes) | % Collected |
|------|--------------------------------|-----------------------------------|-------------|
| 2012 | 230,200 | 148,700 | 64.6% |
| 2013 | 227,800 | 153,200 | 67.2% |
| 2014 | 226,200 | 154,000 | 68.1% |
| 2015 | 214,400 | 152,300 | 71.0% |
| 2016 | 194,500 | 145,300 | 74.7% |
**Plastics**
Unlike other packaging materials (glass and metal packaging) the consumption of plastic for packaging has increased annually between 2012 (734,100 tonnes) and 2016 (865,700 tonnes). The percentage of material collected for recycling has also increased between 2012 (39.6%) and
2015 (44.6%). The percentage of material collected remained constant between 2015 and 2016. It must be noted that although the percentage of material collected remained constant between 2015 and 2016 the tonnage of plastic packaging collected for recycling increased by 20,600 tonnes.
**Plastic packaging and collection tonnages 2012 -2016 (source, PSA, 2018)**
| Year | Consumption of plastic for packaging (tonnes) | Plastic packaging collected (tonnes) | % Collected |
|------|---------------------------------------------|-------------------------------------|-------------|
| 2012 | 734,100 | 291,000 | 39.6% |
| 2013 | 780,800 | 315,800 | 40.4% |
| 2014 | 791,100 | 351,500 | 44.4% |
| 2015 | 818,600 | 365,200 | 44.6% |
| 2016 | 865,700 | 385,800 | 44.6% |
The SAWIS records for plastic recycling show significant fluctuation year on year, again suggesting that this data is not reliable.
| Year | Plastic | HDPE | LDPE | Other | PET | PP | PS | PVC | Total |
|------|---------|--------|--------|-------|--------|--------|--------|-------|---------------|
| 2013 | 577,819 | 82,406 | 1,898 | 45,227| 36,397 | 671,202| 12,305 | 7 | 3,324,008 |
| 2014 | 867,490 | 78,911 | 583,339| 120,807| 65,458 | 301,726| 13,628 | 0 | 2,031,359 |
| 2015 | 134,384 | 45,349 | 116,705| 1,6371| 31,231 | 3,447 | 5,024 | 1,389 | 339,166 |
| 2016 | 74,391 | 47,401 | 129,922| 30,082| 35,211 | 11,234 | 7,172 | 4,027 | 339,440 |
| 2017 | 2,698,685 | 39,315 | 100,863| 11,035| 48,031 | 53,157 | 9,900 | 3,462 | 2,964,448 |
**Polyethylene terephthalate**
The PET Recycling Company NPC South Africa (PETCO) is the PRO for polyethylene terephthalate (PET). According to PETCO’s website in 2018 66% of PET bottles have been collected for recycling (web reference 6) which is a 38% increase from 2008. In 2016, 90,747 tonnes of post-consumer PET was recycled. This is a 22% increase from 2015 recycling rates.
In 2017 recycling of PET bottles saved approximately 578,000m$^3$ of landfill site airspace and R430 million was paid by recyclers for baled bottles (PETCO, 2017).
**Poly vinyl chloride**
There are currently no recyclers in South Africa which can recycle contaminated post-consumer or post-industrial non-packaging PVC waste (Packaging SA, 2018). In 2016 17,081 tonnes of PVC was recycled, which is a recycling rate of 9.4% (Plastics SA, 2017).
**Polystyrene**
The recycling of polystyrene showed a 7.2% decrease between 2015 and 2016. A total of 5,449 tonnes (8%) of polystyrene was recycled in 2016. Due to the density of polystyrene, it is typically not feasible to transport it unless it has been extruded into ingots to densify the material (Plastics SA, 2017).
**Destination of Plastics**
The majority of plastic collected for recycling is recycled in South Africa, with the remainder being exported offshore. Of the 334,727 tonnes of plastic recycled in 2017 only 6.3% was recycled outside of South Africa (Pretorius, 2018).
**Markets for Plastic**
The National Plastics Recycling Survey of 2016 notes that in 2016 many recyclers had more recyclate available than their customers required. The increase in availability of recyclate is attributed to changes in consumer behaviour and an increased focus on implementation of waste management in line with the Waste Act e.g. separation at source.
Markets for plastic recyclate (source, Plastics SA, 2017)
| Destination | % of recycled plastic |
|------------------------------|-----------------------|
| Flexible packaging | 20% |
| Clothing and footwear | 18% |
| Building and construction | 16% |
| Rigid packaging | 15% |
| Miscellaneous | 8% |
| Furniture | 5% |
| Agriculture | 5% |
| Export | 5% |
| Domestic wares | 3% |
| Mining and engineering | 2% |
| Polywood | 2% |
**E-Waste**
A lack of accurate data on e-waste generation rates was raised as a concern in both the ERA and SAWEEEDA e-waste indWMPs.
The actual e-waste generation rates in South Africa are unknown. It is estimated that 360,000 tonnes of e-waste are available for recycling each year (ERA, 2018). The current recycling rate of e-waste is estimated to range between 11% (Mintek, 2017) and 18% (STEP, 2013).
According to Operation Phakisa reports, government departments (45%) are the largest generator of e-waste, followed by the private sector (35%) and households (20%).
**Tyres**
There are an estimated 60 to 100 million used tyres stockpiled in South Africa, and a further 11 million tyres are added to these stockpiles each year (Smith & Trois, 2018).
Approximately 232,000 tonnes of tyres are sold per annum in South Africa. This equates to approximately 174,000 tonnes of waste tyres being generated annually (2015 figures) (SATRUCO, 2018). A 20% reduction rate is applied to new tyre tonnages to account for loss in mass due to wear to tear. It is estimated that off-road tyres (OTR) account for 25,000 tonnes annually of the new tyres entering the market (TWASIMA, 2018).
15. WASTE RECYCLING IN THE EASTERN CAPE AND CHRIS HANI DISTRICT MUNICIPALITY
Separation at Source Programmes
At present neither of the metropolitan municipalities have municipal separation at source programmes in place. There are private companies in operation which offer kerbside collection of sources separated recyclables for a small monthly fee. Twelve of the 31 local municipalities in the province are running separation at source programmes but most of these programmes are small pilot programmes. Challenges experienced in running separation at source programmes include a lack of budget to procure bags, a lack of public awareness of recycling and community members expecting an incentive to undertake separation at source. Within Chris Hani District Municipality there is no formal and monitored separation at source programme. The District Municipality has made provision of separation at source equipment in various schools, but the programme is not yet formalized.
These are the following facilities that exist within Chris Hani District Municipality:
| Municipality | Location of MRF / Transfer Station / Buy Back Centres | Description of MRF | Owner |
|-----------------------|--------------------------------------------------------|------------------------------------------------------------------------------------|---------------|
| Sakhisawe LM | Elliot | A MRF was constructed using funding from DFEF but addition works are still required for the facility to be fully operational. | Municipal Manager |
| Emalahleni LM | Indwe/ Cacadu | A MRF will be constructed using funding from DFFE | Municipal Manager |
| Enoch Mgijima LM | Komani – Ezibeleni, Lesseyton, eLinge | MRF’s were constructed at eLinge and Lesseyton using funding from DFFE. An additional Buy Back Centre was constructed at Ezibeliini, all these facilities are operated by an implementer contracted by Chris Hani Development Agency. | Municipal Manager |
| Inxuba Yethemba LM | - | - | - |
| Dr AB Xuma LM | - | - | - |
16. DISTRICT & LOCAL MUNICIPAL PROFILES
The Chris Hani District Municipality is composed of six local municipalities namely:
1. Intsika Yethu Municipality
2. Dr AB Xuma Local Municipality
3. Inxuba Yethemba Local Municipality
4. Enoch Mgijima Local Municipality
5. Sakhisizwe Local Municipality
6. Emalahleni Local Municipality
District profile have been compiled to give an overview of recycling in the district and its 6 local municipalities. The identification of locations for the development of recycling infrastructure or recycling programmes is beyond the scope of this strategy however the largest towns/most densely populated settlements in each local municipality have been identified. These areas should be considered when implementing recycling programmes.
Population:
Inxuba Yethemba – 70,493
Enoch Mgijima- 245,975
Emalahleni – 124,532
Intsika Yethu -152,159
Dr AB Xuma (previously known as Engcobo) - 162,014
Sakhisizwe- 63,846
Total: 819,019
Chris Hani District Municipality Largest town/settlement per municipality:
- Inxuba Yethemba (Cradock, Middelburg)
- Enoch Mgijima (Komani, Ezibeleni)
- Emalahleni (Tyoksville, Dordrecht)
- Intsika Yethu (Cofimvaba)
- Dr AB Xuma (Engcobo)
- Sakhisizwe (Cala, Elliot)
Waste service provision:
- Removed weekly – 15.2%
- Removed less often – 0.8%
- Communal refuse dump – 3.3%
- Communal collection point – 1.2%
- Own refuse dump – 71.0%
- No refuse removal – 7.0%
- Other – 1.5%
Key Challenges
- Lack of recycling infrastructure and recycling programmes across the district.
- The majority of households 71.0% use their own refuse dumps, the majority of this waste would not be available for recycling.
- Only 16.0% of households receive a kerbside collection service, this limits the opportunity to roll out a kerbside collection for source separated recyclables (2 bag system).
- Low population density particularly in the western region of the district
Waste Recycling:
- MRF: 05 – Intsika Yethu, Sakhisizwe, Emalahleni, Enoch Mgijima
- Recycling drop-off: - 0
- Two bag system: 0
- Buy-back centre: - 1
Opportunities for recycling in the Chris Hani district
- Intsika Yethu is operating a MRF, the successes and lessons learnt from this facility should be documented and applied for facilities in the district.
- The following areas have the largest or more dense population, these should be prioritised for the development of recycling programmes or infrastructure
Domestic waste generation (estimate, tonnes/annum)
- Inxuba Yethemba – 11,932
- Enoch Mgijima – 41,636
- Emalahleni – 21,079
- Intsika Yethu – 25,756
Cradock & Middelburg (Inxuba Yethemba local municipality), Komani & Ezibeleni (Enoch Mgijima local municipality), Tyoksville & Dordrecht (Emalahleni local municipality), Cofimvaba (Intsika Yethu local municipality), Dr AB Xuma (Dr AB Xuma local municipality), Cala & Elliot (Sakhisizwe local municipality)
- There is an opportunity to share collection and transportation costs with towns within the district which are located on or in close proximity to the N6 or N10 roads.
- Dr AB Xuma – 27,424
- Sakhisizwe – 10,807
- Total: 138,636
17. CHALLENGES TO RECYCLING IN THE DISTRICT
- A lack of funding for infrastructure and vehicles.
- Lack of support from local municipalities and district municipality.
- Lack of support from government sector departments.
- There is a lack of waste and recycling information available.
- There is a lack of public awareness around recycling.
- Inadequate coordination of recycling initiatives.
- Employees and waste pickers lack basic PPE such as gloves.
- A lack of cash flow within recycling companies prevents them from purchasing of equipment or vehicles.
- Informal reclaimers remove waste from recycling bins and igloos.
- The Chris Hani District Municipality and the province have been removed from the markets for recyclables.
- Prices paid for recyclables in the District and Eastern Cape are lower than other provinces due to transportation costs and distance travelled.
- Glass recyclers only accept 32-ton loads. In the time taken to accumulate that amount of glass bags perish and tear during loading.
- The price of virgin materials fluctuates. When virgin materials are only marginally more expensive than recycled material manufacturers choose to use virgin materials.
- Recycling companies which undertake a door-to-door collection service are still charged for disposal at landfill for the non-recyclable components. This should not be when one considers that disposal of domestic waste is already covered by household’s waste tariffs.
• Education campaigns need to be realistic in terms of potential income from recycling and explain high start-up costs, high transportation costs and low profit margins.
• When funding applications are submitted there is a lack of feedback or guidance on how to improve future submissions.
• Some national DEFF tenders/funding applications require attendance of compulsory briefing sessions in Pretoria. Small companies cannot afford transport costs to Pretoria and so cannot submit applications.
• Medium – large recycling companies will only collect from small companies once they have a sufficient volume. Storage space is a concern for small companies.
• Lack of Basic Waste Management Service Provision.
• The primary role of local municipalities is to provide a basic waste management service to residents. An estimated 50.3% of households in the Eastern Cape use their own refuse dumps or have no access to refuse disposal (Stats SA, 2016).
• In order for municipalities to be able to provide recycling services to their residents an effective waste management service already needs to be in place, but as can be seen this is not the case in all areas of the District.
**Lack of Recycling Data**
As previously mentioned, there is a lack of data available on waste recycling in the district. The SAWIS is poorly used by the private industry and with no facilities reporting. The majority of local municipalities are unable to provide tonnage reports for recyclables collected through recycling programmes. There is no district wide database of recycling companies operating in the district.
There is no district system in place to track recycling companies operating in the province, nor municipal recycling initiatives or recycling facilities. The recycling industry is subject to rapid change; as the prices of materials fluctuate, the recycling of some waste streams ceases being economically viable. A recent example of this was steel cans; due to a drop in the price of steel small recycling companies were not able to find a purchaser for steel cans. Long-term comprehensive data is needed to track patterns in recycling in the district.
**Recycling Companies**
Based on literature reviews and interviews with recycling companies there is a significant gap in both knowledge of waste management legislation and compliance with legislation. There are numerous recycling facilities operating in the district without the necessary waste management license or registration in terms of norms and standards promulgated under the Waste Act. This
finding is mirrored in the Plastics SA 2017 National Plastics Recycling Survey which found that out of the 68 recycling companies surveyed, only 27% were legally compliant.
**Local Municipalities**
The Waste Act requires municipalities to provide an enabling environment for recycling. Through a review of IWMPs and engagement with municipalities, it is evident that there is a lack of municipal-driven separation at source programmes (two-bag systems and drop-off facilities for recyclables) in the district and its local municipalities.
**Recycling Markets and Transportation Distances**
The majority of recycling occurs outside the District and Eastern Cape. Transportation costs associated with waste pose a serious risk to the viability of recycling programmes and companies. In addition, some waste processors such as Consol only accept waste in bulk. Consol only accept loads of glass which are at least 32 tonnes (approximately 36 bags of crushed glass). Many small companies lack the space to store such large volumes of glass or the necessary financial means to ensure cash flow to suppliers whilst they are accumulating volumes to make transport financially viable. Some of the recycling companies have overcome this challenge by forming partnerships with other locally based recycling companies and sharing transportation costs through combining loads.
**Licensing Requirements**
Compliance with legislation could be a potential barrier to small recycling companies entering the recycling industry.
**National Norms and Standards for the Storage of Waste (GN 926 of 2013)**
These norms and standard apply to facilities with the capacity to store in excess of 100m$^3$ of general waste or 80m$^3$ of hazardous waste. The norms and standards place the following requirements on the owners of facilities which trigger the storage threshold:
- Registration of the facility with DEDEAT.
- Design requirement – design to be undertaken in consultation with a registered engineer, signage in 3 official languages.
- Training programme for employees.
- Operational and emergency preparedness plans.
• Internal audits bi-annually. Reports to be submitted to DEDEAT.
• External audits biennially with reports to be submitted to DEDEAT.
• Records that waste is being transported by an authorized transporter.
Small emerging recycling companies may not have the skills or knowledge to develop operational and emergency preparedness plans which are required for the registration of facilities.
**National Norms and Standards for the Sorting, Shredding, Grinding, Crushing, Screening or Bailing of General Waste (GN 1093 of 2017).**
These norms and standards are applicable to any facility where sorting, shredding, grinding, crushing, screening or baling of general waste occurs. Waste facilities with an operational area (including waste storage areas) in excess of 100m² are required to register in terms of the norms and standards and comply with all the provisions of the norms and standards. Waste facilities with an operational area of less than 100m² only need to register the facility with DEDEAT.
The norms and standards place the following requirements on the owners of facilities with an operational area in excess of 100m²:
• Registration of the facility with DEDEAT.
• Design requirement – access control (fence, gates, signage), dust suppression (where applicable), impermeable surface if leachate generation is anticipated.
• Training programme for employees.
• Operational and emergency preparedness plans.
• Internal audits bi-annually, reports to be submitted to DEDEAT.
• External audits biennially with reports to be submitted to DEDEAT
The same concerns as noted for the Norms and Standards for Storage of Waste apply to these norms and standards in terms of ability for small recycling companies to adhere to the requirements.
**National Environmental Management: Waste Act (Act 59 of 2008)**
The Waste Act contains a list of activities which require a waste management license application to be undertaken. Recycling falls under the following activity:
Category A: Recycling or Recovery of Waste
(3) The recycling of general waste at a facility that has an operational area in excess of 500m², excluding recycling that takes place as an integral part of an internal manufacturing process within the same premises.
It must be noted that the 500m2 operational area includes the storage area. This activity would be applicable to any facility where waste management activities other than sorting, bailing, shredding or grinding occur.
These facilities are required to undertake an application for environmental authorisation which would involve a basic assessment and waste management license application. The timeframes for such a process are typically 8 - 9 months. A R2,000 application fee is applicable to all applications for category A facilities. This fee is only applicable to private companies and not municipal facilities.
**National Waste Information Regulations (GN 625 of 2012)**
The National Waste Information Regulations are applicable to the following:
**Recovery or recycling of waste**
- Recycling of general waste at a facility that has an operational area in excess of 500m².
- At present there are only 12 companies in the province reporting on the SAWIS. Awareness needs to be raised with recycling companies about the requirements of these regulations and CHDM needs to enforce registration and reporting on the SAWIS in order to collect recycling data for the province.
**18. MECHANISMS TO INCREASE RECYCLING IN THE DISTRICT**
**Improving Waste Service Provision**
A low % of households in the district have access to a kerbside collection service. It is evident from public perception surveys regarding waste recycling that the public would be more willing to recycle if it was convenient for them to do so. Before municipalities can undertake kerbside collection of source-separated recyclables they need to have a kerbside collection in place for mixed waste. This strategy recommends the development of MRFs in municipalities. In order for a MRF to be successful waste needs to be collected and delivered to the facility. In municipalities where only a low percentage of households are receiving a waste collection service a MRF may not be successful until the municipality can collect larger volumes of waste.
**Provincial Fund for Recycling Project**
One of the barriers to increasing recycling in the province and the development of EMEs is a lack of funding available for recycling programmes. It is recommended that the District and Local Municipalities establish a fund for recycling projects. The fund would be accessible to SMME’s formal and informal and would cover infrastructure development, provision of equipment and training.
Infrastructure Development
Waste management infrastructure can be used to increase the diversion of waste from landfill. The following infrastructure can be used by municipalities to assist with waste recovery.
Material Recovery Facility
Material recovery facilities (MRF) are facilities which are designed to sort waste in order to increase waste diversion from landfill. There are two types of MRF, a clean MRF and a dirty MRF. A clean MRF processes source-separated recyclables and a dirty MRF processes a mixed waste stream.
Recycling Drop-Off Facilities
Municipalities are required to provide an enabling environment for recycling. For municipalities which are not in a position to undertake kerbside collection of source separated recyclables municipalities can provide recycling drop-off facilities. Recycling drop-off facilities can vary from provision of recycling igloos or bins to formal constructed waste drop-off facilities.
The following guidelines should be considered when developing recycling drop-off facilities:
- Facilities should be formal sites with infrastructure such as fencing, and storage facilities. The size of the facility and type of infrastructure will largely depend on the available budget and expected waste volumes.
- Facilities should be located in proximity to residential areas to allow residents to easily access the facilities. Community buy-in should be sought for the facilities prior to the establishment. Engagement should be held with the local councilor to gauge whether the local community will support the facility. The facility should either be managed by a local waste company or members of the local community employed at the facility.
Integrated Waste Management Facility
An integrated waste management facility (IWMF) is a facility which encompasses various different waste management infrastructure which can potentially include:
- A MRF.
- Public drop-off facilities for recyclables.
- A transfer station.
- A composting facility.
Development of an IWMF instead of standalone facilities can have a number of benefits for a municipality including:
- Shared infrastructure such as access roads, fencing, services.
- A reduced staff compliment e.g. only one access point to control.
- One license/registration.
- One set of internal and external audits instead of one audit per facility.
- Reduced transportation of waste between different facilities.
- Easier for the public as they can drop all of their waste off at one facility.
In large municipalities or municipalities with more than one town the IWMF will need to be supported by a network of waste/recycling drop-off facilities.
**Siting Considerations for Waste Management Facilities**
When developing a MRF the following should be considered:
- Location of the MRF: a MRF should be located in close proximity to the largest waste generation centre in the municipality. The largest waste generation areas are typically the largest towns/cities.
- Development of a MRF at a landfill site to minimise the transportation distance for non-recyclable waste.
- Location of the MRF in relation to transportation routes. The MRF should be located close to a major transportation route such as a national or regional route to minimise transportation costs.
**Operation of the MRF**
- A MRF can either be managed internally by a municipality or outsourced. There are informal reclaimers operating on the majority of landfill sites in the district. The development of a MRF may affect informal reclaimers operating in the municipality. The municipality may wish to investigate formalising existing informal reclaimers at a MRF.
**Recommended Waste Management Infrastructure for Municipalities**
The District Recycling Strategy must take into consideration the district waste infrastructure masterplan to identify the future waste management needs of the district. The below table provides some high-level recommendations for infrastructure development in the different category municipalities, however the local municipality infrastructure masterplan would also be needed to assess infrastructure needs on a case by case basis.
| Category | Infrastructure Requirements |
|------------------------------------------------------------------------|---------------------------------------------------------------------------------------------|
| B2 Local municipalities with a large town as core | • A MRF located in the largest town |
| B3 Local municipalities with small towns, with relatively small | • Recycling drop-off facilities with sorting facilities |
| population and significant proportion of urban population but with no | • Mobile buy-back centres |
| large town as core (e.g. most of the population within several towns) | |
| B4 Local municipalities that are mainly rural with communal tenure | • Recycling drop-off facilities may be beneficial in the largest town. |
| and with, at more, one or two small towns in there are. | • Mobile buy-back centres |
| District municipalities that are not water services authorities | • If the district municipality is managing a regional landfill site consideration should be |
| | given to adding a MRF and composting |
| C2 District municipalities which are water services authorities | • Regional landfill site must be considered subject to reaching consensus with local |
| | municipalities. |
**RECYCLING COMMITMENTS AS OUTLINED IN THE CHDM IWMP 2018**
| Strategy | Target |
|------------------------------------------------------------------------|-------------------------------------------------------------------------------------------|
| Draw and sign informal recycler indemnity agreements | Indemnity agreements to be signed by 2021 |
| Purchase protective clothing for participants in informal recycling | LMs to annually purchase protective clothing by 2022 |
| Identify formal sector stakeholders at each LM | Database to be created by 2021 |
| Develop a regional recycling strategy | Regional recycling study report to be in place by 2022 |
| Pilot separation at source initiatives in the district | Pilot projects should start by 2023 |
Revision of Waste Management Licenses
The majority of landfill sites in the District do not have waste management licenses and are non-compliant. As the competent authority, DEDEAT has the right to amend waste management licenses as and when deemed necessary. The waste management licenses for all landfill sites can be amended to include a requirement for local municipalities to provide a waste minimisation plan, implement the plan and report back on the implementation status of the plan on an annual basis. Development and implementation of the waste minimisation plans would form part of the license requirements and become legally binding to the local municipality. DEDEAT would need to closely monitor performance of local municipalities with their waste minimisation plans.
Integrated Waste Management Plans
All municipalities are required to have an integrated waste management plan (IWMP) which is revised on a 5-yearly cycle. The aim of an IWMP is to present the status quo of waste management and identify projects to improve waste management. All municipality IWMPs should be aligned with the projects proposed in this Recycling Strategy. Waste management officers must ensure that the IWMP projects are included in the IDPs and that funding is allocated for the implementation of the project. All municipalities must provide annual feedback to DEDEAT on the implementation of the IWMPs so DEDEAT can track the success of recycling targets in IWMPs.
Co-operation with the Private Sector
Greater co-operation is needed by local and provincial government and the recycling industry. As previously discussed, municipalities often lack budget to perform basic waste management service such as refuse collection. Municipalities focus should be on the provision of services. Municipalities should focus on providing an enabling environment for recycling through co-operation with the private sector. One method of achieving this would be for municipalities to provide infrastructure (e.g. transfer station or drop-off facilities) but to allow the private sector to manage recycling drop-off operations at these sites. If managed correctly such a system could assist municipalities to fulfil their mandate to provide an enabling environment for recycling, reduce transportation costs of waste and save on landfill site airspace. Recycling companies would benefit from not having to fund facility capital costs and by having access to additional recyclable material which would normally have ended up at landfill. In such scenarios it would be important for municipalities to obtain tonnage data so that they can quantify their savings in landfill space.
Development of Small Companies
The Chris Hani District Municipality has one of the highest unemployment rate in the province. To assist with the development of small recycling companies in the province and the resultant increase in recycling, CHDM and Local Municipalities should play a supporting role for small companies and guide them through the development of business plans.
Public Education and Awareness Campaigns
A lack of public awareness about recycling is evident in the district. The following findings from public perception surveys highlight the need to increase recycling campaigns in the province:
- 34% of respondents do not understand the importance of separation at source (Gumbi & Rampedi, 2018).
- 29% of respondents would recycle if they were provided with more information (PETCO, 2017).
- 20% of households recycle due to influence from the media (Gumbi & Rampedi, 2018).
- Social media can have significant impacts on the behaviour of the public. Following a series of social media campaigns around the environmental impacts of plastic straws several major hospitality franchises as well as numerous smaller restaurant chains and independent restaurants have stopped supplying plastic straws and have gone “straw free” or are using bamboo or paper straws. Social media should be one of the channels used to promote recycling the Eastern Cape.
A social media campaign should be developed to deliver the following messages:
- Importance of recycling.
- Waste is everyone’s responsibility.
- How and where to recycle.
- Who to contact for more information.
19. RECYCLING OPPORTUNITIES IN THE DISTRICT
The following potential recycling opportunities have been identified and proposed in the province, Chris Hani District may conduct feasibility assessment is required for the opportunities identified to assess the feasibility and sustainability of these opportunities.
E-Waste
It is estimated that between 1,129,000 and 2,108,000 tonnes of e-waste is stored in South African households (SAWEEDA, 2018). Both e-waste indWMPs acknowledge that unlocking these volumes could stimulate the e-waste recycling economy.
These volumes could be unlocked through public awareness campaigns led by DEDEAT such as annual e-waste day and the provision of easily accessible e-waste drop-off centres. Components and reclaimed e-waste are typically exported (SAWEEEDA, 2018). The SAWEEEDA indWMP lists the development of three end-to-end recycling plants as one of the indWMP targets. It would be beneficial to have one of these facilities establish in the Eastern Cape as the Eastern Cape has two ports which will facilitate export of e-waste.
**Pelletizing Facilities**
At present most of the plastic which is transported out of the province for processing is only bailed. Transports costs could be further reduced by pelletizing product, and the values of the product itself could be increased through palletization. In addition, palletization plants could also increase job creation, but the viability of developing a plastic palletization plant would need to be assessed in detail. It should however be noted that there are currently private facilities in the province that have the ability to pelletize plastics, but they are typically doing this for post-industrial plastics which are clean and for which there is a specific demand. The palletization of post-consumer plastics would be less lucrative due to contamination of plastic and mixed plastic feedstock and hence the viability thereof would need to be investigated further.
**Use of Plastic in Road Construction**
Plastic has been used to substitute a portion of the bitumen used in roads in India, Netherlands. The construction of plastic roads for the Eastern Cape was first proposed in 2018. It is estimated that 1 million plastic bags would be required for each kilometre of road constructed (web reference 8). The bitumen plastic mix (polymerized bitumen) increases the lifespan on roads in India from 3 years to 6-7 years, largely due to the fact that plastic has a higher melting point than bitumen (web reference 9).
**20. IDENTIFICATION OF RECYCLING MECHANISMS FOR DIFFERENT GEOGRAPHIC AREAS**
As mentioned in this report, the Chris Hani District Municipality is a diverse district that includes dense settlements, such as in the towns (Komani and Engcobo), townships as well as low density, rural areas. The district also includes areas with good access to municipal services such as roads and waste services, and those with nearly none. As such there can be no “one size fits all” solution to the issue of improving waste minimisation in the district. A stand-alone strategy is being developed to provide some practical options for addressing the need to increase waste minimisation in these very different areas.
Urban Areas
These areas would typically be readily accessible by collection vehicles. Urban Areas Serviced by a Kerbside Collection Service Multi-bag system: The implementation of a 2-bag system (recyclables and non-recyclables) or a 3 bag system (dry recyclables, organics and non-recyclables) is preferred as this facilitates downstream processing in a clean MRF. This system is however costly as it involves higher transportation costs.
Urban Areas Serviced by Communal Collection Points
These areas would typically be in high-density areas with poor or narrow road networks that prevent waste collection vehicles accessing households. Hence communal skips are placed at strategic locations for the collection of general waste. The following option is proposed:
- Drop-off facilities: In such areas, communal drop-off facilities for recyclables would likely be preferable. In its simplest form, this could include a “bottle bank” type facility where the community could place recyclables, or a more formal drop-off type facility which includes one or more skips for recyclables. Key to the success of such facilities, where users are not incentivised for dropping of recyclate, is accessibility; if located too far from residences, the facilities will not be used. Awareness raising and appropriate enforcement would be required in the area to ensure the facilities are correctly used.
Rural Areas Serviced by Communal Collection Points/ Skips
These would typically be low-density settlements well removed from towns, where travel costs prevent the provision of a kerb-side collection.
- Drop-off facilities: As described above, a simple communal skip system for the collection of recyclables will likely be preferable. Such a facility is likely to not be maned and hence it would be important to ensure that the community is well trained on the correct use of such facilities. The collection or emptying of the recyclables skip could be sub-contracted out to an individual in the local community, if they have access to a small utility vehicle (“bakkie”).
Rural Areas Serviced with no Collection Service
- Mobile buy-bag centres: In its simplest form a mobile buy-back centre involves setting up a small trading facility where the community can trade recyclables for either goods or money. In rural communities, this could be an effective manner to incentivise people to recycle despite the effort of having to store and stockpile their recyclables long enough to make the effort of
recycling worth their while. This system could equally be applied in rural areas which are serviced via a communal collection point.
21. OBJECTIVES AND TARGETS
The following objectives and targets are proposed for this Recycling Strategy. These objectives and targets have been aligned with applicable objective and targets from the Chris Hani District Municipality IWMP that was adopted by Council in 2018, Provincial Recycling Strategy and National Waste Management Strategy, 2020.
| OBJECTIVES AND TARGETS | COMMENT AND APPLICABILITY TO THE RECYCLING STRATEGY | TIMELINES |
|------------------------|-----------------------------------------------------|-----------|
| **Objective 1. Develop an enabling environment for recycling in the district** | | |
| a) Development of a District waste infrastructure masterplan for the Chris Hani District Municipality. This plan should cover landfill sites, MRFs, public drop-off facilities, composting facilities, buyback centres, Transfer Stations and construction & demolition waste crushing facilities. | • This would involve a review of short-, medium- and long-term waste infrastructure needs for all Local municipalities in the district.
• The report would
o Identify required infrastructure.
o Contain generic conceptual design for different facilities (composting, MRF, drop-off centre etc.).
o Contain high-level budget estimates for different facilities to enable municipalities to budget accordingly.
o Infrastructure such as MRFs, recycling drop-off centres and transfer stations can all assist in increasing recycling in district. | 2023 |
| b) All local municipalities with partially constructed landfill sites, MRFs, public drop-off facilities, composting facilities, buyback centres, Transfer Stations must consolidate a plan outlining the outstanding infrastructure construction with anticipated budget. | • Identify the needs in terms of waste management infrastructure (MRF, composting, recycling drop-off facilities, anaerobic digestion, transfer stations etc.)
• Identify priority areas for the development of infrastructure
• Estimate budgets for the development of infrastructure
• Provide concept designs for infrastructure | 2023 - 2024 |
| c) Formalization of the Waste Pickers programme | • Consolidation of a database of all active waste pickers within all six municipalities and consolidation of contractual documentation to formalize the programme.
• Identify priority hotspots and street where waste pickers are expected to work.
• Craft a workplan and schedule for waste pickers/reclaimers placed in municipal landfill sites.
• Local Municipality and District to make provision of sufficient PPE for all waste pickers in their area of jurisdiction. |
| --- | --- |
| d) Development of MRFs
All six local municipalities to have at least one MRF operational by 2024. | o A MRF is required to support a separation at source programme in the district. Two local municipalities are expected run a two bag/bin system with one bin being dedicated to clean recyclables.
o Use of multiple bags/ bins for each waste stream e.g. plastic, paper, cardboard, metal is not recommended as it complicates the system.
o The design of the MRF will be dependent on available land and funding. The design can vary from a mechanized MRF with conveyor belts to a facility where waste is sorted manually on sorting tables.
o Currently four local municipalities have MRFs which need to be fully operational. | 2024 |
| Objective 1. Improved access to recycling facilities |
|---------------------------------------------------|
| e) All municipalities to facilitate the development of at least one recycling public drop-off centre in the main town by 2023. |
| • Public drop-off centres can be incorporated into existing infrastructure such as transfer stations. |
| • Public perception surveys have shown that members of the public are willing to separate waste for recycling if facilities are provided. |
| f) Local municipalities to create an enabling environment for recycling in the main town in the municipality by 2024. |
| • Local municipalities also need to move towards separation at source. At present given the rural nature of B3 and B4 municipalities it may not be possible for municipalities to undertake separation at source in-house, however municipalities may be able to form partnerships with the private sector in this regard. |
| • Separation at source programmes would allow municipalities to obtain uncontaminated recyclables which have a higher economic value than contaminated recyclables. Separation at source programme also serve to educate the public on recycling and waste management. |
| g) All Local Municipalities supported by the district to establish a coordinated and integrated mechanism to maximize the utilization of recycling resources available within the district. |
| • District to facilitate engagements with all LM’s. |
| • LM’s to craft proposals outline the recycling status quo and indicate their best approach for endorsement. |
| • A district MoU entailing all LM’s must be developed to encourage participation and enhance commitment by all parties. |
| Objective 2. Improved engagement with the recycling industry |
|-------------------------------------------------------------|
| h) CHDM to establish a District quarterly Waste Management Forum: |
| • Greater interaction between municipalities and the private sector is required to identify and address waste management issues in the district. |
| • CHDM currently to host quarterly Waste Management Forum |
form part of the structure.
- Involvement of private recycling industry at meetings is crucial.
i) Develop an updated contact list for the district and distribute to recycling companies
| To improve communication with the recycling industry CHDM & LM's should develop a contact list which can be distributed to the private sector which provides contact details for the relevant officials at DEDEAT & municipalities, e.g. the person responsible for SAWIS or licensing. | 2022 |
Objective 3. Improved recycling data collection and management
j) CHDM to maintain and further develop the database of recycling companies operating in the district
| The database will contain, as a minimum, the following:
- Contact information.
- Details of facilities.
- Details of waste types recycled.
- The database can be used to inform audit schedules and to invite recycling companies to District & Provincial workshops/events.
- A notice requesting recycling companies to register with District can be advertised in the media. | 2022 - 2027 |
k) All waste recyclers and data from recycling facilities to be reporting on SAWIS
| The owner of all facilities which trigger the reporting threshold in terms of the National Waste Information Regulations must ensure that recycling data is reported on SAWIS. This includes municipal and private facilities. | 2024 |
| Objective 4. Mainstream recycling public awareness and provision of recycling information |
|---|
| **i)** CHDM & LM's to develop standard editable waste awareness materials for use by municipalities | CHDM & LMs to develop a set of standardized waste awareness materials which can be issued to small recycling companies to assist with public awareness. | 2024 - 2025 |
| **m)** CHDM and LMs to develop and implement awareness programme. | o Awareness campaigns can include print based, radio advertising, road shows at taxi ranks, churches etc. workshops with communities or ward structures, door to door visits and school visits. Municipalities to keep records to allow them to quantify the number of households and schools reached by campaigns.
o The profile of recycling needs to be raised amongst the public in the district. The public need to be made aware of the need for recycling and how to separate waste at source. | 2024 |
| **n)** All municipalities to implement an in-house waste recycling programme by 2023. | Municipalities should lead by example in terms of recycling. Programmes for recycling of office paper, plastic etc. should be implemented. These programmes can be used to raise awareness of recycling among municipal employees. Local recycling companies can be contracted to collect the recyclables. | 2023 - ongoing |
| **o)** CHDM & LM's to facilitate a recycling survey every 5 years | To determine the public perception to recycling and guide the contents of recycling awareness materials. CHDM & LMs should undertake recycling public perception survey once every 5 years. The survey should be provincial wide and cover all socio-economic groups. | First survey in 2027, thereafter every 5 years |
| p) School recycling awards | School recycling programmes are not only a means to educate the future generation but act as a recycling facility that services the local neighbourhood. A competition between schools would look to encourage such recycling. Possible categories could include urban versus rural, large, medium and small schools. |
|-----------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| | 2023 - ongoing |
22. STAKEHOLDER ENGAGEMENT
5 stakeholder engagement on the draft Recycling Strategy have been held conducted in 5 Local Municipalities with the exception of Intsika Yethu Municipality as their session was cancelled due to matters relating to attendance of key stakeholders. This first version of the draft strategy will be released to stakeholders for review and comment. A District Workshop will be conducted by 30 June 2022.
23. CHALLENGES TO RECYCLING
The key challenges to recycling are:
- A lack of basic service provision; A low percentage of households receive a waste collection service.
- Lack of capacity at municipalities to manage recycling; most municipalities in the district lack sufficiently skilled and experienced employees to manage recycling programmes.
- Large transportation distances to processing facilities in Cape Town or Durban
- Lack of co-operation between local government and the private sector.
24. OPPORTUNITIES TO INCREASE RECYCLING
In the short term (over the next 5 years) it is recommended that the District and LM’s focuses on:
- Improving basic service provision such as waste collection services. In municipalities with insufficient fleet or staff these services can be outsourced and recycling targets added to the scope of work for the service providers.
- The District Municipality must identify one Local Municipality to pilot a two-bag system in the selected area.
- CHDM & LMs to develop a waste infrastructure masterplan for the district which will address recycling waste infrastructure needs.
- Development of recycling drop-off facilities to be undertaken across the district.
- CHDM to develop and manage a fund for recycling projects.
25. CONCLUSIONS
- Recycling Information
- There is a significant lack of recycling information available in the district.
- In the short-term CHDM should collect and compile information from municipalities which undertake in-house recycling programmes.
- In the medium-term all IWMPS should contain data for recycling as DEDEAT will not endorse IWMPS without recycling information.
- CHDM and all six Local Municipalities to have a coordinated and uniform approach pertaining to recycling. LMs to agree on the utilization of recycling facilities and reach consensus on the district approach.
26. WAY FORWARD
The Recycling Strategy will be finalized based on any additional comments raised from release of the draft plan to stakeholders. The finalized plan will then be submitted to Council Structures and Council for approval.
27. REFERENCES
Anel Blignaut Environmental Consultants cc, 2012. Final Environmental Impact Report, the proposed Eden regional waste disposal facility.
CSIR (2012). The formal South African waste sector (2012) It’s contribution to the economy, employment and innovation
Department of Environmental Affairs (2018) Draft: 2018 Revised and Updated National WMS Discussion Document
Department of Environmental Affairs (2018) South Africa State of Waste, A report on the state of the environment. First draft report. Department of Environmental Affairs, Pretoria
Department of Environmental Affairs (2012), National Waste Information Baseline Report
Department of Environmental Affairs, undated. Appropriate technology for advanced waste treatment – guideline
Department of Economic Development Environmental Affairs and Tourism (2018) Eastern Cape Provincial Integrated Waste Management Plan 2018 – 2023. Situational Analysis Report and Gap and Needs Assessment
Department of Economic Development Environmental Affairs and Tourism (2018) Eastern Cape Final Draft Provincial Recycling Strategy, 2019
Chris Hani District Municipality Integrated Waste Management Plan 2018
Department of Environmental Affairs (2017) Management Options for Construction and Demolition Waste and Factors that Influence Recycling Behaviour: Final Report
Evergreen Energy (undated). Business Plan, 100% Recycling of Waste Tyres
Ewaste Recycling Authority (2018), South African E-Waste Industry Waste Management Plan (v.1) 2019 -2012
Gauteng Department of Agriculture and Rural Development (2009) General Waste Minimisation Plan for Gauteng
GreenCape (2018), Waste 2018 Market Intelligence Report
The Herald (2016), Multi-million rand recycling boost
Huegel, C. (2013). *Scavenging for scrap: a case study of informal waste recycling at the coastal park landfill in Cape Town* (Master of Art Thesis), Cape Town: University of the Western Cape
JPC Energy Systems (undated) *Business Plan*
Kagiso Asset Management (undated). Unwrapping the packaging industry
Minter (2017) Mapping South Africa’s Waste Electrical and Electronic Equipment (WEEE) Dismantling, Pre-Processing and Processing Landscape
Nampak (2016). 2016 Integrated Report
Nelson Mandela Bay Metropolitan Municipality (2012). Waste management public perception survey. A component of the integrated waste management plan 2011/2012 review
NORA-SA (2016). NORA-SA News issue 2: 2016
Packaging SA (2018) Packaging SA Industry Waste Management Plan, Federation of Plans – Draft for Public Comment
Paper Recycling Association of South Africa (2017). Paper Recycling Statistics for 2016
Paper Recycling Association of South Africa (2016). Paper Recycling Statistics for 2015
Paper Recycling Association of South Africa (2015). Paper Recycling Statistics for 2014
Paper Recycling Association of South Africa (2014). Paper Recycling in South Africa – 2013
Paper Recycling Association of South Africa (2013). Paper Recycling in South Africa – 2012
Paper Recycling Association of South Africa (2012). Paper Recycling In South Africa – 2011
Paper Recycling Association of South Africa (undated). Paper Recycling In South Africa – 2010
PETCO (2017) Press Release, 11% committed to recycling, research finds
PETCO (2018) PETCO Consumer Research Results March 2017
Pretorius, S.M. South African Plastics Recycling Organisation (2018). Plastics Recycling in South is not enough
Rafie, K., 2007. The Waste Pickers of Durban: A Case study of Three Buyback Centres (Master of Town Planning Thesis), Durban, South Africa: University of KwaZulu-Natal
Republic of South Africa, Act No. 6 of 2013, Co-operatives Amendment Act, 2013
Samson, M., (2012), Wasting value and valuing waste: insights into the global crisis and production of value reclaimed from a Soweto Garbage Dump (Doctor of Philosophy Thesis), Toronto, Canada: University of York
Schenck, C.J., Blaauw, D. & Viljoen, K. (2012). Unrecognised waste management experts: Challenges and opportunities for small Business development and decent job creation in the waste sector in the Free State. Research Report for a Study Completed for the South Africa SME Observatory, hosted by the Department of Economic Development, Tourism and Environmental affairs of the Free State Province (DETEA) and the International Labour Organisation (ILO), December 2012
SEED (2015), Mooi River Waste Reclaiming: boosting recycling and empowering informal waste pickers in Mooi River. SEED case studies. Available at: https://www.seed.uno/images/casestudies/SEED_Case_Study_MooiRiver_SouthAfrica_NEW.pdf, accessed on 18 September 2018
SEED. (2018). SEED 2010 Award Winners. Reclaiming Livelihoods – Mooi River Waste Reclaiming. Available at: https://www.seed.uno/awards/all/reclaiming-livelihoods-mooi-river-waste-reclaiming.html, accessed on 20 September 2018
Schenck, R., Blaauw, D. and Viljoen, K. (2016). Enabling factors for the existence of waste pickers: A systematic review. Social Work, 52(1), pp.35-53
Smith, F.H and Trois C (2018) Preliminary results on the innovative use of paper-mill waste sludge and fibre from waste tyres as performance enhancer of green concrete, presented at IWSMA WasteCon 2018, Emperors Palace, Johannesburg
South African Waste Electrical and Electronic Enterprise Development Association (2018) Industry e-waste management plan for South Africa 2019–2024
South African Tyre Reuse Company (2018). Industry Waste Tyre Management Plan
Statistics South Africa (2018) GHS series report volume IX: environment, in-depth analysis of the general household survey 2002 – 2016/ Statistics South Africa
Statistics South Africa (2016) Community Survey 2016 Technical Report
Strydon W.F. & Godfrey L.K. (2016) Households waste recycling behaviour in South Africa – has there been progress in the last 5 years? Presented at WasteCon 2016, Emperors Palace, Johannesburg
Nampak (2016) 2016 Integrated Report
Tyre Waste Abatement & Minimisation Initiative of South Africa (2018) Industry Waste Tyre Management Plan
Viljoen, J.M.M., Schenck, C.J. & Blaauw, P.F. (2012). The role and linkages of buy back centres in the recycling industry: Pretoria and Bloemfontein South Africa. Acta Commercií, 12:1-12 Page 97 Rev 3 October 2019 Eastern Cape Recycling Strategy FINAL
Web references
Web reference 1. ROSE Report, summer 2017 https://docs.wixstatic.com/ugd/14aa25_d197a94c65d42c38c5c7f76d82225dd.pdf, accessed 05 February 2018
Web reference 2. ROSE Foundation https://www.rosefoundation.org.za/port-elizabeth, accessed 05 February 2018
Web reference 3. Collect-a-can http://www.collectacan.co.za/index.php/can-recycling/recovery-rate accessed on 16 March 2018
Web reference 4. The Glass Recycling Company http://theglassrecyclingcompany.co.za/ why-glass/product-and-process-innovation
Web reference 5. Consol Products and Process Innovation https://www.consol.co.za/why-glass/product-and-process-innovation
Web reference 6. PETCO What’s the grow of PET recycling in South Africa look like? http://petco.co.za/how-is-pet-recycled/
Web reference 7. AVERDA School children recycle waste for supplies in Eastern Cape http://averda.co.za/news/school-children-recycle-waste-supplies-eastern-capel/
Web reference 8. Eyewitness News, Will plastic roads work in SA? DA in EC requests a pilot project https://ewn.co.za/2017/08/21/will-plastic-roads-work-in-sa-da-in-ec-requests-pilot-project
Web reference 9. Turning plastic waste into functional roads, the story of two brothers http://www.theweekendleader.com/lnnovation/1181/plastic-smiles.html
Web reference 10. Only 10% of waste recycled in South Africa http://www.statssa.gov.za/?p=11527
ANNEXURES
## ANNEXURE 1
### 28. IMPLEMENTATION PLAN
| OBJECTIVES | TARGETS | ACTIVITIES | RESPONSIBLE INSTITUTION / PERSON (S) | TIMELINES | ESTIMATED BUDGET |
|------------|---------|------------|--------------------------------------|-----------|------------------|
| **Objective 1. Develop an enabling environment for recycling in the district** | 1. Development of a District waste infrastructure masterplan for the Chris Hani District Municipality. This plan should cover landfill sites, MRFs, public drop-off facilities, composting facilities, buyback centres, Transfer Stations, and construction & demolition waste crushing facilities. | • All local municipalities to submit to the CHDM a report that reflects the key elements of waste infrastructure District infrastructure masterplan as per objectives and targets.
• CHDM to consolidate a District waste infrastructure masterplan. | Directors: Community Services (All Local Municipalities)
CHDM Manager: Environmental Management | 31 January 2023
31 March 2023 | No budget required. |
| 2. All local municipalities with partially constructed landfill sites, MRFs, public drop-off facilities, composting facilities, buyback centres, Transfer Stations must consolidate a plan outlining the outstanding infrastructure construction with anticipated budget. | • Identify the needs in terms of waste management infrastructure (MRF, composting, recycling drop-off facilities, anaerobic digestion, transfer stations etc.)
• Identify priority areas for the development of infrastructure | Directors: Community Services (All Local Municipalities) | 30 September 2023 | No budget required. |
| | | | | | |
|---|---|---|---|---|---|
| 3. Formalization of the Waste Pickers programme | • Estimate budgets for the development of infrastructure
• Provide concept designs for infrastructure | Directors: Community Services (All Local Municipalities) | 30 June 2023 | TBC |
| | • Consolidation of a database of all active waste pickers within all six municipalities and consolidation of contractual documentation to formalize the programme.
• Identify priority hotspots and street where waste pickers are expected to work.
• Craft a workplan and schedule for waste pickers/reclaimers placed in municipal landfill sites.
• Local Municipality and District to make provision of sufficient PPE for all waste pickers in their area of jurisdiction. | | | |
| 4. Development of MRFs All six local municipalities to have at least one MRF operational by 2024. | • A MRF is required to support a separation at source programme in the district. Two local municipalities are expected run a two bag/ bin system with one bin being dedicated to clean recyclables. | Directors: Community Services (All Local Municipalities) | 31 December 2024 | TBC |
| | | |
|---|---|---|
| | | • Use of multiple bags/ bins for each waste stream e.g. plastic, paper, cardboard, metal is not recommended as it complicates the system.
• The design of the MRF will be dependent on available land and funding. The design can vary from a mechanized MRF with conveyor belts to a facility where waste is sorted manually on sorting tables.
• Currently four local municipalities have MRFs which need to be fully operational. |
| | | CHDM, LM’s, DFFE
01 July 2024
TBC |
| 5. The District in collaboration with LM’s, DEDEAT and DFEE must pilot a Separation at Source Programme in one Municipal town by 2024. | | |
| | | • Identify the LM’s and town where the programme will be implemented.
• Draft a project business plan with project deliverables accompanied by an estimated budget. |
| | | Directors: Community Services (All Local Municipalities)
31 December 2023
TBC |
| 6. All municipalities to facilitate the development of at least one recycling public drop-off centre in the main town by 2023. | | |
| | | • Public drop-off centres can be incorporated into existing infrastructure such as transfer stations.
• Public perception surveys have been conducted. |
| | | Directors: Community Services (All Local Municipalities)
31 December 2023
TBC |
| | |
|---|---|
| 7. Local municipalities to create an enabling environment for recycling in the main town in the municipality. | • Local municipalities also need to move towards separation at source.
• At present given the rural nature of B3 and B4 municipalities it may not be possible for municipalities to undertake separation at source in-house, however municipalities may be able to form partnerships with the private sector in this regard.
• Separation at source programmes would allow municipalities to obtain uncontaminated recyclables which have a higher economic value than contaminated recyclables.
• Separation at source programme also serve to educate the public on recycling and waste management. |
| Directors: Community Services (All Local Municipalities) | 2024 - 2027 TBC |
| 8. All Local Municipalities supported by the district to establish a coordinated and integrated mechanism to maximize the utilization of recycling resources available within the district. | • District to facilitate engagements with all LM’s.
• LM’s to craft proposals outlining the recycling status quo and indicate their best approach for |
| CHDM Director: HEALTH and Community Services & Directors: | 2024 - 2027 TBC |
| Objective | Improved engagement with the recycling industry | Community Services (All Local Municipalities) |
|-----------|-----------------------------------------------|---------------------------------------------|
| 9. CHDM to establish a District quarterly Waste Management Forum:
- All Directors Community Services, municipal waste managers and officers to form part of the structure.
- Involvement of private recycling industry at meetings is crucial. | Develop Terms of Reference for the Forum and be approved by the Chairperson in consultation with the members.
- CHDM and LMs to convene quarterly District Waste Management Forum meetings. | CHDM Director: 30 July 2022
Community & Directors: Community Services (All Local Municipalities) | No budget required. |
10. Develop an updated contact list for the district and distribute to recycling companies.
- Develop a contact list which can be distributed to the private sector which provides contact details for the relevant officials at DEDEAT & municipalities, e.g. the person responsible for SAVIS.
| Objective | Improved recycling data |
|-----------|-------------------------|
| 11. CHDM to maintain and further develop the database of recycling companies operating in the district | Develop the database of recycling companies operating in the district
- A notice requesting recycling | CHDM & LMs 2022 - 2027 | No budget required. |
| Objective 4. Mainstream recycling public awareness and provision of recycling information | CHDM, LM's and Sector Departments to develop standard editable waste awareness materials for use by municipalities | CHDM, LM's and Sector Departments (DEDEAT & DFFE) to develop a set of standardised waste awareness materials which can be issued to small recycling companies to assist with public awareness. | CHDM, LM's, DEDEAT, DFFE | 30 June 2024 | TBC |
| --- | --- | --- | --- | --- | --- |
| 12. All waste recyclers and data from recycling facilities to be reporting on SAWIS | The owner of all facilities which trigger the reporting threshold in terms of the National Waste Regulations must ensure that recycling data is reported on SAWIS. This includes municipal and private facilities. | CHDM, DEDEAT, DFFE & Recyclers | No budget required. | | |
| Objective 5. Promote recycling and waste reduction through education and awareness | Awareness campaigns can include print based, radio advertising, road shows at taxi ranks, churches etc. Workshops with communities or ward structures, door to door visits and school visits. Municipalities to keep records to allow them to quantify the number of households and schools reached by campaigns. | CHDM, LM's, DEDEAT, DFFE | 30 June 2023 | TBC |
| | |
|---|---|
| 15. All municipalities to implement an in-house waste recycling programme by 2023. | • The profile of recycling needs to be raised amongst the public in the district. The public need to be made aware of the need for recycling and how to separate waste at source.
• Municipalities should lead by example in terms of recycling. Programmes for recycling of office paper, plastic etc. should be implemented. These programmes can be used to raise awareness of recycling among municipal employees. Local recycling companies can be contracted to collect the recyclables. |
| | All LM's
2023 -2027
TBC |
| 16. CHDM & LM's to facilitate a recycling survey every 5 years | • To determine the public perception to recycling and guide the contents of recycling awareness materials. CHDM & LMs should undertake recycling public perception survey once every 5 years. The survey should be provincial wide and cover all socio-economic groups. |
| | CHDM & LM's
2027
TBC |
| 17. School recycling awards | • School recycling programmes are not only a means to educate the future generation but act as a recycling facility that services the local neighborhood. A competition between schools would look to encourage such recycling. Possible categories could include urban versus rural, large, medium and small schools. |
|-----------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| | CHDM, LM's, DEDEAT & DFFE |
| | Annually 2023 -2027 |
Effective Date
Effective date of this Strategy shall be the 01 July 2022
Council Resolution Number:
Signed by Municipal Manager: G. Mashugi
Initial & Surname Signature Date
Signed by Speaker of the Council: J. Lengani
Initial & Surname Signature Date
CHRIS HANI DISTRICT MUNICIPALITY
2022 -07- 19
MUNICIPAL MANAGER'S OFFICE
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For New Yorkers, shopping online means less travel time and, on occasion, lower costs. It also means more trash to put out at the curbside. Because most online retailers rely on major private carriers such as UPS and FedEx to deliver their goods, this holiday season saw not only a sharp rise in local deliveries but a similar rise in the amount of paper, cardboard and plastic pushed into the city waste stream.
According to the Department of Sanitation, New Yorkers left more than 8,300 tons of cardboard and mixed paper at the curbside in the first full collection week after the Christmas holiday, a 21 percent jump over the same period last year.
This year's post-holiday numbers were inflated somewhat. Sanitation spokesman Matthew Lipani notes that an awkward alignment of Monday holidays that forced many residents to hold onto their recyclables an extra week. Still, immediate pre-Christmas tonnage -- 7,258 tons this year vs. 6,033 tons last year -- showed a 20 percent increase in paper recyclables and paralleled a national 25 percent surge in holiday online sales according to the Internet research firm comScore.
**Positive Or Negative Effect?**
Such numbers indicate a cultural sea change not only in how New Yorkers are shopping but also in how much trash and recyclables the city will have to process in the years to come. Given the lack of studies on the overall online shopping "life cycle" -- the total net effect on the environment once products have made their way from raw material all the way to consumer's wastebasket -- environmentalists, for the moment, see only a collection of positives and negatives adding up to a giant question mark.
"There is no guarantee that the Internet's net environmental impact will be positive," writes Nevin Cohen, a professor of environmental science at The New School. "For decades, technology watchers predicted that the personal computer would result in the 'paperless office,' but U.S. shipments of office paper actually jumped 33 percent between 1986 and 1997. E-commerce could have similarly negative effects."
**Boost To Recycling**
From a short-term perspective, the cultural shift away from brick and mortar retail seems to offer a net boost to the city's recycling program. Of the city's two major recycling contracts, the cardboard and mixed paper contract with Visy Paper is the one that actually pays the city for what it recycles (in pdf format), roughly $7 a ton according to the city's Bureau of Waste Prevention, Reuse & Recycling.
Because the Department of Sanitation also tends to divide per-route costs by the number of tons collected, extra cardboard at the curb in December and January means a better bottom line for the overall recycling program over the long term.
**More Pollution, More Trash (Like Styrofoam)**
Balancing out such benefits, however, are several concerns. Cohen notes that the biggest benefit associated with online retail is the reduced number of vehicle miles as shoppers take fewer trips to the local mall or department store. As December's transit strike demonstrated, however, many New Yorkers rely on mass transit (not cars) to do their Christmas shopping. "In New York, there might not be an environmental savings," says Cohen. "In fact, the net might even be negative once you figure in the additional vehicle miles needed to deliver packages."
A second concern is the amount of new, non-recyclable or hard-to-recycle materials that come with products ordered online. Many retailers and shippers, in order to protect their goods, load up on plastic cushioning materials such as foam rubber, bubble wrap, and expanded polystyrene -- a material many know by the Dow Chemical trade name Styrofoam. So far, the city does not collect these materials nor does it have many private company suitors begging to take these materials off the city's hands.
The reason, says Betsy Steiner, executive director for the Alliance of Foam Packaging Recyclers, boils down to the materials' very nature. Bulky, light and easy to produce in virgin form, foam and bubble wrap are a tough fit for a recycling industry that makes its profit on a per-ton basis.
"Basically, you're collecting and shipping air," Steiner says. "So for a program to work, it has to be localized and in very, very large quantities to be economically viable."
Shipping air is cheap, of course, but not as convenient as simply dropping things off at the curb. Steiner says her organization gladly accepts mailed packages that include the molded foam packaging used to shield iPods and other modern electronic products. Those looking to recycle foam peanuts, a product her organization doesn’t accept, can visit the nearest UPS Store or visit the Plastic Loose Fill Council’s “Find a Collection Center”, enter a zip code and get the address of the closest business that collects loose fill foam.
**Making The Manufacturers And Retailers Responsible**
The day when New Yorkers can simply leave such materials in the blue can at the curbside is still a long way off, however. In the meantime, organizations such as INFORM, a Wall Street-based non-profit firm organization promoting “strategies for a better environment” advocates a European-style system that shifts the responsibility for the waste processing of worn-out products and packaging away from municipalities and consumers and back onto the producers themselves.
“It’s kind of like a welfare system that we’ve generated for manufacturers here in the U.S.,” says Lloyd Hicks, director of INFORM’s solid waste prevention program.
Hicks holds up Germany as the most obvious counterexample. In 1991, the government mandated that manufacturers and distributors take back all transport packaging, including expanded foam and blister wrap. Manufacturers that don’t wish to process such materials can opt out via the Green Dot program, a non-profit program which finances packaging material recycling. To gain membership in the program, companies pay a scaled fee depending on the amount of material recycled. Once in, they earn the right to put the Green Dot logo on their packages, making their products more desirable to distributors who might otherwise bear the recycling responsibility.
“They’ve found a way to deliver the same products with less packaging,” says Hicks. “That’s one reason we believe there should be a way to provide a similar system in the U.S.”
**Learning From Netflix**
The Alliance of Foam Packaging Recyclers’ Steiner says her organization doesn’t endorse producer responsibility legislation. She says the real issue isn’t who pays for recycling so much as who is willing to buy the recycled materials once they’ve been processed.
"I think on the surface it looks like, oh, it's getting paid for, but the bottom line is they're still encountering problems on the end use market," Steiner says. "That's been the problem with plastics recycling globally. The raw material is so cheap you just get into the chicken or the egg thing."
Cohen, the environmental science professor, shares Steiner's sentiment somewhat. Like Steiner, he sees the Green Dot program as a top down solution to a bottom up problem -- i.e. individual consumers shifting their shopping patterns as a way to minimize both stress and seasonal costs. Unlike Steiner, however, he sees a chance to phase out polystyrene and phase in packaging technologies that deliver, at worst, a net neutral effect on the environment.
"The long term goal should be to develop two-way packaging that eliminates the waste," Cohen says, pointing to NetFlix, a movie rental company which ships its DVDs in reusable envelopes, as a pioneering example. "It would be great if Amazon.com and other companies developed a similar method for shipping their products." | <urn:uuid:1e27cdb1-5a34-4e06-b35b-597c615eb652> | CC-MAIN-2016-07 | http://www.gothamgazette.com/index.php/topics/3121-online-shopping-and-its-impact-on-the-environment?format=pdf | 2016-02-14T00:19:33Z | crawl-data/CC-MAIN-2016-07/segments/1454701168065.93/warc/CC-MAIN-20160205193928-00135-ip-10-236-182-209.ec2.internal.warc.gz | 443,710,309 | 1,541 | eng_Latn | eng_Latn | 0.998468 | eng_Latn | 0.998537 | [
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Recipes for Success
Practical Activities to Help Your Child Succeed
MARCH 2018
Refrigerator Poster
Just hang your Recipes poster on the refrigerator and sneak in an activity when you have a few minutes. These fun activities will help develop school success and positive behavior. Check off each box as you complete the “recipe.”
Math
Puff-puff golf
Play tabletop golf to help your child practice subtraction.
Ingredients: quarter, pencil, poster board, cotton balls, straws, paper
Each player starts with 50 points. On her turn, she sets a cotton ball or the floor.
on the quarter (the “tee”) and uses a straw to blow it to the first hole. Have her count how many puffs it takes (say, 6) and subtract the number from her score (50 – 6 = 44). Then, the next person plays the first hole. Continue until everyone has played all nine holes. The golfer with the most points left wins.
Science
Create a catapult cup
Your youngster can explore force and motion by building a catapult.
Ingredients: paper cup, scissors, balloon, tape, Ping-Pong ball, measuring tape
First, cut out the bottom of the cup so its open on both ends. Tie a knot in the uninflated balloon, and snip off the opposite tip. Help your youngster place the knotted end into the cup and stretch the cut end over the opposite end of the cup. Tape the balloon in place.
Logical Thinking
Adverb charades
This twist on charades is an active way for your youngster to discover adverbs.
Ingredients: picture book, index cards, pencils
Read a chapter or short book aloud, and ask your child to write down each adverb he hears on a separate index card. (An adverb describes a verb, an adjective, or another adverb and often ends in -ly, such as quietly, carefully, slowly.)
Safety
Recycle a shoebox into a first-aid kit. Your youngster can write “First Aid” on a mailing label and stick it on the lid. Help him find supplies to put inside, such as bandages, gauze, a thermometer, and tweezers. When he’s done, he can choose a spot to keep it (bathroom, car).
Have her vary the force she uses to pull on the balloon and measure the distance each time. She’ll see that the harder she pulls back, the farther the ball will fly.
**ABC activity box**
It’s fun to write…and writing can lead to even more fun! Here’s how.
**Ingredients:** pencil, index cards, small box or large envelope
Have your child write each letter of the alphabet on a separate index card. Then, help him brainstorm an activity for each letter. For example, he could write “make paper airplanes” for A and “read a book” for B. If he gets stuck, suggest that he look through the dictionary. He might end up with interesting activities for tough letters like Q (play a game of 20 Questions) and X (build a xylophone).
Let him store his cards in a box. The next time he says, “There’s nothing to do,” he can choose a card and do the activity.
---
**COUNTING**
Write the numbers 1–9 in order on a piece of paper, leaving a blank for one number. It’s your youngster’s job to read the numbers and fill in the missing one. Variation: Write the numbers 1–30 randomly, and omit one.
---
**VOCABULARY**
Open a box of crayons, and ask your child to make up her own names for the colors by thinking about what objects or feelings they bring to mind. Examples: Sunshine Yellow, Meadow Green, Stop Sign Red. Now she can draw and color a picture showing what she imagined.
---
**SYMMETRY**
Kaleidoscopes use mirrors to make symmetrical images (each half is a mirror image of the other half). To create a kaleidoscope picture, have your youngster fold a paper plate in half and draw a design on one half. Placing the plate with the folded edge against a mirror lets him see the “whole” picture.
---
**INDEPENDENCE**
Show your child how to set an alarm clock and how to turn it off. Have her use it to wake herself up. If she has trouble getting out of bed, suggest that she put it across the room so she has to get up to shut it off.
---
**HELPFULNESS**
When you have company, give your youngster a special job to teach him about being helpful. You might put him in charge of taking photographs, hanging up guests’ coats, or playing with younger children.
---
**KINDNESS**
Children—and parents—enjoy kind words. Have each family member make a “mailbox” by decorating a large envelope. Tape the envelopes to your bedroom doors. Then, leave kind messages for each other.
---
**FOLLOWING DIRECTIONS**
This game has one rule: No laughing! To play, give your child silly instructions. Example: “Stick out your tongue, and flap your arms like a chicken.” If she does it without laughing, she gets to give you instructions. If not, it’s your turn again.
---
**Congratulations!**
We finished _______ activities together on this poster.
Signed (parent or adult family member) __________________________
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The Role a Primary Care Provider (PCP) Plays in Your Child’s Health
A PCP is a primary care physician or a primary care provider. Your child’s PCP is the main doctor who can help with most of your child’s health care issues. In most cases your child’s pediatrician will be their PCP. If a child has a health issue that needs more specialized care, the PCP will refer you to a specialist.
You should use in-network providers. STAR members need a referral from their PCP to see an in-network specialist.
continued on page 2
COVID-19: At Blue Cross and Blue Shield of Texas (BCBSTX), the health, safety and well-being of our members is our top priority. We want to help you stay informed about COVID-19 and get the care you need. For more information, visit www.bcbstx.com/medicaid/coronavirus-information.
Have you been on your BCBSTX Medicaid Plan longer than 12 months during the COVID-19 pandemic? If so, it’s time to renew at www.needcoveragenowtx.com.
continued from page 1
What do PCPs do?
The PCP’s office is the place to get treatment for a non-emergency problem, like a cold or minor injury. Children should also visit their PCP each year for a physical or well-child checkup to see if their health has changed, or if they have any risk factors for having health problems in the future.
Pediatricians can watch children’s chronic health problems like asthma, high blood sugar, or mental health issues. A PCP will also arrange care with specialists for chronic health problems or if your child goes to the hospital. This means the specialist or hospital shares the child’s health information and any treatments prescribed with the PCP.
Planning care is one of the most vital tasks of a PCP. When health information is in one place, PCPs can make sure that other providers and specialists are not ordering more tests, procedures or prescriptions than your child needs.
Get the most out of your child’s visit with the pediatrician:
- Write down questions before your visit.
- Tell the doctor about any new symptoms, prescriptions, supplements or allergies your child has.
- Ask for fact sheets about your child’s health problems or diagnosis, and a list of treatment options.
- Let your child’s PCP know if you have ideas about any treatment options you have not talked about.
- Save your child’s PCP’s contact information in your phone or on your refrigerator, so you can find it quickly. Give the information to family, day care and schools.
- Do not forget to plan a visit with your child’s PCP after going to an urgent care facility or ER.
If your child has not had a checkup this year, make an appointment today. When you schedule this visit, write down the date and time to remind yourself.
How Your Environment Can Affect Your Maternal Health
Illness or death of a mother during pregnancy or shortly after childbirth are indicators of a community’s health and well-being. Some women experience a higher chance of maternal illnesses and death. Looking at the causes, with a focus on food, housing, employment and safety, can result in better health outcomes.
Blue Cross and Blue Shield of Texas has a maternity program for STAR members. Special Beginnings is designed to help BCBSTX members, and their babies get off to a healthy start by providing educational materials and support, pregnancy risk factor identification, ongoing communication/monitoring, and access to an online resource center. Members are supported from early pregnancy through 12 weeks after delivery. To participate in the Special Beginnings Program, please call 1-888-421-7781 to directly enroll.
What is an Asthma Action Plan?
You may have been given an asthma action plan for your child after a doctor’s office visit, a trip to the emergency department, or after your child was hospitalized. Ideally, everyone with asthma should have one.
An asthma action plan helps families manage a child’s asthma. The goal is to prevent asthma emergencies by preventing and controlling flare-ups.
Because asthma affects people differently, asthma action plans are personalized for your child. While every asthma action plan looks a little bit different, they all include the same major parts.
Create an asthma action plan for your child
Create an asthma action plan that you and your pediatrician have personalized for your child. Save and print it for your records. Be sure to share it with your child’s school and anyone else who cares for your child.
Generally, asthma action plans include a list of the medications taken, early warning signs for asthma symptoms, and instructions on when to use the medicines and call your health care provider.
The asthma action plan format
Your child’s asthma action plan will be divided into a traffic light format:
- **Green means go!** This is your child’s everyday plan.
- **Yellow means proceed with caution** - this is for when your child isn’t feeling quite right. Still follow everything in the green zone, but add on other options.
- **Red zone means danger!** This is urgent, when your child needs medications quickly and fast medical attention to prevent symptoms from getting even worse.
Contact information: Every Asthma Action Plan should have information about your child, including name and family contact information. It should also have the name and phone number for the doctor who takes care of your child’s asthma, whether it’s your pediatrician or a lung doctor.
Peak Flow: Depending on your child’s age, there may be a number written on the top of your asthma action plan. This number measures how hard your child can breathe out when feeling healthy on a peak flow machine. It is a good way to see if your child’s breathing effort is normal.
The zones
Green Zone: Every Day
The green zone represents what you should do when your child is feeling completely normal. This is what to do when your child is breathing comfortably, sleeping through the night, not having any coughing or wheezing, and can play just like other kids. It means your child’s peak flow range is normal.
Your child’s daily controller medication will be listed here, along with how much to take and when to take it. This is the medication that your child should take every day. Examples include inhaled steroids or anti-allergy medication.
Some children have exercise-induced asthma, or asthma symptoms that flare up when they exercise or play actively. For children with this issue, medicine they need to take before exercise will also be listed in the Green Zone.
Yellow Zone: First signs of illness
The yellow zone is for when your child may be starting to get sick and is at risk of having an asthma flare. Symptoms include: cough or cold symptoms, some wheezing, having a known trigger for a flare (like change in weather), coughing at night, or having a tight chest or belly pain (little kids have a hard time knowing if they are having belly pain or chest pain). The peak flow range listed will be less than normal.
Your child will need to take all of their Green Zone medication PLUS the medication listed in the Yellow zone. The Asthma Action Plan will include how much of the medicine to take and how often.
Your asthma action plan will also list when to call your child’s doctor if the symptoms are not improving or getting worse.
Red Zone: This is urgent!
The red zone is for when your child is sick and their asthma flare is dangerous: medicine is not helping, you notice your child is breathing hard and/or fast, you can see your child’s ribs while they are breathing, your child’s nose is opening wider when they breathe (called ‘nasal flaring’), or your child cannot talk because they are having a hard time breathing. The peak flow range listed will be low.
Call your doctor immediately! If it is after the office is closed, go to the emergency department or call 911 if you cannot take your child there yourself.
You should also give all the Green Zone medications AND whatever rescue medications are in your Red Zone. Your asthma action plan will also include how much of the medicine to take and how often. It may be a higher dose of the Yellow Zone medication that you also give more frequently.
If you have any questions about the asthma action plan, or you do not have one but think your child could benefit, please talk with your child’s pediatrician.
Source: www.healthychildren.org/English/health-issues/conditions/allergies-asthma/Pages/What-is-an-Asthma-Action-Plan.aspx
Your Coronavirus (COVID-19) Questions Answered
The CDC recommends that everyone 12 years and older get a COVID-19 vaccination to help protect against COVID-19.
In the face of COVID-19, every question, answer and vaccination is important. That’s why we’re sharing information to answer concerns you may have about your child getting an approved COVID-19 vaccine. Using facts from the CDC, we hope to answer your questions and arm you with the knowledge you and your children deserve so you can feel comfortable with your decision.
Visit Blue Cross and Blue Shield Coronavirus (COVID-19) Updates at www.bcbstx.com/medicaid/coronavirus-information for more COVID-19 coverage and benefit information.
Q&A: The COVID-19 vaccine for pre-teens and teens
Can schools require COVID vaccines for students to attend? It depends on whether your child attends a public or private school. Private schools, day care centers and camps can decide whether to require students to be vaccinated as a condition of returning to school or the facility. Vaccine requirements for public school largely depend on the state. While all 50 states have legislation requiring specific vaccines for students, no state currently requires children to receive the COVID-19 vaccine to return to school. Exemptions to school immunization requirements vary, but all states grant exemptions to children for medical reasons and many grant exemptions for religious or philosophical reasons.
If my child recently got another vaccination, can he/she still get the COVID vaccine? COVID vaccines and other vaccines can be given on the same day. The CDC previously said children and adults should wait two weeks before or after a COVID vaccine to receive any other vaccine as a precautionary measure in the early days of the vaccine distribution. The CDC’s most recent guidance states that COVID vaccines and other vaccines can be given without regard to timing. If multiple vaccines are administered at a single visit, the injections may be given in different parts of the body.
Should my child get the vaccine if he/she has allergies? Tell the doctor or nurse about any allergies your child may have. Children should not get the vaccine if they have a history of severe allergic reaction to any ingredient in the vaccine. The vaccine does not contain eggs, preservatives or latex. If your child has severe allergies to other substances (medications, bee stings, foods), plan to stay at the vaccination site after injection for 30 minutes, rather than the recommended 15.
Will my child experience side effects from the vaccine? Are they different than the side effects for adults? Similar to adults, the most commonly reported side effects in adolescent participants were pain at the injection site, tiredness, headache, chills, muscle pain, fever and joint pain. Side effects usually last one to three days. Fevers were slightly more common in 12- to 15-year-olds compared to adults in the adolescent clinical trials.
For more information about COVID-19 topics and how the pandemic can affect you and your family, visit www.cdc.gov/COVID19. You can also contact your pediatrician’s office or your local health department for additional COVID-19 vaccine information.
The Food and Drug Administration (FDA) requires that vaccine recipients or their caregivers are provided with Emergency Use Authorization (EUA) fact sheets to help make informed decisions about vaccination. The EUA fact sheet is specific to each authorized COVID-19 vaccine, is developed by the manufacturer of the vaccine, and is authorized by the FDA. Links to the fact sheet documents are available at www.CDC.gov.
Source: www.bcbs.com/coronavirus-updates/stories/your-questions-answered-the-covid-19-vaccine-pre-teens-and-teens
Butterfly Bunch
Make colorful butterflies from toilet and/or paper towel tubes.
What You’ll Need:
• Toilet and/or paper towel tubes
• Gesso (optional, for brighter color)
• Craft paint
• Hot glue (an adult’s job) or adhesive dots
Directions:
1. If desired, prime tubes inside and out with gesso; let dry. Then paint; let dry completely.
2. Flatten the tubes and use scissors to cut them into slices. For a large butterfly, you’ll need five ¾-inch-wide slices. For a small butterfly, you’ll need two ½-inch-wide slices and one ¼-inch-wide slice (eyeball it).
3. To make the small butterfly: Fold two ½-inch wide slices in half; unfold. Add a dot of glue to the inside center of each and refold to make a set of wings. Glue the two sets of wings to the sides of the ¼-inch-wide “body.”
4. To make a large butterfly: Add a dot of glue to the inside center of one of the ¾-inch slices and squish it together to make a “body.” Add a dot of glue to the flat side and press on another slice for a wing. Repeat for the other three wings.
Source: www.parents.com/fun/arts-crafts/kid/cute-crafts-that-use-recycled-cardboard-tubes/?slide=slide_c141b585-1b86-4623-8906-18ae7f316f22#slide_c141b585-1b86-4623-8906-18ae7f316f22
Popsicle Stick Puppy Puppet
Transform cardboard toilet paper tubes into a puppy puppet.
What You’ll Need:
- 2 Toilet paper tubes
- Paint
- Paintbrush
- Hole punch
- Bendy plastic straws
- Yarn
- 2 Popsicle sticks
- 2 Googly eyes
- Glue
- Scissors
Directions:
1. Paint the toilet paper tubes; let dry. Cut one tube in half; one half will be used horizontally for the head, the other half will be cut for the ears.
2. For the ears, cut a single long 8-shape out of the cardboard tube half. Glue it to the top of one end of the head. Push in the cardboard where the ears are glued, creating an indent on the head to make the ears stick up.
3. Glue two popsicle sticks together to form a cross; set aside.
4. The other toilet paper roll will be used horizontally for the body. Punch four holes on the bottom of the body for the legs. Thread two 6” pieces of yarn through the leg holes (one through the front two leg holes and one through the back two leg holes). Add cut bendy straw pieces at the ends of each string for feet. Knot the yarn at the ends of each foot.
5. On the top of the body tube (opposite of feet holes), punch a hole at each end of the body (two holes). Punch a single hole in the head. Thread a long piece of yarn (approximately 24”) through the body and the other end of the body and head. Tie it to the popsicle stick-cross.
6. Glue on a cut bendy straw to create a tail and stick on googly eyes.
Source: www.parents.com/fun/arts-crafts/kid/cute-crafts-that-use-recycled-cardboard-tubes/?slide=slide_c141b585-1b86-4623-8906-18ae7f316f22#slide_c141b585-1b86-4623-8906-18ae7f316f22
Foil Wrapped Veggies
Ingredients:
- 2 ½ pounds new potatoes, thinly sliced
- 1 large sweet potato, thinly sliced
- 2 Vidalia onions, sliced ¼ inch thick
- ½ pound fresh green beans, cut into 1 inch pieces
- 1 sprig fresh rosemary
- 1 sprig fresh thyme
- 2 tablespoons olive oil
- salt and pepper to taste
- ¼ cup olive oil
Directions:
Preheat grill for high heat.
In a large bowl, combine the new potatoes, sweet potato, Vidalia onions, green beans, rosemary and thyme. Stir in 2 tablespoons olive oil, salt and pepper to coat.
Using two to three layers of foil, create desired number of foil packets. Brush inside surfaces of packets liberally with remaining olive oil. Distribute vegetable mixture evenly among the packets. Seal tightly.
Place packets on the preheated grill. Cook 30 minutes, turning once, or until potatoes are tender.
Source: allrecipes.com/recipe/25478/foil-wrapped-veggies
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I have seen great surprise expressed in horticultural works at the wonderful skill of gardeners, in having produced such splendid results from such poor materials; but the art has been simple, and as far as the final result is concerned, has been followed almost unconsciously. It has consisted in always cultivating the best-known variety, sowing its seeds, and, when a slightly better variety chanced to appear, selecting it, and so onwards.
— CHARLES DARWIN, *The Origin of Species*
**FOODS AS TECHNOLOGIES**
What embodies the bounty of nature better than an ear of corn? With a twist of the wrist it is easily plucked from the stalk with no waste or fuss. It is packed with tasty, nutritious kernels that are larger and more numerous than those of other cereals. And it is surrounded by a leafy husk that shields
it from pests and moisture. Maize appears to be a gift from nature; it even comes wrapped up. But appearances can be deceptive. A cultivated field of maize, or any other crop, is as man-made as a microchip, a magazine, or a missile. Much as we like to think of farming as natural, ten thousand years ago it was a new and alien development. Stone Age hunter-gatherers would have regarded neatly cultivated fields, stretching to the horizon, as a bizarre and unfamiliar sight. Farmed land is as much a technological landscape as a biological one. And in the grand scheme of human existence, the technologies in question — domesticated crops — are very recent inventions.
The ancestors of modern humans diverged from apes about four and a half million years ago, and “anatomically modern” humans emerged around 150,000 years ago. All of these early humans were hunter-gatherers who subsisted on plants and animals that were gathered and hunted in the wild. It is only within the past 11,000 years or so that humans began to cultivate food deliberately. Farming emerged independently in several different times and places, and had taken hold in the Near East by around 8500 B.C., in China by around 7500 B.C., and in Central and South America by around 3500 B.C. From these three main starting points, the technology of farming then spread throughout the world to become mankind’s chief means of food production.
This was a remarkable change for a species that had relied on a nomadic lifestyle based on hunting and gathering for its entire previous existence. If the 150,000 years since modern humans emerged are likened to one hour, it is only in the last four and a half minutes that humans began to adopt farming, and agriculture only became the dominant means of providing human subsistence in the last minute and a half. Humanity’s switch from foraging to farming, from a natural to a technological means of food production, was recent and sudden.
Though many animals gather and store seeds and other foodstuffs, humans are unique in deliberately cultivating specific crops and selecting and propagating particular desired characteristics. Like a weaver, a carpenter, or a blacksmith, a farmer creates useful things that do not occur in nature. This is done using plants and animals that have been modified, or domesticated, so that they better suit human purposes. They
are human creations, carefully crafted tools that are used to produce food in novel forms, and in far greater quantities than would occur naturally. The significance of their development cannot be overstated, for they literally made possible the modern world. Three domesticated plants in particular — wheat, rice, and maize — proved to be most significant. They laid the foundations for civilization and continue to underpin human society to this day.
**THE MAN-MADE NATURE OF MAIZE**
Maize, more commonly known as corn in America, provides the best illustration that domesticated crops are unquestionably human creations. The distinction between wild and domesticated plants is not a hard and fast one. Instead, plants occupy a continuum: from entirely wild plants, to domesticated ones that have had some characteristics modified to suit humans, to entirely domesticated plants, which can only reproduce with human assistance. Maize falls into the last of these categories. It is the result of human propagation of a series of random genetic mutations that transformed it from a simple grass into a bizarre, gigantic mutant that can no longer survive in the wild. Maize is descended from teosinte, a wild grass indigenous to modern-day Mexico. The two plants look very different. But just a few genetic mutations, it turns out, were sufficient to transform one into the other.
One obvious difference between teosinte and maize is that teosinte ears consist of two rows of kernels surrounded by tough casings, or glumes, which protect the edible kernels within. A single gene, called *tga1* by modern geneticists, controls the size of these glumes, and a mutation in the gene results in exposed kernels. This means the kernels are less likely to survive the journey through the digestive tract of an animal, placing mutant plants at a reproductive disadvantage to nonmutants, at least in the normal scheme of things. But the exposed kernels would also have made teosinte far more attractive to human foragers, since there would have been no need to remove the glumes before consumption. By gathering just the mutant plants with exposed kernels, and then sowing some of them as seeds, proto-farmers could increase the proportion of plants with exposed kernels. The *tga1* mutation, in short, made teosinte plants less likely to survive in the wild, but also made them more attractive to humans, who propagated the mutation. (The glumes
in maize are so reduced that you only notice them today when they get stuck between your teeth. They are the silky, transparent film that surrounds each kernel.)
Another obvious difference between teosinte and maize lies in the overall structure, or architecture, of the two plants, which determines the position and number of the male and female reproductive parts, or inflorescences. Teosinte has a highly branched architecture with multiple stalks, each of which has one male inflorescence (the tassel) and several female inflorescences (the ears). Maize, however, has a single stalk with no branches, a single tassel at the top, and far fewer but much larger ears halfway up the stalk, enclosed in a leafy husk. Usually there is just one ear, but in some varieties of maize there can be two or three. This change in architecture seems to be the result of a mutation in a gene known as *tb1*. From the plant’s point of view, this mutation is a bad thing: It makes fertilization, in which pollen from the tassel must make its way down to the ear, more difficult. But from the point of view of humans, it is a very helpful mutation, since a small number of large ears is easier to collect than a large number of small ones. Accordingly, proto-farmers would have been more likely to gather ears from plants with this mutation. By sowing their kernels as seeds, humans propagated another mutation that resulted in an inferior plant, but a superior food.
The ears, being closer to the ground, end up closer to the nutrient supply and can potentially grow much larger. Once again, human selection guided this process. As proto-farmers gathered ears of proto-maize, they would have given preference to plants
with larger ears; and kernels from those ears would then have been used as seeds. In this way, mutations that resulted in larger ears with more kernels were propagated, so that the ears grew larger from one generation to the next and became corn cobs. This can clearly be seen in the archaeological record: At one cave in Mexico, a sequence of cobs has been found, increasing in length from a half inch to eight inches long. Again, the very trait that made maize attractive to humans made it less viable in the wild. A plant with a large ear cannot propagate itself from one year to the next, because when the ear falls to the ground and the kernels sprout, the close proximity of so many kernels competing for the nutrients in the soil prevents any of them from growing. For the plant to grow, the kernels must be manually separated from the cob and planted a sufficient distance apart — something only humans can do. As maize ears grew larger, in short, the plant ended up being entirely dependent on humans for its continued existence.
What started off as an unwitting process of selection eventually became deliberate, as early farmers began to propagate desirable traits on purpose. By transferring pollen from the tassel of one plant to the silks of another, it was possible to create new varieties that combined the attributes of their parents. These new varieties had to be kept away from other varieties to prevent the loss of desirable traits. Genetic analysis suggests that one particular type of teosinte, called Balsas teosinte, is most likely to have been the progenitor of maize. Further analysis of regional varieties of Balsas teosinte suggests that maize was originally domesticated in central Mexico, where the modern-day states of Guerrero, México, and Michoacán meet. From here, maize spread and became a staple food for peoples throughout the Americas: the Aztecs and Maya of Mexico, the Incas of Peru, and many other tribes and cultures throughout North, South, and Central America.
But maize could only become a dietary mainstay with the help of a further technological twist, since it is deficient in the amino acids lysine and tryptophan, and the vitamin niacin, which are essential elements of a healthy human diet. When maize was merely one foodstuff among many these deficiencies did not matter, since other foods, such as beans and squash, made up for them. But a maize-heavy diet results in pellagra, a nutritional disease characterized by nausea, rough skin, sensitivity to light,
and dementia. (Light sensitivity due to pellagra is thought to account for the origin of European vampire myths, following the introduction of maize into European diets in the eighteenth century.) Fortunately, maize can be rendered safe by treating it with calcium hydroxide, in the form of ash from burnt wood or crushed shells, which is either added directly to the cooking pot, or mixed with water to create an alkaline solution in which the maize is left to soak overnight. This has the effect of softening the kernels and making them easier to prepare, which probably explains the origin of the practice. More importantly but less visibly, it also liberates amino acids and niacin, which exist in maize in an inaccessible or “bound” form called niacytin. The resulting processed kernels were called nixtamal by the Aztecs, so that the process is known today as nixtamalization. This practice seems to have been developed as early as 1500 B.C.; without it, the great maize-based cultures of the Americas could never have been established.
All of this demonstrates that maize is not a naturally occurring food at all. Its development has been described by one modern scientist as the most impressive feat of domestication and genetic modification ever undertaken. It is a complex technology, developed by humans over successive generations to the point where maize was ultimately incapable of surviving on its own in the wild, but could deliver enough food to sustain entire civilizations.
CEREAL INNOVATION
Maize is merely one of the most extreme examples. The world’s two other major staples, which went on to underpin civilization in the Near East and Asia respectively, are wheat and rice. They too are the results of human selective processes that propagated desirable mutations to create more convenient and abundant foodstuffs. Like maize, both wheat and rice are cereal grains, and the key difference between their wild and domesticated forms is that domesticated varieties are “shatterproof.” The grains are attached to a central axis known as the rachis. As the wild grains ripen the rachis becomes brittle, so that when touched or blown by the wind it shatters, scattering the grains as seeds. This makes sense from the plant’s perspective, since it ensures that the grains are only dispersed once they have ripened. But it is very inconvenient from the point of view of humans who wish to gather them.
In a small proportion of plants, however, a single genetic mutation means the rachis does not become brittle, even when the seeds ripen. This is called a "tough rachis." This mutation is undesirable for the plants in question, since they are unable to disperse their seeds. But it is very helpful for humans gathering wild grains, who are likely to gather a disproportionate number of tough-rachis mutants as a result. If some of the grains are then planted to produce a crop the following year, the tough-rachis mutation will be propagated, and every year the proportion of tough-rachis mutants will increase. Archaeologists have demonstrated in field experiments with wheat that this is exactly what happens. They estimate that plants with tough, shatterproof rachises would become predominant within about two hundred years — which is roughly how long the domestication of wheat seems to have taken, according to the archaeological record. (In maize, the cob is in fact a gigantic shatterproof rachis.)
As with maize, proto-farmers selected for other desirable characteristics in wheat, rice, and other cereals during the process of domestication. A mutation in wheat causes the hard glumes that cover each grain to separate more easily, resulting in "self-threshing" varieties. The individual grains are less well protected as a result, so this mutation is bad news in the wild. But it is helpful to human farmers, since it makes it easier to separate the edible grains after beating sheaves of cut wheat on a stone threshing floor. When grains were being plucked from the floor, small grains and those with glumes still attached would have been passed over in favor of larger ones without glumes. This helped to propagate these helpful mutations.
Another trait common to many domesticated crops is the loss of seed dormancy, the natural timing mechanism that determines when a seed germinates. Many seeds require specific stimuli, such as cold or light, before they will start growing, to ensure that they only germinate under favorable circumstances. Seeds that remain dormant until after a cold spell, for example, will not germinate in the autumn, but will wait until after the winter has passed. Human farmers would often like seeds to start growing as soon as they are planted, however. Given a collection of seeds, some of which exhibit seed dormancy and some of which do not, it is clear that those that start growing right away stand a better chance of being gathered and thus forming the basis
of the next crop. So any mutations that suppress seed dormancy will tend to be propagated.
Similarly, wild cereals germinate and ripen at different times. This ensures that whatever the pattern of rainfall, at least some of the grains will mature to provide seeds for the following year. Harvesting an entire field of grain on the same day, however, favors grains that are almost ripe at the time. Grains that are over-ripe or under-ripe will be less viable if sown as seeds the following year. The effect is to reduce the variation in ripening time from one year to the next, so that eventually the entire field ripens at the same time. This is bad from the plant’s point of view, since it means the entire crop can potentially fail. But it is far more convenient for human farmers.
In the case of rice, human intervention helped to propagate desirable properties such as taller and larger plants to aid harvesting, and more secondary branches and larger grains to increase yield. But domestication also made wheat and rice more dependent on human intervention. Rice lost its natural ability to survive in flood waters, for example, as it was pampered by human farmers. And both wheat and rice were less able to reproduce by themselves because of the human-selected shatterproof rachis. The domestication of wheat, rice, and maize, the three main cereal grains, and of their lesser siblings barley, rye, oats, and millet, were all variations on the same familiar genetic theme: more convenient food, less resilient plant.
The same trade-off occurred as humans domesticated animals for the purpose of providing food, starting with sheep and goats in the Near East around 8000 B.C. and followed by cattle and pigs soon afterward. (Pigs were independently domesticated in China at roughly the same time, and the chicken was domesticated in southeast Asia around 6000 B.C.) Most domesticated animals have smaller brains and less acute eyesight and hearing than their wild ancestors. This reduces their ability to survive in the wild but makes them more docile, which suits human farmers.
Humans became dependent on their new creations, and vice versa. By providing a more dependable and plentiful food supply, farming provided the basis for new lifestyles and far more complex societies. These cultures relied on a range of foods, but the most important were the cereals: wheat and barley in the Near East, rice and millet in Asia, and maize in the Americas. The civilizations that subsequently arose on these edible foundations, including our own, owe their existence to these ancient products of genetic engineering.
**PRESENT AT THE CREATION**
This debt is acknowledged in many myths and legends in which the creation of the world, and the emergence of civilization after a long period of barbarism, are closely bound up with these vital crops. The Aztecs of Mexico, for example, believed men were created five times, each generation being an improvement over the last. Teosinte was said to have been man’s principal food in the third and fourth creations. Finally, in the fifth creation, man nourished himself with maize. Only then did he prosper, and his descendants populated the world.
The creation story of the Maya of southern Mexico, recounted in the *Popul Vuh* (or “sacred book”), also involves repeated attempts to create mankind. At first the gods fashioned men out of mud, but the resulting creatures could barely see, could not move at all, and were soon washed away. So the gods tried again, this time making men out of wood. These creatures could walk on all fours and speak, but they lacked blood and souls, and they failed to honor the gods.
---
*The centers of origin for domesticated maize, wheat, and rice.*
The gods destroyed these men, too, so that all that remained of them were a few tree-dwelling monkeys. Finally, after much discussion about the appropriate choice of ingredients, the gods made a third generation of men from white and yellow ears of maize: "Of yellow maize and of white maize they made their flesh; of corn-meal dough they made the arms and the legs of man. Only dough of corn-meal went into the flesh of our first fathers, the four men, who were created." The Maya believed they were descended from these four men and their wives, who were created shortly afterward.
Maize also features in the story told by the Incas of South America to explain their origins. In ancient times, it is said, the people around Lake Titicaca lived like wild animals. The sun god, Inti, took pity on them and sent his son Manco Capac and his daughter Mama Ocllo, who were also husband and wife, to civilize them. Inti gave Manco Capac a golden stick with which to test the fertility of the soil and its suitability for growing maize. Having found a suitable place, they were to found a state and instruct its people in the proper worship of the sun god. The couple's travels finally brought them to the Cuzco Valley, where the golden stick disappeared into the ground. Manco Capac taught the people about farming and irrigation, Mama Ocllo taught them about spinning and weaving, and the valley became the center of the Inca civilization. Maize was regarded as a sacred crop by the Incas, even though potatoes also formed a large part of their diet.
Rice too appears in countless myths in the countries where it is grown. In Chinese myths, rice appears to save mankind when it is on the verge of starvation. According to one story, the goddess Guan Yin took pity on the starving humans and squeezed her breasts to produce milk, which flowed into the previously empty ears of the rice plants to become rice grains. She then pressed harder, causing a mixture of blood and milk to flow into some of the plants. This is said to explain why rice exists in both red and white varieties. Another Chinese tale tells of a great flood, after which very few animals remained for hunting. As they searched for food, the people saw a dog coming toward them with bunches of long, yellow seeds hanging from its tail. They planted the seeds, which grew into rice and dispelled their hunger forever. In a different series of rice myths, told in Indonesia and throughout the islands of Indochina, rice appears as a delicate and virtuous maiden. The IndoneSian rice goddess, Sri, is the goddess of the earth who protects the people against hunger. One story tells how Sri was killed by the other gods to protect her from the lecherous advances of the king of the gods, Batara Guru. When her body was buried, rice sprouted from her eyes and sticky rice grew from her chest. Filled with remorse, Batara Guru gave these crops to mankind to cultivate.
The tale of the creation of the world and the emergence of civilization told by the Sumerians, the ancient inhabitants of what is now southern Iraq, refers to a time after the creation of the world by Anu, when people existed but agriculture was unknown. Ashnan, the grain goddess, and Lahar, the goddess of sheep, had not yet appeared; Tagtug, patron of the craftsmen, had not been born; and Mirsu, the god of irrigation, and Sumugan, the god of cattle, had not arrived to help mankind. As a result, "the grain . . . and barley-grain for the cherished multitudes were not yet known." Instead, the people ate grass and drank water. The goddesses of grain and flocks were then created to provide food for the gods, but no matter how much the gods ate, they were not filled. Only with the emergence of civilized men, who made regular offerings of food to the gods, were the gods' appetites finally satisfied. So domesticated crops and animals were a gift to man that conferred upon him an obligation to make regular food offerings to the gods. This tale preserves a folk memory of a time before the adoption of farming, when humans were still foragers. Similarly, a Sumerian hymn to the grain goddess describes a barbaric age before cities, fields, sheepfolds, and cattle stalls — an era that came to an end when the grain goddess inaugurated a new era of civilization.
Contemporary explanations of the genetic basis of plant and animal domestication are really just the modern, scientific version of these ancient and strikingly similar creation myths from around the world. Today, we would say that the abandonment of hunting and gathering, the domestication of plants and animals, and the adoption of a settled lifestyle based on farming put mankind on the road to the modern world, and that those earliest farmers were the first modern, "civilized" humans. Admittedly, this is a rather less colorful account than those provided by the various creation myths. But given that the domestication of certain key cereal crops was an essential step toward the emergence of civilization, there is no
doubt that these ancient tales contain far more than just a grain of truth.
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Making Change: One Step at a Time
A journey of a thousand miles must begin with a step.
HAVELLS CSR INITIATIVES
Havells believes in touching many aspects of human life. Over the years, we have embarked on a journey of social change through inclusive growth dedicated to the cause of our future and future generations. Therefore, our CSR efforts revolve around eight strong pillars of health & nutrition, sanitation, education, environment, skill development and more. These pillars not only move hand-in-hand with the ones envisioned by the Government but are also part of United Nations Sustainable Development Goals.
HAVELLS MID-DAY MEAL PROGRAM
In 2004, we started finding out reasons for non-availability of adequate manpower in nearby areas of our Alwar plant. The research was heart breaking and it showed that the children from these villages did not go to school and were engaged in farm and other jobs to support family’s income. Adequate food three times a day was a big challenge for the family. Children were weak and malnourished and going to school was not even considered by the family. Over time we realized that providing food could be the answer. We took up the initiative with the government of Rajasthan to provide mid-day meal in government schools.
A humble beginning that started with serving just 1500 children across 5 schools grew to serving over 60,000 students across 693 schools daily in the district. The fresh, hygienic and nutritious food is prepared in the state-of-the-art kitchen, in accordance with government-approved diet charts. Spread over an area of 4 acre, the kitchen employs staff of over 150 people including cooks, helpers and drivers along with a fleet of 30 vans to ensure hassle-free and timely delivery of the meals every day. Ownership of the entire mid-day meal value chain from procurement of food materials to food preparation, storage and distribution to school, gives the company complete control over the quality and hygiene of the meals. This goes in line with Havells philosophy of providing the best quality in all company offerings.
Serving over 60,000 students across 693 schools daily in the district
4 acre kitchen area
160 people including cooks
30 vans to ensure hassle-free and timely delivery
So far, we have served over 93 million meals
SANITATION
The vision behind the WASH program is to provide a safe, healthy, and comfortable environment at school where all children can learn, grow and thrive. Children are the future of our country and they are its most important agent of change. So, it is important for us to provide them with an environment that enables and encourages them to become the beacon of change.
The next natural progression for us was to sensitize students as well as the teachers about the importance of WASH. We investigated in between the change in behavior not only for the children but also for the school teachers who could further educate parents and the public at large about the importance of sanitation, cleanliness and hygiene. The goal is to impart good hygiene habits amongst children from a young age itself.
The program was made up of activities like songs, wall paintings, rhymes, quizzes, and painting competitions to help them understand concepts better. They can further explain to their parents and bring positive change in the family as well.
Since, we did not just stop there. Building awareness and giving it a community feel is not enough, we realized that the facilities need to be maintained if we want to make sure that the benefits are long-lasting, and they persist to positively affect as many as they can. There was no fund available at school level for the upkeep of these bio-toilets. So, we had to increase the amount of funds provided by the government for ensuring that these toilets are kept at the optimal level for regular use. A strict oversight was part of the program to ensure proper usage of the funds.
The WASH program addressed major health challenges in schools across the nation; however, we realized another common issue that particularly affects adolescent girls in the country. Whenever these girls go through the menstruation period, they have tend to skip school due to various reasons including stigma and myths associated with it. It also affected their health and education.
To help them get out of this, Havells joined hands with Project Baala, a program in which young rural girls are educated about menstruation in their schools and eco-friendly sanitary napkins are distributed to them. These pads are made of three layers of cloth stitched together that can be reused up to a period of 1.5 to 2 years. For 22,000 plus girls across 285 schools have been provided with the reusable sanitary napkin kits. This has allowed us to tackle a pressing issue through a 360-degree approach.
Havells has built over 4000 bio-toilets in 400 government schools across Alwar district of Rajasthan
The initiative is aligned with the current establishments Swachh Bharat Mission program and United Nations Sustainable Development Goal no. 3 & 6.
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ANNUAL REPORT 2017/18
MISSION
For every child to attend a safe registered preschool, with qualified competent teachers, where literacy, numeracy and life-skill lessons happen daily, and training, on-site mentoring and support to teachers and parents ensure all children reach crucial developmental outcomes.
To achieve our mission the organisation will
• Provide SETA accredited Early Childhood Development training to student teachers.
• Develop and entrench mathematical concepts in preschool children through the NUMICON mathematics programme.
• Develop and entrench literacy acquisition in preschool children through the FONIX literacy programme.
• Maintain nutritional support programmes to promote healthy physical development for young children in preschools.
• Provide access to preschools for disadvantaged children by facilitating a fee payment support programme, linking sponsors to qualifying parents, through the Adopt-a-Child’s Education project.
• Support backyard care groups, home-based creches and community preschools to reach health and safety norms enabling them to meet Department of Social Development registration requirements.
• Maximise the first 1000 days of development in a child’s life through educational engagements with caregivers and parents and through strengthening support groups for young at risk mothers.
• Provide training and onsite support and mentoring to ECD practitioners in the use and implementation of the KET ECD teacher capacity building programme, to ensure age, language and developmentally appropriate lessons and assessment methods are being implemented in all classrooms.
• Provide IT infrastructure capability to all affiliated preschools, to improve administration and storage of registration documentation, staff and children information, and completion of DSD attendance registers.
• Strengthen ECD stakeholder partnerships to support income generation through programme scale-up roll out nationally.
• Professionally manage donor funding to ensure that the children remain the ultimate beneficiaries of programmes and services.
VISION: Ensuring young children thrive through quality Early Childhood Development programmes, competent teachers and caregivers, in safe, healthy and enriched learning environments.
www.knysnaedutrust.co.za /knysnaedutrast @KnysnaEduTrust
Telephone: +27 (0)44 382 4638
Email: email@example.com
Physical Address: 27 Market Street, Knysna, 6571
Postal Address: PO Box 3579, Knysna, 6570, South Africa
KNYSNA EDUCATION TRUST
THE GREATEST GIFT IS THE GIFT OF LEARNING
NPO 004-286
The early moments of life offer an unparalleled opportunity to develop the brains of the children who will build the future South Africa.
Investment into these early years ensures children thrive to become productive members of society, reducing the burden on welfare services, and reversing the intergenerational cycle of disadvantage that hinders the equitable growth and prosperity of a country.
The Knysna Education Trust (KET) has been providing essential services to the Early Childhood Development (ECD) sector since 1993. Interventions are based on a belief that an essential package of ECD services is needed to support the overall development of children. Programmes and projects implemented have targeted outcomes, and ensure children reach age-appropriate developmental milestones in all areas: cognitive, emotional, physical and social.
**STRATEGIC FOCUS AREAS:**
- Literacy, Numeracy, and Life-skills development in the classroom preparing children for formal schooling.
- Access to Early Childhood Education for all children through fee support for qualifying families.
- Nutritional support to promote healthy physical development and prevent stunting.
- Government registration of ECD facilities to ensure safe learning environment for children.
- Skills development, formal training, and on-site support ensuring competent and passionate educators.
KET works hand in hand with affiliated preschools, providing on-site support, mentoring and training to teachers and principals. This ensures programmes are delivered according to best practice guidelines, and educators feel supported in their roles.
Children enjoy daily literacy, numeracy and life-skills lessons. Learning through play is an important part of the child’s daily preschool routine in preparing for formal schooling. All research indicates that a quality preschool education is essential for a child to succeed not only in formal schooling but also in all forms of learning throughout life.
The structured approach provided by KET is a key factor behind the almost 60% of affiliated ECD sites achieving either partial or full registration with the Department of Social Development. KET has stringent policies in place to guard against a “hand-out” approach. Projects and services are structured to be a “hand up” for beneficiaries, which is the key to the long-term sustainability of KET’s work.
Our projects can also be viewed on our website at www.knysnaedutrust.co.za.
NUMICON is a fun and structured classroom programme which uses a multi-sensory approach for children to explore essential mathematical concepts. The programme focuses on 24 specifically designed, practical activities which are easy to teach and use within a preschool classroom.
Various senses are engaged to make abstract mathematical concepts “real” by allowing children to see, feel touch and move ‘numbers’ as they learn. Each activity encompasses not only mathematical concepts, but enhances perceptual, fine-motor and language development. Additionally, each activity can be simplified or extended to suit the learning pace of the individual child. KET has distributed NUMICON kits to 75 affiliated pre-schools in the Knysna Plettenberg Bay area. Through funded partnership projects, with ECD organisations nationally, a further 22 preschools are now using the programme. Feedback from the field continues to verify the programme’s highly successful impact.
FONIX is a mother-tongue literacy programme which focuses on instilling and entrenching the crucial foundations of emerging literacy in the young child. FONIX uses phonetic principles of language development, in particular, letter-sound correspondence. Using the window of opportunity for language development in a concrete and kinaesthetic manner, with the correct type of equipment, at the right age, and in the correct manner, the programme allows children to grasp the complex skill of learning to read effortlessly.
KET has distributed Fonix kits to 75 affiliated pre-schools in the Knysna Plettenberg Bay area. Through funded partnership projects with ECD organisations nationally, a further 22 preschools are now using the programme. First piloted in 2010, continuous programme impact evaluation and feedback from the field continues to verify the programme’s success in literacy development. A master thesis study conducted on the FONIX program can be read online at: www.knysnaedutrust.co.za
THE INTENSIVE INTERVENTION PROGRAM (IIP) is a pilot research project, initiated by the Department of Social Development. The focus of the project is to provide targeted support to children identified as being at risk of not meeting the age appropriate learning outcomes for Grade RR.
The project comprises 4 phases, namely pre-screening and identification of at risk children; customised therapeutic interventions by highly trained professionals; parent involvement through educational engagement and, post-therapy screening and assessment feedback.
Three KET ECD teachers, and two occupational therapists provide at risk children two 45 minute therapy sessions per week, for 8 months. The project goal is for learners graduating from ECD sites to Primary schools, to be able to cope with the Grade R learning and development outcomes.
To date, in the first group of 250 identified children, 126 out of 160 children improved their test scores, some even doubling their scores. Data shows an average improvement of 30% or more in children tested, further highlighting the positive impact that the therapy groups have had on progressing the children’s learning and development.
During the first year, 364 parents and caregivers were reached through educational engagements, and onboarded to a mobile application. The app content is aligned with the therapeutic interventions, and provides parents with simple activities to support their child’s development in the home. The IIP will enter a second pilot year and round of identification and testing which will no doubt provide further ratification of the intervention’s success.
DSD REGISTRATION To streamline the registration of community ECD sites, the Department of Social Development appointed KET as the preferred Social Service Organisation, within our specific Service Delivery Area (SDA), to facilitate the process of ECD registration on their behalf.
KET has identified 128 ECD sites in the Eden Karoo area. Census figures indicate that a potential 8000 children, under the age of 6 years live in this SDA. 48% Percent of these children are in recorded preschools. The goal is to locate and assist further preschools and children, to ensure access to preschool education for all children in the area.
It is essential for ECD sites to comply with the minimum norms and standards set out by the various Government departments, to ensure preschools are safe places for young children.
This is a daunting challenge for the majority of community based ECD sites. The cost of meeting the various health and safety certificate requirements, infrastructure regulations, while employing qualified teachers, is often financially and logistically unachievable.
KET’s systematic and supportive approach has been positively received by ECD sites with many centres progressing along the path to registration. The goal is to register all 128 sites in the Eden Karoo SDA by the end of 2020 financial year. Since KET’s formal appointment in October 2017, 6 centres have successfully registered, with a further 26 achieving re-registration.
TRAINING AND SKILLS DEVELOPMENT
The KET Training Centre has become a hive of learning, laughter, hard work and achievement. Since the inception of the FET Training in June 2016, sixty four students have registered for Level 4 and 5 training. The successful partnership with Professional Child Care College, has made it possible for students in the Eden district to obtain an ETDP SETA accredited formal qualification locally.
Through the support of highly experienced volunteers and visiting lecturers, KET offers a diverse repertoire of facilitation, creating a rich learning environment. The first group of twenty-two Level 4 and nine Level 5 students graduated in November 2017.
Bursary sponsorships from e’Pap, Rotary Club of Knysna, Rotary Global Grant, Knysna Municipal Bursary Fund and private bursary sponsors has assisted 80% of the of the FET students, who would otherwise not be able to afford access to this high quality ECD qualification.
The KET Training Centre also offers supplementary teacher training such as Stellar Grade R from WordWorks, Inclusive Education from Inclusive Education South Africa, Power of Play from PLAYSA & Cotlands, and First Aid Level 1. During the 2017 year, 380 teachers benefited from multiple training programmes offered at the KET training centre.
FEEDING SCHEMES
The World Health Organisation has extensively documented the importance of a balanced diet in relation to the growth and development of a child’s brain. Hungry children are unable to reach their full potential. Children who receive a balanced diet on a daily basis are better able to concentrate, and less likely to fall ill, and are more likely to reach age-appropriate physical developmental milestones.
KET currently supports feeding scheme programmes in 17 ECD sites. For the majority of children who benefit from this project, these are often the only meals they will receive in a day. Cooks are trained to develop menus which have maximum nutritional impact, and also fall within allocated budgets. Each preschool draws up a weekly menu and budget, which is submitted to KET and then monitored by regular visits to the preschool.
A partnership with feeding organisation e’Pap, ensures that children in preschools affiliated to KET receive at least one balanced breakfast meal per day. This is an ongoing programme to support the ever-growing number of affiliated preschools with feeding schemes.
THE LEARNING TREE PRESCHOOL is KET’s model preschool, and practical teacher training centre. The project was made possible through a successful Rotary Global Grant in Aid application, which involved 6 Rotary Clubs from Canada. The Learning tree officially opened its doors in June 2016 with only 10 learners. Managed by the KET Board of Trustees, and supported by an elected Parent Committee, the school has grown to 71 learners and is staffed by a principal, 5 teachers, a cook and caretaker.
The preschool is to be a place of excellence in all aspects, providing a holistic learning environment where children receive age-appropriate developmental support to reach their full potential.
Student teachers are mandated by SAQA to complete practical hours, in a registered facility. Student teachers can learn from best in-classroom practice through supervised teacher training rotations. This practical training enables student teachers to gain experience and confidence in a model classroom environment.
The preschool is registered with the Department of Social Development, and is in the process of being registered as a Grade R feeder school to local primary schools.
ADOPT-A-CHILD’S EDUCATION PROGRAMME
Access to Early Childhood Education for children through fee support for qualifying families.
In 2006 KET established the ACE programme to assist the poorest children who are unable to attend preschool due to a lack of funds.
Since inception an average of 250 children and families have been assisted annually.
This programme has grown steadily and currently supports 309 children in 28 ECD centres. This sponsor driven project also enables preschools to receive the financial support needed to sustain their preschools. Children selected for this project are those who are most in need and whose parents or caregivers are committed to ensuring the children receive the education they deserve.
Children who would otherwise be left alone at home to fend for themselves, or are left in the care of an infirm or elderly relative, are now able to attend preschool, and have a real opportunity to succeed in formal schooling.
2018 was a busy and productive year for KET. A major highlight was the opening of our own DSD registered model preschool, The Learning Tree.
In a drive to reduce donor reliance, KET implemented two initiatives to improve sustainability, both of which have come to fruition in the 2018 financial year.
The FET ECD training derives an income from fees charged. Students are supported through allocated bursary funding, which has been boosted this year by contribution from both the corporate sector and other NGO’s both locally and internationally. The income from fee-paying students has been encouraging and while many of these students have meagre earnings, their commitment to financial obligations for their studies is nothing short of admirable.
A partnership with the INCEBA Trust, an ECD organisation in the Paarl and Wellington area of Cape Town, has resulted in the rollout of the FONIX literacy, NUMICON mathematics, and the KET ECD teacher capacity building programme. This partnership has secured the rollout of the KET programmes to 22 new ECD sites in the Western Cape, ratifying the applicability of the programme’s use, in different languages and regions throughout South Africa.
Establishing and maintaining long-term relationships with donors, through goal achievement, has always been a KET priority. This financial year four long-standing funders have renewed committed for an additional year. Department of Social Development funding has also increased during this period, with the implementation of the IIP Pilot research project.
Total project funding of R 3,050,042 was received for the year with distributions of R 3,054,430 made. Administration and project expenses were kept in line with budgets, which resulted in a surplus of R 623,928 for the year. For further financial detail kindly request a copy of 28 February 2018 Audited Financial Statements.
We look forward to an exciting and prosperous 2019.
### 2018 INCOME
| Source | Percentage | Amount |
|---------------------------------------------|------------|------------|
| Fundraising and sales of resources | 2% | 62 632 |
| Grants and donations | 72% | 2 622 672 |
| Investment income | 3% | 120 675 |
| Rentals, workshops and project management fees | 14% | 493 696 |
| The Learning Tree Preschool donations & fees | 9% | 332 442 |
| **Total** | | **3 632 117** |
### 2018 EXPENDITURE
| Category | Percentage | Amount |
|-----------------------------------------|------------|------------|
| Finance costs | 2% | 46 710 |
| Fundraising and marketing | 3% | 86 975 |
| Office costs | 7% | 205 807 |
| The Learning Tree | 12% | 360 773 |
| Training and capacity building | 77% | 2 307 924 |
| **Total** | | **3 008 189** |
300 children were able to access preschool from ACE programme sponsorships.
26 FONIX literacy training workshops were presented. 258 Teachers received training in the implementation and assessment of this programme.
27 NUMICON Mathematics training workshops presented. 256 Teachers received training in the implementation and assessment of this programme.
828 Children were fed per day in 17 ECD centres. An average of 208 656 meals were provided this year.
The Learning Tree Model Preschool was registered and currently has 71 learners.
The 64th student teacher registered to obtain a formal FET ECD Preschool Teacher Qualification.
Social Media
Facebook: 985 Followers
10 776 Likes
850 Shared Posts
Twitter: 1700 Followers
LinkedIn: 1416 Followers
WITH SINCERE THANKS TO OUR FUNDERS IN THIS PERIOD
Department of Social Development
Oppenheimer Memorial Trust
HOMECHOICE
The Vilakazi Foundation
Collette Cares group
Carre’s Foundation
PG Bison
Rotary International
Rotary Club of Knysna
Knysna Municipality
Doris Ethzel
Le Creuset
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THE RELATIVE MERITS OF DIFFERENT METHODS OF TEACHING EXPERIMENTAL WORK IN A TOWNSHIP SECONDARY SCHOOL IN THE REPUBLIC OF SOUTH AFRICA.
Mavis Buyisiwe Mabuya
RESEARCH REPORT SUBMITTED TO THE FACULTY OF SCIENCE, UNIVERSITY OF THE WITWATERSRAND, JOHANNESBURG, IN PARTIAL FULFILMENT OF THE REQUIREMENTS FOR THE DEGREE OF MASTER OF SCIENCE.
Johannesburg, February 1993
DECLARATION
I declare that this research report is my own, unaided work. It is being submitted for the degree of Master of Science in the University of Witwatersrand, Johannesburg. It has not been submitted before for any degree or examination in any other University.
Mavis Buyisiwe Mabuya
8th day of February 1993
ABSTRACT
The purpose of this study is to determine which of the methods of teaching experimental work, namely; demonstrations, filmed-experiments or illustrating experiments using the chalkboard, is the most effective method of teaching pupils at the secondary school level.
Forty-two Standard Eight Physical Science pupils from a township secondary school, registered under the Department of Education and Training and situated on the East Rand, served as the subjects for this study. Pupils were divided into three equivalent groups, each with similar marks in science and each group was exposed to three different teaching methods for three different topics. The pupils wrote a test for each topic after the exposure to one of the methods.
The research data were statistically analysed, using non-parametric statistics (viz., the t-test). The analysis of the data indicates that none of the methods was consistently superior to the others.
ACKNOWLEDGEMENT
I would like to express my sincere gratitude to:
My supervisors, Dr. K.C. Naik and Prof. J.D. Bradley, for their guidance, direction and willingness to help throughout this study.
My close friend, Absolom Mathebula, who spent hours typing this report and also for his understanding, encouragement, continued interest and unfailing support.
My school principal, Mrs L. M. Mokoena, for her encouragement and for granting me permission for this study to proceed at the school.
The pupils for co-operating so well in this investigation.
My colleagues, Mandla Luvuno, Gcina Makathini and Reggie Dlakayu for their valuable advice and unselfish assistance during this study.
# TABLE OF CONTENTS
| Chapter | Page |
|---------|------|
| I. | |
| INTRODUCTION | 1 |
| 1. Introduction | 1 |
| 2. Background to problem | 2 |
| 3. Research problem | 3 |
| 4. Research hypothesis | 4 |
| 5. Purpose of the study | 5 |
| 6. Importance of the study | 5 |
| 7. Limitations of the study | 6 |
| 8. Statement of assumptions | 7 |
| 9. Delimitations of the study | 8 |
| II | |
| REVIEW OF THE RELATED LITERATURE | 9 |
| 1. Aims and objectives of experimental work | 9 |
| 2. Merits of demonstrations | 12 |
| 3. Merits of video experiments | 16 |
4. Merits of chalkboard method .......................... 19
III. RESEARCH METHODOLOGY
1. Pilot study ........................................... 20
2. Selection of subjects ................................. 21
3. Experimental instruments .............................. 24
4. Validity and Reliability of the experimental instruments .................................................. 30
5. Treatment of research data ............................ 31
IV. ANALYSIS OF THE FINDINGS ............................. 33
V. SUMMARY, CONCLUSIONS AND RECOMMENDATIONS
1. Summary of the research ............................... 40
2. Research conclusions .................................. 41
3. Recommendations ....................................... 44
VI. REFERENCES ........................................... 46
| APPENDIX | EXPERIMENT/TEST | TITLE | Page |
|----------|-----------------|-------|------|
| A | 1 | Reaction of metals and oxygen | 51 |
| B | 2 | Reaction of metals and water | 53 |
| C | 3 | Reaction of non-metals and oxygen | 55 |
| D | Test 1 | Solution | 56 |
| E | Test 2 | Solution | 58 |
| F | Test 3 | Solution | 60 |
| G | Results of Test 1 (Metals and oxygen) | 62 |
| H | Results of Test 2 (Metals and water) | 63 |
| I | Results of Test 3 (Non-metals and oxygen) | 64 |
| J | Selected questions from Matric exam papers | 65 |
APPENDIX K : RESULTS OF TEST 1 ........................................... 68
APPENDIX L : RESULTS OF TEST 2............................................. 69
APPENDIX M : RESULTS OF TEST 3............................................. 70
CHAPTER I
INTRODUCTION
1. INTRODUCTION
Science subjects like Physical Science and Biology can be taught purely theoretically to the pupils at both the primary and the secondary schools levels. Science syllabuses, however, emphasise the important role of experimental work in science education. Research has shown that the experimental work when done with the pupils facilitates teaching and promotes meaningful learning of scientific principles and concepts (1). Experimental work can be presented in many different ways. It can be presented as something to talk about, using a chalkboard to illustrate or by watching it on the screen (filmed experiments) or by demonstrations done by the teacher or by doing it individually or in small groups (hands-on experiments) (1,2,3).
Intensive studies have been done on hands-on experimental work and on demonstrations (2,4). In both cases, the advantages
outweigh the disadvantages. In fact, experimental work, if appropriately done enhances learning (2). However, in reality, many constraints hamper the implementation of experimental work especially in the township secondary schools in South Africa. Despite these constraints in the township secondary schools, experiments are taught. It is noted that some teachers prefer using one method of teaching experimental work over the other.
2. BACKGROUND TO PROBLEM
The Department of Education and Training (D E T) has introduced experiments in Physical Science for the senior secondary students (matriculants) since 1987. These experiments include mainly the Inorganic Chemistry section in the standard nine syllabus. These experiments are compulsory as the knowledge of them is assessed on the written examination paper, at the end of the standard ten year (Appendix J). These questions encourage pupils to memorise facts about what they had done a year ago. It is perceived that experimental work plays an
important role if it is done by pupils on their own, since they (pupils) can remember better what they have done. Experimental work done individually or in small groups can lead to meaningful learning, provided a teacher gives clear explanation about the experiment to be performed. This process of participation will make the pupils remember what they have learnt easily. However, in the D E T schools because of the lack of laboratories, of chemicals and equipment, lack of teachers with necessary skills of conducting such work, and a large number of pupils in classes, it often is not possible to carry out individual or small group experimental work. Because of these logistical problems, teachers resort to the use of the chalkboard, video experiments and demonstrations as a means of teaching the experimental work.
3. RESEARCH PROBLEM
Under the prevailing unfavourable circumstances which of these three methods of teaching experimental work (chalkboard, filmed experiments or demonstrations) can result in better
understanding of the prescribed science syllabus. It was decided to address this question in respect of the standard 8 syllabus topic on the reactivity of some elements. The decision was made, despite the original interest in standard 8 inorganic chemistry, because the standard 8 pupils and teachers have no time for extra work because of the workload in this standard. It is therefore felt that the standard 8 pupils and teachers will be more cooperative.
4. RESEARCH HYPOTHESIS
According to Tuckman (12), a hypothesis helps to formulate an expectation of the outcome of the study, and it gives the relationship between the concepts identified in the problem. In the present research the following null hypothesis was made: There is no significant difference between the average test marks of pupils who were exposed to the demonstration method, the chalkboard method or the filmed experiment method.
4.1. Variables
In this study the independent variables are the teaching
methods and the testing to which pupils were subjected.
The dependent variable is the achievement of pupils measured by testing, as specified by the objectives (Appendices A, B and C). The intervening variable is learning, for it theoretically affects the observed phenomena but it cannot be seen, measured or manipulated (12).
5. PURPOSE OF STUDY
The purpose of the study is to determine which of three commonly used methods of presenting experimental work can result in better recalling and understanding of the subject matter taught.
6. IMPORTANCE OF THE STUDY
The evaluation of the methods of presenting experimental work is important since the results from this study will indicate which, if any, of these methods is of greatest value in the
teaching of Physical Science in township secondary schools where there are many constraints.
The findings of this study are also important because the future development of science teaching aids and the extent of provision of science equipment by the D E T could be greatly influenced by the experimental data.
The study will also guide the teachers when selecting their teaching methods. They may be helped to weigh the pros and cons, perceive the difficulties experienced by the pupils when exposed to each method, and how to help them if possible.
7. LIMITATIONS OF THE STUDY
(i) The knowledge that the pupils are being used in this experiment might cause some pupils to try harder than they usually do (the Hawthorne effect).
(ii) It is not possible to isolate all of the factors that influence learning - for example, extraneous variables such as socioeconomic standard and individual learning aptitude, thus limiting the generalizability.
(iii) The subjects are from one D X T secondary school in the East Rand area of the Republic of South Africa, thus resulting in further limitations to the generalizability of any findings.
8. STATEMENT OF ASSUMPTIONS
(i) It is assumed that all subjects (pupils) had acquired basic knowledge of Standard 7 Physical Science concepts, since Standard 8 Physical Science pupils were involved in this study.
(ii) It is assumed that the measuring instruments are reliable and valid.
9. DELIMITATIONS OF THE STUDY
(i) Only a certain section on metals and non-metals of the Standard 8 Physical Science syllabus was tested.
(ii) The population is delimited to Standard 8 pupils from the same township secondary school.
CHAPTER II
REVIEW OF THE RELATED LITERATURE
1. AIMS AND OBJECTIVES OF EXPERIMENTAL WORK
A number of aims and objectives of experimental work have been highlighted in the literature on science education (5, 15, 16, 17). Toothacker (5) summarizes them into three categories:
(i) to support lectures,
(ii) to promote good scientific attitudes,
(iii) to teach laboratory skills.
Hodson (17) added to these another two categories:
(iv) to motivate, by stimulating interest and enjoyment, and
(v) to give insight into scientific method and develop expertise in using it.
Chamber (in Toothacker (5)) and many other educationists (18, 19) list the major objectives of experimental work and state that one of them is "to illustrate lecture courses" or "to
illustrate, supplement and drive home points from lectures." Kruglak (19) in his study divided students into three groups. One group had a conventional laboratory class, a second group had the experiments demonstrated to them and the third group had no laboratory contact at all. There was no significant difference found between any of the groups on lecture theory examination. Toothacker criticised the use of the laboratory to elucidate theory, and he suggested that if experimental work has a place in the curriculum, it must stand on its own and not support lectures.
The importance of experimental work is largely undisputed (26), the quality of what actually takes place in laboratories varies widely, as surveys have shown (26, 27). Perception by teachers varies and the structures needed to support and maintain experimental work have never been fully resolved in many instances. It is noticed that it is unlikely to make a contribution to science teaching until these issues are tackled. There are a number of reasons why experimental work is important but different individuals favour one reason over the other. In this regard more emphasis (26) is laid on
experimental work as a means of reinforcing the understanding of concepts and principles, and thus teachers do experimental work in order to support the lectures (5) or to illustrate, supplement and drive home points from lectures (18, 19).
It is also noted that in countries where science inspectors do not visit schools in order to assess experimental work but it is assessed through written examinations, many teachers prefer demonstrations rather than allowing students to do hands-on experiments due to constraints that exist (21). Paper and pencil tests are quite satisfactory for assessing "visual-aid" aspects of experimental work (28).
In reality, assessment of experimental work is not a straightforward enterprise and it requires more than the usual paper and pencil test to cover all the outcomes of experimental work. Generally, it is recommended (28, 30) that experimental work should be assessed by teachers (internal assessment) and that it should be done continuously so that most of the aims and objectives of experimental work are achieved. The internal assessment may be moderated externally to ensure that
the assessment results are valid (as is the case with schools under the administration of the House of Delegates—Department of Education and Culture—Indian Education Department and the Natal Education Department) (34).
2. MERITS OF DEMONSTRATIONS
Some educationists (20, 21) think that demonstrations should be used to fill a largely supportive role, that of confirming the theory which had already been taught. They also recommend that, there should be no time lag between theory and illustration (23). A skilful demonstrator can encourage observation, rather than tell students everything, and together the students and the teacher can make deductions from these observations. Meaningful learning can result if demonstrations can be linked properly with the theory taught in class (4). Demonstrations are also needed as a means of communication: teachers should not rely on verbal instruction only.
Newbury, quoted in Connell (2), says "The demonstration
method lesson is, of necessity, more definite in content than hands-on experiment. Thus, while it is effective for all pupils, it is particularly helpful to weaker pupils... boys on the whole, prefer the individual method, and the girls the demonstration method." Few science teachers doubt that secondary school science courses should contain a significant amount of experimental work carried out by pupils themselves (8). Some research studies have revealed that, in many cases, pupils do experimental work without a clear idea about what they are doing or what lies behind the experiment (5). They need a clear explanation given by their teachers.
Many teachers believe that pupils should have first hand practical experience in laboratories in order to acquire skills in handling apparatus, to measure and to illustrate concepts and principles (6,7,11). Unfortunately experimental work often does not go further than this and few opportunities are provided for pupils to conduct challenging investigations (6). Colussi in his study mentions that many teachers are more satisfied with demonstrations than individual, or small group hands-on work because of the social pressures for good
results. The examination system does not emphasise the assessment of abilities, attitudes and skills associated with the experimental work. Newbury (in Connell (2)) stresses that although the majority of experiments should be individually performed, the general usefulness of demonstrations must be stressed, for they are effective and economical in supplying knowledge.
Barger (22) criticized hands-on experimental work because he claimed, that his students mastered the work just as well, if not better by demonstration experiments because observations and discussions were stimulated to a greater degree. The Spons Report, 1938, discusses experimental work (2) at length. It quotes with approval the Thomson Report, and gives a clear and emphatic statement of the case for demonstrations: ".......a larger variety of experimental work, covering more ground and carried out more accurately and skilfully, will provide more data over a wider variety of topics than is possible where only, or in the main, experimental work is done by the pupils. By a greater use of good demonstration we believe that science teachers will more commonly stimulate wonder and imagination."
Demonstrations can make an exceptional contribution to teaching and learning for they can be used, for example, for setting problems and for arousing the interest of pupils (1,8,23). They are even used to illustrate the safety aspects of experiments, to stimulate further thought, and to carry out class experiments that are too dangerous for pupils to tackle by themselves.
Many countries, other than Britain, have until recently kept experimental work to a minimum because of the high cost and constraints involved in running laboratories. Laboratories on an average require twice the space of a conventional classroom for the same sized class. They are expensive to equip with the necessary services including equipment and ancillary staff that is required to maintain the laboratories (1,3). When the hands-on experimental work is done more money and time are spent, as compared to when demonstrations are done by their teachers. Mundangepfupfu (36) outlines effective course management strategies that can reduce the expenditure on facilities for hands-on experimental work in favour of more demonstration facilities in the ordinary classroom. He also encourages
alternative methods and experiments that do not need to be taught in the laboratory.
Hodson (17,35) claims that research evidence and theoretical arguments both show that "practical work as presently organised (in U S schools) is largely unproductive and patently unable to justify the often extravagant claims made for it."
3. MERITS OF VIDEO EXPERIMENTS
Many schools may lack the financial means of providing adequate facilities, equipment, and materials for the performance of extensive experimental work. There may be administrative problems, such as non-availability of laboratory space at the "right time". This fact makes it difficult to integrate experimental work fully with other chemical education activities to which the learner is exposed (10). Recognising the problems which may hinder the implementation of a laboratory based approach to subjects like Physical Science and Biology at a high school level, filmed experiments have been conducted as an alternative to normal hands-on experimental work and demonstrations (9).
Kempa and his co-workers, quoted by Ben-Zvi (10), reported the usefulness of filmed demonstrations in the acquisition of manipulative skills. They suggested that films may be an effective medium for the teaching of manipulative skills even when laboratory facilities for personal practice are not readily available. Despite some of the advantages of filmed instructions, Carpenter and Greenhill (quoted in Ben-Zvi (9)) point out that pupils feel that less is learned from filmed instruction than from conventional teaching (lecture-method).
A study on the effectiveness of filmed experiments as an alternative to the hands-on experimental work in the context of high school chemical education was carried out by Ben-Zvi and her co-workers (10). The main result of the study was that the attainment of cognitive abilities and of laboratory-oriented problem-solving skills was not significantly affected by this approach. For full appraisal of the educational usefulness of filmed experiments as an alternative to "live" laboratory experience, it is necessary to consider not only cognitive and psychomotor skills developed in students, but also their reaction and attitudes towards the
alternative teaching medium. Slabough (24) reported a positive attitude of students towards such vicarious experience. But Watson (25) in his study concluded that film-teaching over long periods leads to loss of interest and the development of negative attitudes towards science.
Data related to cognitive objectives of experimental work, for example, the drawing of inferences from experiments and their understanding of chemical theory, revealed that, the attainment level of pupils taught using films and of pupils who were exposed to teacher demonstrations was practically identical (9).
Filmed experiments have advantages over teacher demonstrations, in that they can be shown over and over again without the time-consuming task of preparing and rehearsing each time as is the case with demonstrations (24). However, most pupils prefer teacher demonstrations because they can be allowed to ask questions during the session and the teacher might provide them with answers (9, 24).
4. MERITS OF CHALKBOARD METHOD
The chalkboard is a widely used teaching-aid. Most of the teachers are trained in how to use it. They are more confident when using it than other teaching aids and every school has a chalkboard. It is the cheapest aid because one does not require electricity in order to operate it nor to purchase chemicals and equipment to be used; only a piece of chalk is needed.
When the chalkboard method is used, pupils do not observe real experiments but they are told about them. In some cases they cannot even imagine what is being said or done in terms of various skills required for experimental work—cognitive skills, laboratory skills, communicative skills and deductive skills. Nevertheless when classrooms are overcrowded or lacking in all other resources it may be the only available method. No report in the literature could be found that dealt with the merits of the chalkboard method as a means of teaching experimental work.
CHAPTER III
RESEARCH METHODOLOGY
1. PILOT STUDY
This study was carried out before the main part of the research was undertaken. The pilot study was intended to test the validity and the reliability of the testing instrument (12, 14) and to determine whether the planned strategy of conducting the study was feasible. In this study the Standard 9 pupils were involved because of the small number of pupils who were doing Physical Science in Standard 8. A topic different from that chosen in the main research was used (redox reactions), because these pupils had already been exposed to these topics. Three groups of pupils (equivalence among groups was established using previous test marks) labelled A, B and C were randomly selected, and they were taught experimental work by means of the three teaching methods. Group A was taught by means of the chalkboard method. Thereafter this group was allowed to go for break, but was not allowed to interact with Group B or
Group C. While Group A was having a break, Group B and Group C were exposed to a filmed experiment and teacher-demonstration, respectively and simultaneously.
At the end of these lessons they were allowed to write a class test. The average mark of the pupils who were exposed to the demonstration method was the largest. The successful administration of the pilot study showed that it is possible to carry out the research in this manner.
2. SELECTION OF SUBJECTS
2.1. Target population
The standard 8 pupils doing Physical Science through the medium of English in one township school in the Alberton area registered under the DET, were used for the study.
2.2. Sample
A number of class tests on another part of the syllabus were written by the pupils and the marks obtained were used to
establish equivalence among the three groups (A, B & C). The pupils' average marks were ranked and used to assign pupils into three different groups, that is, the pupil who obtained the highest average mark was placed in group A, the pupil with the second highest average mark was placed in group B, the pupil with the third highest average mark was placed in group C and so on. The groups were randomly assigned to different teaching methods. Initially each group consisted of nineteen pupils but due to unforeseen circumstances, was reduced to fourteen pupils. The sample size is suitable and is regarded as feasible, since small-sample statistics assure the researcher of acceptable reliability in estimating sampling error, before making decisions about his data. It is also noted that a sample size between ten and thirty has some practical advantages: it is quick to work with and facilitates calculations. Also this sample size is large enough to test the null hypothesis but it is small enough to overlook weak treatment effects (14).
These three groups were exposed to the same topic (Appendices A, B and C) but were taught using different methods. Each group was exposed to each of the methods for the three
different experiments, as shown in Table 3.1. The pupils wrote a common test for each experiment.
The research design was as follows:
| Experiment | Video | Demonstration | Chalkboard | Test |
|------------|-------|---------------|------------|------|
| 1 | Group A | Group B | Group C | 1 |
| 2 | Group B | Group C | Group A | 2 |
| 3 | Group C | Group A | Group B | 3 |
Table 3.1 - Sequence of the research procedure.
3. EXPERIMENTAL INSTRUMENTS
3.1. Description of the methods of teaching experimental work.
3.1.1. Demonstration method
The experimental procedures were compiled from different textbooks and chosen to suit the existing laboratory conditions. The demonstration experiments were done by the teacher (the researcher). The teacher weighed out the masses of the substances to be used for an experiment, labelled the test tubes or beakers and arranged them as highlighted in the experimental procedure. All these preparations were done before the pupils came to the laboratory session, so as to avoid unnecessary delays in the laboratory.
The title of the experiment was written on the chalkboard. The scheme of report was also written on the board and the pupils were expected to answer or fill in the missing information. When they came to the laboratory, they were allowed to copy what was on the chalkboard. They wrote the answer for each question after each demonstration.
The teacher also drew their attention by asking some questions during a demonstration (Appendices A, B and C). Some of these questions were not on the chalkboard. Answers were given during the lesson. Pupils were allowed to sit close to one another, to ask questions, to answer questions and to talk to one another, so as to make the situation more normal. At the end of the demonstration session they moved to the classroom, where they were going to write a test. On their way to the exam room they discussed what had been demonstrated.
3.1.2. Chalkboard method
The teacher (the researcher) told the pupils the topic of the lesson and even wrote it on the board. While teaching the teacher wrote down the main points on the board, for example, the chemical equations, the colours observed when elements were heated in the presence of oxygen and the order of activity of elements with oxygen. During the lesson pupils were permitted to write the notes in their books. After the lesson they went for a break. The length of the break
was determined by the length of the demonstration session. During the break they did communicate within the group while other groups were busy with other methods.
In both the chalkboard method and the demonstration method, one pupil in Group A in particular asked many questions and he scored 40.9% and 54.5% respectively. As a result of this questioning one can say this group was most actively involved because the teacher permitted the pupils to answer some of these questions.
3.1.3. Video method
A colleague who was not familiar with physical science showed the filmed experiments to the pupils. They sat in positions where they could see the film clearly. The video was shown once only. Some of the pupils made notes. The video was never interrupted.
The demonstrator in the filmed experiments announced the title of the experiment and it was also flashed on the screen. He mentioned the purpose of each experiment. The worksheet to be
completed was written on the board. He pointed out the position of the elements to be studied on the periodic table. He displayed these elements on the working bench. The apparatus was used and oxygen was kept ready in the gas jars. He talked loudly about whatever he was going to do, gave the reason for each action carried out and told them what they should observe. For example, he said; "I am going to warm lithium metal, observe how easily lithium melts, observe the colour of the flame formed." After each demonstration, he filled in the objectives of the experiment as written on the chalkboard. To show the colour of the substance, for example, the colour of the flame or metal oxide, coloured boards were pinned on the chalkboard. Whilst writing on the chalkboard he kept on talking too. After carrying out the whole demonstration, he pinned up relevant balanced chemical equations. At the end, he summarised the findings and gave conclusions on what appeared on the board. As he was busy with the demonstration the board was behind him and the pupils could see what had been written. Some of them kept on writing whilst he was continuing with the demonstration thus disturbing their concentration. The pinned
up chemical equations were pre-made and that made the lesson to be too fast for pupils to follow and sometimes they copied without understanding. But, all in all, the set up was fairly good.
When the pupils came out of the video-room, most of them complained, for example; (i) about the speed of the video, (ii) that the language was complicated (English at a first language level was used whereas they are taught through English at a second language level), (iii) about the intonation of the speaker, (iv) that nobody was available to explain the subject-matter where they did not understand, (v) that it was not possible to ask questions and (vi) that the video was not replayed. This group was completely passive during the film session and they only talked to one another on their way to the exam-room.
The video films used were prepared by Mr E.G. Jansen, senior Physical Science subject adviser, in the DET. Some of the DET schools do have these video films. It is noted that in some of these schools, these video films are used to substitute a teacher's lesson or when the class is too large.
There are no courses given to guide a teacher on how to use these video films and when to use them. The teachers used their own discretions in showing the video film.
None of the pupils brought the prescribed Physical Science textbook to school during the research, although all the pupils had copies.
3.2. The post-test
The three tests are included as Appendices D, E and F. They were allocated 22, 23 and 22 marks respectively. The nature of the questions was such that only one correct answer could be correct. All tests consisted of two different types of questions. Some of the questions were testing what pupils had observed or been told about the experiment by the teacher. Other questions referred to background theory such as a knowledge of balancing the reaction equations by inspection. In terms of Bloom's taxonomy, the tests were testing simple recall or basic knowledge and comprehension. The tests were written on the chalkboard, and the researcher invigilated and marked the scripts.
4. VALIDITY AND RELIABILITY OF THE EXPERIMENTAL INSTRUMENTS
4.1. Content validity of the post-test instrument
In order to ensure content validity, the test of achievement must be judged in relation to the learning objectives for each experimental topic as shown in Appendices A, B and C. When drawing up the tests, the pupils' textbooks were studied and subject content specialists were consulted.
The textbooks that were consulted are: "Physical Science Standard 8", Brink and Jones (1985) and "Complete Physical Science Std 8", Brits, Bloff and Botha (1986). My two supervisors, Dr. Naik and Prof. Bradley scrutinized the test questions. On their advice, certain questions were reworded to avoid ambiguities and inaccuracies and then the revised test was administered to the pupils.
4.2. Reliability of post-test
The test questions have only one answer. No independent marking was carried out because of the uniqueness of the answers. The memorandum of each test was prepared in advance of marking of the test.
5. TREATMENT OF RESEARCH DATA
A non-parametric test, namely the t-test, was used to determine whether there was any significant difference in the average marks obtained in the three different methods of teaching the experimental work. This test assumes that the samples are drawn from a normally distributed population and allows one to estimate the parameters of such a population. This test also assumes that the scores obtained are independent of each other and that they constitute a representative, unbiased sample from the underlying population (33). This test can also be used when the total number of scores is less than thirty. The t-test was employed to test the hypothesis of this study because it can be used to determine the difference between two
or more means. The generally accepted 0.01 and 0.05 level of significance in educational research was used (35).
The following formula was used when calculating the "t" value:
\[
t = \frac{\sqrt{N - 1} \cdot \Sigma d}{\sqrt{N \sum d^2 - (\Sigma d)^2}}
\]
- \( t \) = the t-value
- \( d \) = the difference between the paired scores
- \( \Sigma d \) = sum of the difference of paired scores
- \( \Sigma d^2 \) = the sum of the squared difference scores
- \( N \) = the number of pairs.
CHAPTER IV
ANALYSIS OF FINDINGS
The three experimental groups were exposed to three different teaching methods and they also wrote three different tests, following the sequence shown in Table 3.1 (Chapter 3, p. 23). The actual marks obtained by the pupils for the different methods are included in Appendices G, H and I. The mean marks and standard deviations for each test are summarised in Table 4.1. The mean marks were taken as a measure of the effectiveness of the teaching methods in achieving certain objectives. Observational objectives are specified in the description of the experiments in Appendices A, B and C. But, in addition to those, there were objectives related to the balancing of the chemical equations for the reactions which were demonstrated.
| TEST No. | DEMONSTRATION | VIDEO | BOARD |
|---------|---------------|-------|-------|
| 1 | A= 9,86 | C= 6,50 | B= 8,86 |
| | sd = 3,92 | sd = 3,25 | sd = 3,42 |
| 2 | B= 12,00 | A= 14,00 | C= 11,00 |
| | sd = 3,88 | sd = 5,76 | sd = 4,86 |
| 3 | C= 8,07 | B= 7,43 | A= 11,50 |
| | sd = 4,75 | sd = 3,55 | sd = 3,43 |
Table 4.1: Means and standard deviations for each group for each post test.
As can be seen in Table 4.1, by comparing the mean scores, in test 1, the demonstration method appears to be the best method compared to the chalkboard method or video method since the mean of the group exposed to the demonstration method is the highest. In test 2, the video method seems to have been better than the other two methods. In test 3, the chalkboard as a means of illustrating the experimental work seems to have
been the best method.
In the light of the foregoing results one cannot really tell which of these methods is in general the best. It is also noted that pupils in Group A attained the highest mean in each post-test.
The data was analysed further using the non-parametric t-test. The results are shown in Table 4.2.
| Groups | Test 1 | Test 2 | Test 3 |
|--------|--------|--------|--------|
| AB | 0.84 | 2.33* | 2.77* |
| BC | 1.90 | 0.21 | 0.47 |
| AC | 2.35* | 1.68 | 1.98 |
Footnote: * - Not significant at the 1% level, but significant at the 5% level.
Table 4.2: Summary of t-calculated values.
The critical t-values for a two tailed test with 13 degrees of freedom are 2.160 at 5% level of significance and 3.012 at 1% level of significance. From the results obtained it can be seen that there is no significant difference in achievement of pupils at 1% level of significance, which implies that the null hypothesis may be accepted at 1% level of significance—viz., that there is no significant difference between the average test marks of pupils who were exposed to the demonstration method, the chalkboard method or the video method.
According to the t-calculated for test 1 (comparing groups A and C – demonstration versus video) and test 2 (comparing groups A and B – demonstration versus video) the null hypothesis may be rejected at 5% level of significance but not at the 1% level of significance. In test 1 (comparing groups A and C) it is in favour of the demonstration method but in test 2 (comparing groups A and B) it is in favour of the video method. The t-calculated values in test 3 (comparing groups A and C) suggest that there is a significant difference between the average mark of the group that was exposed to the chalkboard method and the average mark of the group that was
exposed to the video method, and thus the null hypothesis should be rejected in this case at the 5% level.
When one looks at Table 4.1, one can say that Group A performed better in all the tests. This group appears not matched to the other groups irrespective of the method they were exposed to.
Further first degree (basic) analysis was done to determine which of the methods under study will enable pupils to score better in the questions that are related to observation and to the theory respectively. The results obtained by each pupil in each test, appear in Appendices K, L and M. The letters O and T represent observation and theory respectively. The total marks for observation questions were 8, 12 and 5 in test 1, test 2 and test 3 respectively, while the total marks for the theory questions were 14, 11 and 17 in test 1, test 2 and test 3, respectively. In test 1, questions 1, 2, 4 and 6(ii) were classified as the observation questions while the remaining questions were considered to be the theory questions. In test 2, questions 1(a), 1(b), 1(c) and 4 were classified as the observation questions whilst the remaining questions fall under theory. In test 3, questions 3 and 4 were
classified as the observation questions and the remaining ones as theory questions.
The average marks and the percent average mark obtained by each group are as follows:
| | DEMONSTRATION | VIDEO | BOARD |
|-------|---------------|-------|-------|
| | Grp | O | T | Grp | O | T | Grp | O | T |
| Test 1| A | 3,64 | 6,21 | C | 2,43 | 4,07 | B | 3,00 | 5,86 |
| % | | 45,5 | 44,4 | | 30,3 | 29,1 | | 37,5 | 41,9 |
| Test 2| B | 8,71 | 5,29 | A | 8,86 | 7,14 | C | 5,50 | 5,50 |
| % | | 55,9 | 48,1 | | 57,1 | 64,9 | | 45,8 | 50,0 |
| Test 3| C | 1,43 | 6,64 | B | 0,50 | 6,93 | A | 1,50 | 10,0 |
| % | | 28,6 | 39,1 | | 10,0 | 40,8 | | 30,0 | 58,8 |
Table 4.3: Summary of average marks and percentage average marks for the observation part and the theory part in each test.
The % score ratios (O:T) were also determined as shown in Table 4.4. In terms of observation learning the demonstration method seems generally to be more successful than the video method or chalkboard method. By contrast, the theory learning was generally more successful with either the video method or the chalkboard method.
These conclusions are only tentative and much more research would be required before they could be accepted as of general significance.
| TEST | DEMONSTRATION | VIDEO | BOARD |
|------|---------------|-------|-------|
| 1 | 1.02 | 1.04 | 0.90 |
| 2 | 1.16 | 0.88 | 0.92 |
| 3 | 0.73 | 0.25 | 0.51 |
Table 4.4: The % score ratios (O:T) on each test.
CHAPTER V
SUMMARY, CONCLUSIONS AND RECOMMENDATIONS
5.1. SUMMARY OF THE RESEARCH
The primary purpose of this study was to determine which of the commonly used methods is the most effective method of teaching the syllabus experimental work. The fundamental reason behind this study stems from the fact that the DET examinations question paper for the matriculation candidates contains some questions based on the experimental work. Most of the teachers fail to conduct experiments in a laboratory due to a number of constraints mentioned in chapter 1. Demonstrations, filmed experiments and chalkboard as a means of illustrating the experimental work are commonly used in the township secondary schools as alternative methods to hands-on experimental work. In the circumstances these methods have advantages over hands-on experimental work, as was discussed in chapter 2. Three experimental groups were selected from Standard 8 pupils from a secondary school in the East Rand.
Pupils were taught three different topics on the reactions of (i) metals and oxygen, (ii) metals and water and (iii) non-metals and oxygen. After each topic had been taught, pupils wrote a test. The significance of the difference between the mean scores of the groups was established by applying the t-test (two tailed test), using the generally accepted 5% and 1% levels of significance. After the analysis of the results one could not say with certainty which of these methods under study is consistently the most effective method. There were however indications that the demonstration method is the most effective for teaching the observations, but the least effective for teaching background theory.
5.2. RESEARCH CONCLUSIONS
This study concludes that the pupils learn differently when they are exposed to different teaching methods. However, their learning is influenced by many things other than teaching methods. Their learning can be influenced by the subject matter taught and the interest they have in it or the manner of
presentation or pupils' participation in class or other external factors. It can be seen in Table 4.1, that pupils in Group A, performed better compared to the other groups on all occasions. It is probably because this group was more actively involved during the lesson.
According to the t-test, the null hypothesis may be accepted at 1% level of significance, which implies that there is no significant difference in average marks irrespective of the method used. Even at the 5% level of significance there was no consistent indication of the superiority of any one method.
In this study it was found that different experimental methods fulfilled different aims and objectives of experimental work to some degree. The video method resulted in a negative attitude, which is not the actual objective of experimental work. This is in agreement with Carpenter and Greenhills' finding that the pupils feel that less is learned from the filmed instruction than from the lecture method (8). Ben-Zvi and her co-workers (10) in their study on the effectiveness of filmed experiments as an alternative to the hands-on
experimental work, revealed that, the attainment of cognitive skills was not significantly affected by which approach was used. The video method was largely recommended for the teaching of manipulative skills more than any other objectives of experimental work. In this study, however, the learning (recall aspects) of some prescribed science concepts was tested. In this respect the video method is not the best method to be employed since pupils' positive attitude and interest, which are prerequisites of learning, are not developed by this method. Nevertheless pupils achieved better on theory questions after exposure to video teaching, than they did after demonstrations!
As far as the chalkboard method is concerned one cannot tell with confidence whether interest was stimulated or positive attitudes were developed. It is not easy to note any change since they are most acquainted to this method.
With the demonstration method, the pupils seemed motivated and their interest was stimulated. The results could have been better if it had been employed to fill the supportive role - that of confirming the theory which had already been taught - as most educationists (21) recommend. On the basis of the
researcher's observation most of the pupils tested preferred teacher demonstrations because they can be allowed to ask questions during the session and teachers might provide them with answers. That can lead to meaningful learning.
5.3. RECOMMENDATIONS
As the result of the study, the recommendations for further research are as follows;
1. Further research concerning the most effective method of teaching experimental work in the secondary schools should be done as there is a need of a method that will enable the teachers to achieve the aims and objectives of the experimental work.
2. There is a need of further study in this area using subjects coming from different schools and different townships. Different teachers could also be involved to determine how variation of teachers influences the learning of pupils.
3. More research is needed to discover ways by which one can minimize the disadvantages of each method.
4. Further research into the best ways of using video presentation should be done. For example, how can one use video to develop interest and a positive attitude in pupils that will foster meaningful learning.
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10. Ben-Zvi R, Hofstein A & Samuel D, 1976. "The effectiveness of filmed experiment in high school chemical education.", *Journal of Chemical Education*, (53), no. 8, pp. 518-520.
11. Hofstein A & Lunetta V N, 1982. "The role of the laboratory in science teaching: neglected aspects of research.", *Review of Educational Research*, (52), no. 3, pp. 201-213.
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13. Kerlinger F N, 1956. *Foundation of Behavioural Research*. 3rd ed. New York: Holt, Rinehart & Winston.
14. Morris L L & Fitz-Gibbon C T, 1983. *How to measure achievement*. London: Sage Publishers Inc.
15. Bradley R L, 1968. "Is the science laboratory necessary for the general science courses?", *Science Education*, (52); no. 1, pp. 58-80.
16. Beatty J W & Woolnough B E, 1982. "Why do practical work in 11-13 science?", *School Science Review*, (63), no. 225,
17. Hodson D, 1990. "A critical look at practical work in school science.", *School Science Review*, (70), no. 236, p. 34.
18. Read F H, 1969. "New techniques for the teaching of practical physics.", *Physics Education*, (4); p. 77.
19. Kruglak H, 1952. "Experimental outcomes of laboratory instruction in elementary college physics.", *American Journal of Physics*, (20); pp. 136-137.
20. Lock R, 1988. "A history of practical work in school science and its assessment, 1860-1986.", *School Science Review*, (69), no. 250, pp. 115-119.
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22. Barger T M, 1935. "Effectiveness of the individual laboratory method in science.", *Journal of Chemical Education*, (12); pp. 229-231.
23. Naik K C, 1973. *Some aspects of Physical Science teaching at matriculation level in Indian high schools in the Transvaal*. Unpublished BEd Dissertation. Johannesburg: University of the Witwatersrand.
24. Slabough W H, 1959. "Trends in instruction of chemistry by films and television.", *Journal of Chemical Education*, (36); pp. 588-580.
25. Watson F G, 1963. *Handbook of research on teaching*. (editor N.L. Gage). Chicago; Rand McNally.
26. Lynch P P, 1987. "Laboratory work in universities: structures and strategies still largely unexplored.", *Australian Science Teachers Journal*, (32), no. 4, pp. 31-37.
27. Kerr J F, 1963. *Practical work in school science*. Leicester: Leicester University Press.
28. Lynch P P, 1986. "Towards a policy for assessment of school practical work.", *Instus News*, Stellenbosch, no. 13; pp. 4-8.
29. Arnold W & James J, 1991. "Assessment ... can be fun!", *School Science Review*, (72), no. 261, pp. 132-134.
30. King W & Brathwaite W, 1991. "School-based assessment in science - Caribbean perspective.", *School Science Review*, (72), no. 261, pp. 127-131.
31. Brink B du P & Jones R C, 1985. *Physical Science Std 8.*, Cape Town: Juta & Co..
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Physical Science Std 8., Johannesburg: Educum Publishers.
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APPENDIX A
EXPERIMENT 1 - DEMONSTRATION METHOD
TITLE: REACTION OF METALS AND OXYGEN
APPARATUS: Test-tube, glasswool and burners
PROCEDURE
1. Put approximately two grams of potassium permanganate in a test tube.
2. Make a plug of glasswool and press it down the tube to just above the permanganate. Place some lithium, about the size of a pea, into the pyrex test-tube and place a second plug of glasswool above it. Heat the lithium and potassium permanganate simultaneously with the bunsen burner. Heat lithium until it melts and ignites. As the potassium permanganate is heated, it releases oxygen which comes into contact with molten lithium.
3. Scrape the product that was formed into a clean test tube. Add 10 ml of water and a few drops of universal indicator or dip a litmus paper into a solution.
4. Repeat this experiment using sodium, potassium and calcium.
5. Repeat this experiment using approximately 1 g of magnesium, iron and copper filings.
ACTIVITIES AND OBJECTIVES AS WRITTEN ON THE CHALKBOARD.
1. Observe what happens when a metal is heated.
2. Arrange metals in order of decreasing activity.
3. Are solutions of reaction products acidic or basic?
APPENDIX B
EXPERIMENT 2 - DEMONSTRATION METHOD
TITLE: REACTION OF METALS AND WATER
APPARATUS: Test-tube, bunsen burner and beaker.
PROCEDURE A:
1. Half fill seven test-tubes with cold water.
2. Place small pieces of metals (Li, Na, K, Mg, Ca, Fe, Cu) into a test-tube in a given order. Hold a burning match to the mouth of each tube.
PROCEDURE B:
3. Heat the water while placing in it Ca, Mg, Cu and Fe respectively.
4. Hold the burning match on the mouth of the test-tube.
PROCEDURE C:
5. Place moist glasswool on the bottom of the test-tube and a piece of Mg, Fe or Cu in the middle of the same test-tube. Heat Mg, Cu or Fe and glasswool simultaneously in the test
tube. Steam comes into contact with the heated metal. When the gas is given off, the collecting tube will be filled with it and bubbles will be observed in water.
ACTIVITIES AND OBJECTIVES AS WRITTEN ON THE CHALKBOARD.
1. Observe what happens when metals react with water.
2. State or name metals that can react with cold water.
3. Order them according to increasing activity.
4. Name metals that react with hot water.
5. Arrange metals in (4) in order of increasing activity.
6. Name the metals that react with steam.
APPENDIX C
EXPERIMENT 3 - DEMONSTRATION METHOD
TITLE: REACTION OF NON-METALS AND OXYGEN
APPARATUS: Gas jar, deflagrating spoon and bunsen burner
PROCEDURE:
1. Put a piece of phosphorus in a deflagrating spoon and lower it into a gas jar filled with oxygen and 10 ml of water.
2. Repeat this experiment with pieces of sulphur and carbon by first heating them in separate deflagrating spoons until they ignite or glow and then lowering them in separate oxygen-filled gas jars.
ACTIVITIES AND OBJECTIVES AS WRITTEN ON THE CHALKBOARD.
1. Observe what is happening in each instance.
2. Arrange non-metals in order of increasing activity with oxygen.
3. Check whether the oxide is acidic or basic.
TEST 1 - REACTION OF METALS AND OXYGEN
A magnesium ribbon was heated in the presence of oxygen supplied from the cylinder, and the product formed was mixed with water in a gas jar.
1. What is observed when magnesium is heated in a gas jar of oxygen? (2)
2. What happens to the red litmus paper when dipped into the solution in a jar? (2)
3. Write a balanced reaction equation when magnesium reacts with oxygen. (5)
4. What is the name of the product? (2)
5. Write a balanced reaction equation of the product in (3) reacting with water. (3)
6. Consider these metals copper, magnesium, calcium and iron.
(i) Arrange these metals in order of increasing activity with oxygen. (4)
(ii) Is the oxide of calcium acidic or basic? (2)
7. Write out the formula of potassium oxide. (2) TOTAL [22]
SOLUTION
1. Magnesium reacts easily and forms a white product.
2. It turns from red to blue.
3. $2 \text{Mg} + \text{O}_2 \rightarrow 2 \text{MgO}$
4. Magnesium oxide.
5. $\text{MgO} + \text{H}_2\text{O} \rightarrow \text{Mg(OH)}_2$
6. (i) Copper < iron < magnesium < calcium.
(ii) Basic
7. $\text{K}_2\text{O}$
TEST 2 - REACTION OF METALS WITH WATER.
1. Consider these metals: sodium, magnesium, calcium and iron.
(a) Name the metal or metals that can react with:
(i) cold water only (ii) hot water only (iii) steam only (6)
(b) Which metal reacts most vigorously with water? (2)
(c) Which metal is least reactive with water? (2)
2. Write a balanced reaction equation of calcium and water. (5)
3. How do you test a gas that is liberated when metals react with water? (3)
4. Name the gas liberated in (3). (2)
5. Arrange the hydroxides of calcium, magnesium and sodium in order of increasing pH values. (3)
TOTAL = 23
SOLUTION
1. (a) (i) sodium and calcium
(ii) magnesium
(iii) iron
(b) sodium
(c) iron
2. Ca + 2 H₂O ----> Ca (OH)₂ + H₂
3. By bringing a burning stick or match to the mouth of reaction vessel: if there is an explosive sound a gas is released.
4. Hydrogen.
5. Magnesium < calcium < sodium.
1. Write a balanced reaction equation of phosphorus and oxygen. (6)
2. What is the name of the product in (1)? (2)
3. Is the oxide acidic or basic? (1)
4. What can be done to confirm your answer in (3)? (4)
5. Why is it necessary to keep white phosphorus under water? (2)
6. Arrange the following elements: phosphorus, carbon and sulphur in order of increasing activity with oxygen. (3)
7. What is the colour of the flame formed when oxygen reacts with (i) carbon
(ii) phosphorus (4)
TOTAL [22]
SOLUTION
1. \(4 \text{P} + 5 \text{O}_2 \rightarrow 2\text{P}_2\text{O}_5\)
2. Phosphorus pentoxide
3. Acidic
4. Dip a blue litmus paper into an aqueous solution of the oxide and when it changes to be pinkish colour it means that the solution is acidic.
5. It reacts very fast when it comes into contact with oxygen.
6. Carbon < sulphur < phosphorus.
7. (i) red (ii) bright (white vapour)
## RESULTS FOR TEST 1 (Metals and oxygen)
| PUPIL No. | GROUP A DEMONSTRATION | GROUP C VIDEO | GROUP B BOARD |
|-----------|-----------------------|---------------|---------------|
| 1 | 12 | 13 | 12 |
| 2 | 16 | 10 | 6 |
| 3 | 12 | 3 | 9 |
| 4 | 8 | 8 | 13 |
| 5 | 18 | 2 | 14 |
| 6 | 7 | 10 | 8 |
| 7 | 7 | 8 | 11 |
| 8 | 5 | 4 | 4 |
| 9 | 8 | 5 | 7 |
| 10 | 14 | 3 | 8 |
| 11 | 6 | 4 | 9 |
| 12 | 8 | 5 | 9 |
| 13 | 8 | 8 | 2 |
| 14 | 9 | 8 | 12 |
| Σx | 138 | 91 | 124 |
## RESULTS FOR TEST 2 (Metals and water)
| PUPIL No. | GROUP B DEMONSTRATION | GROUP A VIDEO | GROUP C BOARD |
|-----------|-----------------------|---------------|---------------|
| 1 | 15 | 20 | 18 |
| 2 | 20 | 18 | 13 |
| 3 | 13 | 20 | 12 |
| 4 | 12 | 15 | 20 |
| 5 | 15 | 22 | 20 |
| 6 | 6 | 8 | 14 |
| 7 | 15 | 12 | 8 |
| 8 | 15 | 17 | 11 |
| 9 | 12 | 13 | 6 |
| 10 | 8 | 15 | 8 |
| 11 | 7 | 13 | 11 |
| 12 | 9 | 14 | 4 |
| 13 | 9 | 1 | 4 |
| 14 | 12 | 7 | 5 |
| ΣX | 168 | 196 | 154 |
## RESULTS FOR TEST 3 (Non-metals and oxygen)
| PUPIL | GROUP C | GROUP B | GROUP A |
|-------|---------|---------|---------|
| No. | DEMONSTRATION | VIDEO | BOARD |
|-------|----------------|-------|--------|
| 1. | 17 | 17 | 9 |
| 2. | 14 | 10 | 6 |
| 3. | 1 | 7 | 17 |
| 4. | 15 | 2 | 12 |
| 5. | 9 | 7 | 17 |
| 6. | 3 | 8 | 9 |
| 7. | 9 | 9 | 11 |
| 8. | 8 | 7 | 16 |
| 9. | 8 | 6 | 14 |
| 10. | 5 | 7 | 9 |
| 11. | 6 | 7 | 9 |
| 12. | 7 | 7 | 13 |
| 13. | 9 | 2 | 10 |
| 14. | 2 | 8 | 9 |
Σx | 113 | 104 | 161 |
1. When a concentrated nitric acid is poured into a flask containing a few copper turnings, a blue-green solution forms in the flask and brown fumes are given off.
(a) What substance causes the blue-green colour in the flask?
(b) What is the brown fuming gas that is given off? (2)
If a more dilute solution of nitric acid is added to the flask, instead of concentrated acid, a colourless gas is given off and brown fumes only appear at the mouth of the flask.
(c) Write down balanced chemical equations to show:
(i) the reaction which forms a colourless gas. (4)
(ii) why brown fumes form at the mouth of the flask? (3)
(March 1991, second paper)
2. Chlorine gas can be prepared in the laboratory by reacting concentrated hydrochloric acid with manganese dioxide.
(a) Write down the balanced reaction equation for this reaction. (4)
(b) Sketch the apparatus, as set up, that one should use to prepare and collect a small amount of the gas. (5)
(c) Why must this experiment be done in a fume cupboard? (2)
(d) What is the colour of the gas that is collected? (2)
(June 1991, second paper)
3. In this experiment $H_2S$ and $SO_2$ are bubbled simultaneously through water. A precipitate is formed.
3.1 What will be observed in the beaker? What is the precipitate that is formed? (2)
3.2 Name the oxidising agent. (2)
3.3 Which substance is reduced? (2)
3.4 Give a balanced equation for the reaction that occurs. (7)
## APPENDIX K
### TEST 1
**Metals and oxygen**
| PUPIL | GROUP A | GROUP C | GROUP B |
|-------|---------|---------|---------|
| | DEMONSTRATION | VIDEO | BOARD |
| Max Marks | 0 | T | O | T | O | T |
| | 8 | 14 | 8 | 14 | 8 | 14 |
| No. | 1 | 2 | 10 | 5 | 8 | 5 | 7 |
|-----|---|---|----|---|---|---|---|
| | 3 | 13 | 4 | 6 | 1 | 5 | 1 |
| | 5 | 7 | 2 | 1 | 1 | 2 | 7 |
| | 5 | 3 | 3 | 5 | 3 | 10 | 1 |
| | 7 | 11 | 1 | 1 | 1 | 5 | 9 |
| | 3 | 4 | 1 | 1 | 9 | 2 | 6 |
| | 3 | 4 | 5 | 3 | 4 | 7 |
| | 3 | 2 | 1 | 3 | 2 | 2 |
| | 3 | 5 | 2 | 3 | 4 | 3 |
| | 5 | 9 | 0 | 3 | 2 | 6 |
| | 3 | 3 | 1 | 3 | 2 | 7 |
| | 3 | 5 | 1 | 4 | 5 | 4 |
| | 3 | 5 | 4 | 4 | 2 | 0 |
| | 3 | 6 | 4 | 4 | 3 | 9 |
| ΣX | 51 | 87 | 34 | 57 | 42 | 82 |
|----|----|----|----|----|----|----|
| X | 3,64 | 8,21 | 2,43 | 4,07 | 3,0 | 5,86 |
| % X | 45,5 | 44,4 | 30,4 | 28,1 | 37,5 | 41,8 |
## APPENDIX L
### TEST 2
**Metal and water**
| PUPIL | GROUP B | GROUP A | GROUP C |
|-------|---------|---------|---------|
| | DEMONSTRATION | VIDEO | BOARD |
| No. | Max Marks | 12 | 11 | 12 | 11 | 12 | 11 |
| 1 | 9 | 6 | 9 | 11 | 8 | 10 |
| 2 | 10 | 10 | 13 | 8 | 9 | 4 |
| 3 | 8 | 5 | 10 | 10 | 8 | 8 |
| 4 | 7 | 5 | 11 | 4 | 11 | 9 |
| 5 | 8 | 7 | 12 | 10 | 10 | 10 |
| 6 | 3 | 3 | 5 | 3 | 6 | 8 |
| 7 | 8 | 7 | 5 | 7 | 6 | 2 |
| 8 | 8 | 7 | 8 | 9 | 5 | 6 |
| 9 | 3 | 9 | 6 | 7 | 2 | 4 |
| 10 | 4 | 4 | 5 | 10 | 4 | 4 |
| 11 | 4 | 3 | 6 | 7 | 4 | 7 |
| 12 | 7 | 2 | 5 | 9 | 2 | 2 |
| 13 | 7 | 2 | 0 | 1 | 2 | 2 |
| 14 | 8 | 4 | 3 | 4 | 2 | 3 |
| Σx | 94 | 74 | 86 | 100 | 77 | 77 |
|------|----|----|----|-----|----|----|
| $\bar{X}$ | 6,71 | 5,29 | 6,86 | 7,14 | 5,5 | 5,5 |
| % $\bar{X}$ | 55,9 | 48,1 | 57,1 | 64,9 | 45,8 | 50,0 |
## APPENDIX M
### TEST 3
**Non-metals and oxygen**
| PUPIL | GROUP C | GROUP B | GROUP A |
|-------|---------|---------|---------|
| | DEMONSTRATION | VIDEO | BOARD |
| No. | Max Marks | Max Marks | Max Marks |
| 1 | 5 | 17 | 5 |
| 2 | 1 | 10 | 1 |
| 3 | 0 | 6 | 4 |
| 4 | 3 | 12 | 0 |
| 5 | 5 | 4 | 7 |
| 6 | 0 | 3 | 1 |
| 7 | 1 | 8 | 0 |
| 8 | 1 | 7 | 0 |
| 9 | 1 | 7 | 1 |
| 10 | 1 | 4 | 0 |
| 11 | 1 | 5 | 1 |
| 12 | 1 | 6 | 0 |
| 13 | 1 | 8 | 1 |
| 14 | 1 | 1 | 1 |
| Σx | 20 | 93 | 7 |
|------|-----------|---------|---------|
| X | 1,43 | 6,64 | 0,5 |
| % X | 28,6 | 39,1 | 10,0 |
| Σx | 37 | 21 | 140 |
|------|-----------|---------|---------|
| X | 1,50 | 10,00 | |
| % X | 40,8 | 30,0 | 58,8 |
The following is a list of the most important and commonly used terms in the field of computer science:
1. Algorithm: A step-by-step procedure for solving a problem or performing a task.
2. Data Structure: A way of organizing data that allows efficient access, modification, and manipulation.
3. Database: An organized collection of data stored in a computer system.
4. Database Management System (DBMS): Software that manages databases and provides an interface for users to interact with them.
5. Encryption: The process of converting information into a code so that only authorized parties can understand it.
6. Hashing: A process of converting data into a fixed-size string of characters.
7. Interface: A way for two systems to communicate with each other.
8. Network: A collection of computers and devices connected together.
9. Operating System (OS): A software program that controls and manages the hardware and software resources of a computer.
10. Programming Language: A set of instructions that a computer can understand and execute.
11. Query: A request for information from a database.
12. Security: The protection of data and systems from unauthorized access, use, disclosure, disruption, modification, or destruction.
13. Software: A set of instructions that tell a computer what to do.
14. System: A collection of related components that work together to achieve a common goal.
15. User: An individual who uses a computer or other electronic device to perform tasks.
16. Virtualization: The creation of virtual versions of physical resources such as servers, storage, and networks.
17. Web Application: A software application that runs on a web server and is accessed through a web browser.
18. Wireless Network: A network that uses radio waves to transmit data between devices.
19. XML: eXtensible Markup Language, a markup language that defines a set of rules for encoding documents in a format that is both human-readable and machine-readable.
20. YAML: Yet Another Markup Language, a markup language that is used to represent structured data.
Author: Mabuya MB
Name of thesis: The relative merits of different methods of teaching experimental work in a township secondary school in the republic of South Africa
**PUBLISHER:**
University of the Witwatersrand, Johannesburg
©2015
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*Copyright Notice:* All materials on the University of the Witwatersrand, Johannesburg Library website are protected by South African copyright law and may not be distributed, transmitted, displayed or otherwise published in any format, without the prior written permission of the copyright owner.
*Disclaimer and Terms of Use:* Provided that you maintain all copyright and other notices contained therein, you may download material (one machine readable copy and one print copy per page) for your personal and/or educational non-commercial use only.
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Ordinarily Available Provision 2023-2024
Approaches and resources that mainstream education settings in York will provide for children and young people with SEND
7 SEND outcomes
1. I am healthy
2. I have a choice and am heard
3. I am safe
4. I achieve my goals
5. I am included
6. I can overcome challenges and difficulties on my own or with support
7. I am becoming independent
This guide is for parents/carers and professionals
Humber and North Yorkshire Health and Care Partnership
Local authorities, early years providers and schools should enable parents to share their knowledge about their child and give them confidence that their views and contributions are valued and will be acted upon. At times parents, teachers and others may have differing expectations of how a child’s needs are best met. Sometimes these discussions can be challenging but it is in the child’s best interests for a positive dialogue between parent, teachers and others to be maintained, to work through the points of difference and establish what action is to be taken.
SEND Code Of Practice, 2015 1.7
Introduction
This document has been co-produced with parents/carers, headteachers, senior leaders and SENDCos.
York is a needs-led city. We are committed to intervening early to support and improve the outcomes of children and young people with SEND. This means that any provision or support should be provided in line with the needs of the young person and is not dependent on any formal diagnosis.
The purpose of this document is to describe the provision that the local area SEND Partnership expects to be made available for all children and young people with special educational needs and disabilities (SEND) in mainstream settings, schools and colleges. This is referred to in settings as SEND Support and the provision described will form part of the setting’s graduated response to meet needs.
The majority of children with SEND will have their needs met effectively within their local mainstream setting. Where a child or young person is identified as having SEND, schools will take action to remove barriers to learning and put effective provision in place. These actions should be reviewed and refined through the cycle of Assess, Plan, Do, Review.
As a local area SEND Partnership, we are committed to working together to deliver the best outcomes for York’s children and young people with SEND. Central to achieving this is to ensure consistency of approach across the city’s education settings through ensuring quality first teaching, close working with families and clear cycles of evaluation (Assess, Plan, Do Review).
This document is designed to be used as a reference document and to support the delivery of a consistent local offer for children and young people across York’s education settings. This document will be reviewed annually to ensure that it remains relevant and is grounded in best practice (2015).
What do we mean by Ordinarily Available Provision?
The term ‘ordinarily available provision’ refers to the range of activities, experiences and strategies offered as basic good practice/quality first teaching for children with special education needs/disability in line with the SEN Code of Practice.
Ordinarily Available Provision should be delivered within the usual funding resource the provider receives from the Local Authority. Some providers will need to make adaptations to their current practice if they are to meet the expectations of Ordinarily Available Provision.
A graduated response
The SEND Code of Practice describes a graduated response and the Assess, Plan, Do and Review cycle (see later) through which children and young people, placed at SEN Support have their needs met.
Expectations
Paras 6:96 – 6:99 of the SEND Code, explain that schools (including academies) are expected to:
i. Make provision available for children with SEND from their delegated budgets
ii. Provide high quality teaching
iii. Plan the use of their SEN resources to support the progress of children with SEND, in the context of their other resources, such as pupil premium
iv. To be clear about the provision they make for SEN from within their Core budget (Elements 1 and 2) and up to a nationally prescribed threshold
Equity of decision making
Developing a description of the type of provision that should be ordinarily available across York will help to ensure equity in decision making about when a child or young person might need higher level provision through an EHC assessment and possible an EHC Plan, and the distribution of Element 3 funding to schools, Colleges and settings.
Expectations of all settings in York
All settings must apply the principles underpinning the SEND Code of Practice (2014) and have regard to the Equality Act (2010).
The principles outlined in the SEND Strategy, 2021-25, York SEND Outcomes Framework and the SEND Code of Practice should be applied in all settings in York throughout the different ages and stages of a child and young person’s learning journey.
Key Principles:
• The voice of children and young people is central in decision-making
• Effective partnership with parents and carers is built-in in all settings to inform decision-making and support for children and young people
• Regular cycles of assess, plan, do and review are used to ensure that all children and young people with SEND are making progress towards agreed outcomes
• Transitions are carefully planned at all ages and stages so there are no surprises for children and young people, parents and carers and professionals
• All interventions should help the child or young person to develop as much independence as possible
• Education is close to home, wherever possible
• A commitment to early intervention and prevention to tackle any potential barriers to achieving good outcomes
• A commitment to work together so that children and young people with SEND feel safe and valued
York SEND Outcomes Framework
• I am healthy
• I have choice and am heard
• I am safe
• I achieve my goals
• I am included
• I can overcome challenges or difficulties on my own or with support
• I am becoming independent
Quality First Teaching
The Code of Practice says that every teacher is a teacher of SEN. High quality teaching is effective for all children and young people. Through delivering quality first teaching settings are implementing the graduated response.
Teachers know their pupils and will notice when a pupil isn’t flourishing. The Ordinarily Available Provision is about simple additions, adjustments or changes that a teacher can put into place to adapt their teaching and remove any potential barriers to learning for the pupils in their care. For example, a simple adaptation may offer more structure, or more reassurance, or ensure information is presented in a way that avoids common confusion. These strategies will enable teachers to ‘adapt’ their teaching to respond to the strengths and needs of all pupils (Teacher Standard 5).
For the majority of pupils with SEND, diagnosis is less helpful for teaching and learning than determining the pupils’ educational needs.
“Pupils want support to help them do well, but they often experience a system which is more interested in asking “what is wrong with you?” than “how can we help?”. Children told me that they find labels marginalising; they are often accompanied by a sense that each label leads to a drop in ambition. We need to move away from diagnostics, labels, and processes and towards a system of practical help focused on achieving outcomes.”
(Dame Rachel de Souza, Beyond the labels: A SEND system which works for every child, every time, 2022)
The Ordinarily Available is a framework that will help all pupils to flourish and learn. It is grounded in the teaching standards, which provide the minimum expectations of high-quality teaching across all schools. This framework for inclusive teaching is underpinned by adaptive teaching and the work of SEND champions in York’s schools.
The expectations of any teacher are that:
- They have high expectations for all children and young people
- They create and maintain effective relationships and create safe learning environments for all children and young people
- They manage the learning environment so that it is inclusive and meets the needs of all pupils
All teachers will:
- Match pedagogy to the needs of the pupils
- Implement adaptations, supports and scaffolds
- Model new learning and consistent expectations
- Focus on helping pupils to understand how they learn best (metacognition)
- Focus on developing speech, language and communication
- Use information from assessment to inform their planning
- Create and maintain a calm and collaborative climate for learning
- Implement reasonable adjustments to meet the needs of children with identified special educational needs and/or disabilities
Use of the Education Endowment Foundation (EEF) ‘five-a-day’ principle supports teachers to develop quality first teaching which improves provision and outcomes for pupils with SEND.
**The ‘Five-a-day’ principle: High quality teaching benefits pupils with SEND**
1. Explicit instruction
2. Cognitive and metacognitive strategies
3. Scaffolding
4. Flexible grouping
5. Using technology
The research done by the EEF stresses the importance of moving beyond a narrow focus on the four broad areas of need described in the SEND Code of Practice. The four broad areas of need are as follows:
- Communication and interaction
- Cognition and learning
- Social, emotional and mental health needs
- Sensory and/or physical
These needs are often inter-related for individual children and young people and it is important to consider the impact of the interplay between them when planning provision to meet an individual pupil’s needs.
Teachers need to understand the individual characteristics of pupil’s needs and how these relate to the classroom environment and the content of what they are teaching. This is an important principle in delivery of ordinarily available as it means understanding the specific barriers to learning that an individual child faces and identifying what adaptations can be made to allow them to thrive.
**Recommended resources and services:**
- Special Educational Needs in Mainstream Schools, Guidance Report (educationendowmentfoundation.org.uk/education-evidence/guidance-reports/send)
- The City of York SEND Learning Support Hub
- York Parent Carer Forum
- City of York SENDIASS
- City of York Educational Psychology Service
- Early Talk for York
- The Wellcomm Communication Toolkit
- Pathfinder Teaching School Hub – Adaptive teaching and SEND Champions programmes
- Communication Friendly Audit (Haxby Road ERP Resource)
- NASEN resources
- How to create autism friendly classrooms – David Burns
- The ADHD Foundation - adhdfoundation.org.uk
Examples of approaches, strategies and reasonable adjustments that can be used in mainstream (these are in addition to the universal aspects of quality first teaching)
These examples are not prescriptive and are not designed to be an audit of provision in individual schools/classrooms but are included as suggestions of best practice locally and nationally.
Cognition and Learning - Specific Learning Difficulties (SpLD)
Quality First Teaching:
- Differentiation of literacy and numeracy tasks to support learning outcomes, e.g. listening and discussing rather than reading and writing, use of assistive technology, etc.
- Alternative multi-sensory activities to enhance and support learning
- Use of hands-on classroom learning aids (e.g. subject specific word mats, word lists colour coded by category, writing frames, spellcheckers, specialist dictionaries, number lines, Numicon, ICT, etc.)
- Use of reading texts matched to age and interest as well as reading level
- Consideration of accessibility of learning materials in terms of readability, density of text, size and choice of font, layout, overlays, coloured paper, appropriate use of illustrations etc.
- Reduced background noise and distractions
- Support to sequence tasks and instructions within class e.g. task strips
- Extra time for processing, speaking and listening
- Support for homework and to ensure that tasks are clearly recorded including use of ICT
- Use of teaching strategies that develop the independent learning of the CYP
**SEN support**
- An assessment of child’s SpLD leading to an appropriately targeted intervention programme planned in partnership with the child and their family and as advised by other professionals (where involved) Recommended standardised assessment tools include the York Assessment of Reading Comprehension (YARC), Dyslexia Portfolio, Wechsler Individual Achievement Test III (WIAT) for teachers
- Classroom support to develop literacy and numeracy skills and generalisation of skills taught as part of individual/small group programmes
- The use technological aids e.g. such as reader pens or apps
- Time limited proven interventions matched to pupil need and delivered by suitably trained staff
- Some use of small group or time limited 1:1 programmes planned by the teacher and delivered by a TA to address specific difficulties; reinforced by appropriate ICT on phonological awareness, phonics including letter sounds and blending, sight vocabulary, reading strategies, comprehension and inference skills, letter formation, handwriting, spelling, sentence formation, grammar, writing/composition skills, study skills, etc. as appropriate and using evidence-based interventions programmes
- Assess, Plan, Do, Review cycle monitors progress from assessed baselines; provision is regularly reviewed and adjusted in line with progress over a sustained period (at least 2 terms) in partnership with parents/carers and CYP
**Cognition and Learning – Moderate Learning Difficulties (MLD)**
**Quality First Teaching:**
- Learning reflects starting point and agreed next steps with learning broken down into smaller achievable steps
- Tasks set are related to the child’s everyday experience with an emphasis on direct experience or preferences
- Range of practical activities including appropriate use of ICT
- Extra time for responses to questions, contributing to class discussions and to complete activities
- Alternative ways to record learning, e.g., oral, photographic, video, highlighting text, mindmaps etc.
- Cueing and reinforcing children’s listening/attention
- Checking understanding and reinforcing as required through repetition, rephrasing, explaining & demonstration (what the finished product looks like)
- Immediate feedback/live marking
- Use of classroom learning aids (e.g. subject specific word mats, writing frames, number lines, ICT, etc.)
- Use of topic maps to link current learning to previous learning
- Explicit teaching to support generalisation of skills
- Use of peer support
- Visual cues to support understanding including the use of objects, pictures, signs, symbols, models, examples, ICT
- Modelling and teaching study skills (e.g. having a plan to complete the task, problem solving skills, etc.)
- Physical environment that is organised and well-defined and labelled using written and visual cues
- Use of teaching strategies that develop the independent learning of the CYP
- Support for homework and to ensure that tasks are clearly recorded including use of ICT
**SEN support**
- An assessment of child’s learning needs leading to an appropriately targeted intervention programme planned in partnership with the child and their family and as advised by other professionals (where involved) Recommended standardised assessment tools include the York Assessment of Reading Comprehension (YARC), Dyslexia Portfolio, Wechsler Individual Achievement Test III (WIAT) for teachers
- Individual/small group programmes for language, literacy and numeracy skills, pre-teaching and reinforcing curriculum learning, study skills etc.
- Classroom support to modify tasks as agreed by class teacher where required and to generalise skills taught as part of individual/small group programmes
- Assess, Plan, Do, Review cycle monitors progress from assessed baselines; provision is regularly reviewed and adjusted in line with progress over a sustained period (at least 2 terms) in partnership with parents/carers and CYP
Communication and Interaction – Speech, Language and Communication Needs (SLCN)
Quality First Teaching:
- Range of strategies are routinely available to collect pupil voice e.g. Talking Mats
- Reference to and advice implemented from Universal and Targeted advice sheets: yorkhospitals.nhs.uk/childrens-centre/your-childs-hospital-journey/therapy-services/slt-slc-advice-sheets/Cueingandreinforcingchildren’slistening/attention
- Establish communication friendly strategies to facilitate communication and to assess learning:
» Support what is said by visuals/picture including objects, pictures, signs, symbols, models, examples, etc.
» Get the CYP’s attention
» Allow time to process what has been said
» Allow time to respond
» Differentiation of teacher language, i.e., use of key vocabulary, short sentences with simple grammar, chunking/sequencing of concepts
» Differentiation of tasks, use of task planners/schedules
» Differentiated use of questions
» Use of word webs, concept/ topic maps to illustrate/reinforce key language
» Modelling, prompting and reinforcing children’s language, such as providing a framework or model for a response
» Checking understanding and reinforcing as required through repetition, rephrasing, explaining and demonstration
» Physical environment that is organised and well-defined and labelled using written and visual cues
» Use of appropriate areas of the room to support speaking and listening skills
- Apply personalised advice from SaLT (where a SaLT assessment has taken place)
- Schemes of work are differentiated including content from earlier years as appropriate.
• Use of peer support
• Support for homework and to ensure that tasks are clearly recorded including use of ICT
• Use of teaching strategies that develop the independent learning of the CYP
• Use of schedules and routines, support for transitions including unexpected change
• Opportunities for direct experience and practical activities including use of ICT
• Opportunities for pre-teaching, overlearning and reinforcement and generalisation of key language
• Opportunities to develop speaking and listening skills, social skills and relationships with other children e.g. Talk Boost, Time to Talk, Talking Partners, Narrative groups, Socially speaking, Talkabout, as well as Circle of Friends
• Access to a quiet, distraction-free environment in which to deliver intervention groups
• Awareness of implications of SLCN on basic skills i.e. numeracy, reading, writing and use of relevant High Quality Teaching to support learning as per MLD section
• Environmental audit for example using the resources provided by the Communication Trust or using the Haxby Road outreach support audit tool
• Consider speech sound development when delivering phonics
**SEN support**
• An assessment of child’s SLCN leading to an appropriately targeted intervention programme planned in partnership with the child and their family and as advised by other professionals (where involved). The WELCOMM programme is a recommended assessment tool for Early Years. The British Picture Vocabulary Scales III (BPVS) is a test of receptive vocabulary.
• A range of activities available to support communication and interaction and extend communication skills supported by adults, such as turn taking games
• Individual/small group programmes for language, literacy and numeracy skills, pre-teaching and reinforcing curriculum learning, study skills, etc., with suitably experienced staff such as ELKLAN trained TA with access to ELKLAN Language Builder manual
• Classroom support to modify tasks as agreed by class teacher where required and to generalise skills taught as part of individual/small group programmes
• Assess, Plan, Do, Review cycle monitors progress from assessed baselines; provision is regularly reviewed and adjusted in line with progress over a sustained period (at least 2 terms) in partnership with parents/carers and CYP
**Communication and Interaction including ASC (Autistic Spectrum Condition)**
**Quality First Teaching:**
• Range of strategies are routinely available to collect pupil voice e.g. Talking Mats
• Teacher language is explicit, unambiguous and avoids non-literal language and inferred meaning
• Clear and positively stated rules and expectations for behaviour are modelled by all adults
• Visual and practical supports e.g. Visual timetables and lists.
• Awareness that a CYP may need more time to process language and complete tasks
• Structured and consistent routines reinforced by visual timetable, support for transitions and for managing unpredicted changes to the routine
• Explicit teaching of comprehension, concepts, inferential understanding, perspective taking, empathetic thinking and generalisation of skills
• Explicitly naming emotions in situ, explaining the and thoughts of others and explicitly teaching of appropriate social interaction skills
• Managing, supporting and differentiating collaborative learning (e.g. opportunities to work alongside/outside of a group as appropriate)
• Providing greater structure for open ended/creative activities and those that rely on inference (e.g., choice from options instead of prediction, writing about actual experience instead of imaginative writing, etc.)
• Use reading to support understanding of characters’ emotions, thoughts, intentions, actions and social interactions
• Explicit teaching about social awareness and social skills and how to make and manage friendships (also about sex and relationships for older young people)
• Use positive behaviour management strategies to unpick situations that have gone wrong, being aware of the impact of social communication and emotional regulation difficulties, literal thinking and sensory difficulties
• Use of an individual workstation, task strips and schedules for structured teaching and independent working
• Physical, sensory and/or learning breaks across the school day and provision of a quiet space/time out at times of heightened anxiety
• Awareness of and planning to manage sensory sensitivities, issues, e.g., light, noise, texture, temperature, etc.
• Use relevant Quality First Teaching to support learning as per SLCN and MLD sections
• Visual aids and prompts (e.g. personal visual timetables, now/next cards etc.)
• School have an Autism Champion who regularly attends the Autism Champion meetings run by CYC STT for Autism
• Use of teaching strategies that develop the independent learning of the CYP
• School trips which are planned well in advance to prepare the young person for the trip and have a comprehensive risk assessment which takes into consideration the needs of the CYP
• All staff in school have completed Making Sense of Autism or Good Autism Practice training from Autism Education Trust (AET) or equivalent relevant autism training
• Use of ‘Graduated pathway to support attendance’
• Other pastoral interventions should include:
» Meeting and Greeting (Soft landing and “Down” time at end of day to support transition to and from home.)
» Circle Time
» Peer mentoring
» Buddy Systems
» ELSA support
» Lunch clubs
» School Counsellors
• Staff make use of a wide range of resources, including those produced within the LA, to inform their inclusive practice. e.g. Communication tool kit
**SEN support**
• An assessment of child’s needs leading to an appropriately targeted intervention programme planned in partnership with the child and their family and as advised by other professionals (where involved). The SCERTS programme is recommended as an assessment tool using ‘can do’ statements to identify areas of strength and areas for development
• Individual/small group programmes with staff who have knowledge/skills to address specific needs to support social communication, language skills, emotional regulation, self-awareness etc as part of assess, plan, do, review cycle (e.g. Circle of Friends, self-esteem group, Socially Speaking, 5 Point scale, feelings board, Zones of regulation, Lego therapy, musical interaction and recognition / understanding of emotions, including visual supports). Group work to be planned and tailored to meet identified need and includes good role models.
• Adjusted, flexible timetable introduced in negotiation with pupil, parents and staff e.g. temporary withdrawal from some activities such as assemblies, specific lessons and/or provide needed quiet time at periods throughout the day to support regulation of emotions.
• Use of key-working approaches/mentor to ensure CYP has trusted adult to offer support for both self & mutual regulation during vulnerable times.
• Classroom support to develop communication and interaction skills and generalisation of skills taught as part of individual/small group programmes
• Use of appropriate ICT to reinforce skills
• Support for unstructured parts of the day to provide routines and support for social interaction
• All teachers and TAs have completed Good Autism practice training from Autism Education Trust (AET) or equivalent relevant training
• Use of specialist interests of CYP to help engage and motivate in lessons
• Records of the CYP’s emotional regulation are updated daily and analysed to consider frequency, duration as well as triggers/patterns to help understand underlying causes/triggers
• Individual support for pre and post teaching
• Assess, Plan, Do, Review cycle monitors progress from assessed baselines; provision is regularly reviewed and adjusted in line with progress over a sustained period (at least 2 terms) in partnership with parents/carers and CYP
Social, Emotional and Mental Health Needs (SEMH)
High Quality Teaching:
- Range of strategies are routinely available to collect pupil voice e.g. Talking Mats, Person Centered Planning tools
- Developing a positive relationship and connection with all children and young people
- Use of trauma-informed behaviour policies which recognise the importance of offering a secure base (e.g. trusting relationships, felt safety, teaching regulation skills, focusing on repairing, understanding the function of behaviour). See CYC EPS Trauma Informed Behaviour Policies for details (search for CYC Trauma Informed Behaviour Policy Guidance November 2019 at Yor-OK.org.uk)
- Effective adult language that is appropriate to the child’s developmental stage
- Clear routines, boundaries and consistency of approach by all staff working with the child
- Identification of co-occurring SEND e.g. SpLD or SLCN and the additional barriers this presents
- Managing the immediate environment to create nurturing classroom and reduce distraction and minimise potential for conflict or disruption
- Interventions should include:
» Wellbeing based approach
» ELSA provision Alternatives to the start and ends of the day
- Emotion Coaching (understanding and validating feelings, setting limits and problem solving)
- Supporting behaviours that challenge through:
» Prioritising relationships and understanding what behaviour may be communicating
» Positive reinforcement and praising appropriate behaviour of nearby pupil (proximity praise)
» Tactical ignoring of low level behaviour
» Non-verbal signals e.g Moving closer
» Ask and/or restate relevant rule/routine/behavioural expectation
» Distract onto desirable task
» Modify or change activity
» Use of humour
» Modify groups for any joint activity
» Use the language of choice, remind of consequences ('If you choose to...then...')
» Take up time, clear choices, schedules and consistent routines and boundaries
» Effective adult language, e.g., 'I… when… because', 'I am looking for…', 'when/then' statements
SEN support
- An assessment of child’s SEMH needs (including records of the CYP’s emotional regulation updated daily and analysed to consider frequency, duration as well as triggers/patterns to help understand underlying causes/triggers) leading to an appropriately targeted intervention programme planned in partnership with the child and their family and as advised by other professionals (where involved) including planned responses to behaviour as part of a positive behaviour programme
- Modifications to environment eg access through a different entrance, pass to access different toilets
- Individual/small group programmes to support attention and concentration skills, emotional literacy, anxiety management, self-esteem, turn-taking and cooperation skills, social interaction skills, etc as part of assess, plan, do, review cycle
- Classroom support to prompt attention and repeat and reinforce class teacher’s instructions and routines, develop social and emotional skills and generalise skills taught as part of individual/small group teaching, support agreed opt out strategies in situations that may otherwise escalate
- Support for executive functioning skills (See Quick Guide from CYC Educational Psychology Service)
- Personalised timetable introduced in negotiation with the CYP, parents/ carers and staff. This may include temporary withdrawal from some activities e.g. assemblies, specific non-core lessons.
- Alternative curriculum opportunities at KS4 e.g. vocational/college/work placements
- Personalised reward systems known to all staff in school implemented consistently across the curriculum
- Provide meet and greet arrangements, and support for unstructured parts of the day to provide routines & support for social interaction
- Regulation activities integrated through the day (e.g. rhythmic/repetitive activities, movement, sensory integration)
- Activities that are soothing, grounding and regulating e.g. play, dance, colouring, gardening
- Allocation of an ‘additional attachment figure’ with opportunities for check-in time and approaches to support being ‘kept in mind’
- A ‘safe space’ in school, identified in collaboration with the child/young person
- Clear processes for home-school communication to share information and support consistency of approach/understanding
- Implementation of strategies advised by the Effective Strategies document (gov.uk/government/publications/mental-health-issues-affecting-a-pupils-attendance-guidance-for-schools)
- Assess, Plan, Do, Review cycle monitors progress from assessed baselines; provision is regularly reviewed and adjusted in line with progress over a sustained period (at least 2 terms) in partnership with parents/carers and CYP
Physical and Sensory: D/deaf Support
High Quality Teaching:
- Teacher discussion with the child about their preferred access arrangements
- Consistent, effective use and management of audiological equipment in school
- Implementing advice from the Qualified Teacher of the Deaf and seeking further advice as needed to meet the needs of the child
- Maintaining skills and understanding about supporting deaf children through accessing training e.g. training from the Deaf and Hearing Support Team
- Visual aids to support understanding and access to the curriculum. These may include: objects, pictures, gesture, signs, symbols, visual timetable, models, examples, ICT, demonstrations, use of subtitles or transcripts, visual/written instructions for homework etc.
- Adaptations to the physical environment: background noise is reduced; good room acoustics and seating plan is used to optimise listening and visual access to lip patterns
- Providing an accessible environment where the child can access language and cognitive ideas
- Modified language and scaffolding of subject-specific vocabulary as needed
- Extra time for responses to questions, contributing to class discussions and activities
- Cueing in and reinforcing children’s listening/attention
- Management of turn taking in classroom discussions with repetition of key points made by others
- Teacher repetition of class contributions
- Checking understanding and reinforcing by repetition, rephrasing, explanation/demonstration
- Opportunities for pre-teaching and consolidation of language
- Opportunities for social interaction which may need supporting/scaffolding.
- Good role models of language, communication and social behaviour from adults and other children
- Use additional support staff and note takers to give equal access to learning if appropriate
- Teacher manages the work of teaching assistants and provides individualised intervention work for teaching assistants to deliver, as appropriate
SEN support
- Regular liaison with a qualified Teacher of the Deaf to support student and school staff to understand hearing loss and promote independent use of audiological equipment through training, regular checks and monitoring
- Use of subtitles
• Individual/small group programmes to develop the child’s language, social emotional needs and access to the curriculum
• Individual/small group programmes reinforced by appropriate language activities, literacy and numeracy skills, pre-teaching and reinforcing curriculum learning, study skills, etc
• Pre and post teaching of phonic skills or other curriculum subjects as needed
• Individualised support to implement recommendations from support services e.g. QToD, SLT etc.
• Assess, Plan, Do, Review cycle monitors progress from assessed baselines; provision is regularly reviewed and adjusted in line with progress over a sustained period in partnership with parents/carer CYP and QToD
**Physical and Sensory: Vision Support**
**High Quality Teaching:**
• Class/subject teachers to take responsibility for acting upon personalised educational advice supplied by Qualified Teacher of VI around individual child’s needs
• The environment is planned taking into consideration the physical and sensory needs of all CYP eg playground and classroom layouts, displays, signage and lighting
• All staff and supply staff, visiting speakers, sport, drama groups etc. are informed of child’s visual needs at the planning stage of activities.
• Support for inclusion with extra-curricular activities, modified homework resources and newsletters
• A range of multi-sensory tasks, teaching styles and support for the alternative ways of recording work
• Provision of recommended generic specialist assistive technology such as: iPad/tablet/laptop/eReader/scanner and specialist software. e.g., screen sharing packages and magnification
• Clear classroom routines supported by cues, e.g., objects of reference, signs, symbols, gestures, signing to support language, photographs, visual timetables
• Careful consideration of accessibility of learning materials in terms of readability, density of text, size and choice of font, layout, overlays, coloured paper, appropriate use of illustrations, clutter free diagrams, all modified resources onto A4 paper only
• Provision of consumables, e.g., specialist paper, matt laminates. Appropriate black fibre tipped pens/dark leaded pencils, exemption from learning a cursive script. Use of a sloping desk or board
• White/interactive board displays should be clear for all CYP, a dark pen should be used when writing on the board with teacher verbalising
• Seating at proximity to interactive white board/learning facilitator/point of learning
• Clear and tidy classroom with good organisation and labelling of resources
• Visual fatigue rest breaks built into the school day and a shaded outdoor area as appropriate
• Use of teaching strategies that develop the independent learning of the CYP
**SEN support**
• Consideration of timetabling and location of rooms and appropriate workstation for 1:1 instruction
• Assistance with access to specialised equipment eg laptops, cameras, speech/large print software or talking equipment
• Teaching assistance is targeted towards the supply of teaching and learning resources e.g. the preparation/resourcing of suitable visual materials. coordinating the adaptation of resources, support with use of equipment in specific subjects (e.g. Science, Technology, Maths, and ICT) ensuring advised seating arrangements and access to interactive white board
• Sufficient curriculum time allocated for the pre-teaching/revision of skills, completion of task, and teaching the additional curriculum e.g., touch typing, lip reading, independent living skills, mobility, social skills
• Planning shared with Vision Support team to enable resources to be obtained/modified in time for the lesson, differentiation both in quantity and level of work, delivery method through ICT, sign, lip reading, modified worksheets, practical activities
• Regular liaison with a qualified Teacher of VI to support student and school staff to understand vision loss and promote independent use of equipment through training, regular checks and monitoring
• Oversight for PE, unstructured times in the playground and when moving around school, to monitor safety, interpretation of instructions and use of equipment
• Assess, Plan, Do, Review cycle monitors progress from assessed baselines; provision is regularly reviewed and adjusted in line with progress over a sustained period (at least 2 terms) in partnership with parents/carers and CYP
**Physical and Sensory: Physical Difficulty (PD)**
**High Quality Teaching:**
• Reasonable adjustments to the school environment and building adaptations including accessible toilets, rise and fall changing beds ramps, height adjustable furniture, grab bars, door handles, lifts, etc.
• Class/subject teachers take responsibility for acting upon relevant information around individual students including:
» Well-organised classrooms with clear route ways
» Appropriate seating arrangements in relation to the teacher/teaching focus
» Adapting and modifying classroom tasks that require sustained and/or precise fine and/or gross motor skills
» A range of alternative equipment may be useful - chunky pencils, adapted scissors, pencil grips, enlarged lined paper/frames especially maths for laying out etc.
» Planning may need to include rest breaks or movement breaks
» Extra time for completion of tasks
» The use of assistive ICT including (on screen keyboards, Clicker, predictive text)
» Access to medical support, if appropriate
» Careful consideration of timetabling and location of rooms
• Schools support the use of low-tech aids or equipment (basic word processors, communication passport)
• Modification of activities for P.E and all movement-based learning, practical activities, use of equipment as appropriate
• Optimal seating position including correct size furniture and additional resources such as seating wedges and writing slopes
• Support for accessing and demonstrating learning within the classroom
• Ensuring safe movement in the classroom and around the school
• Trained support for moving and handling may be required as well as a Moving and Handling Plan
• Accessible toilet/hygiene suite
• Toilet passes
• Support for unstructured parts of the school day
• Support for wider whole school activities and social opportunities
• School trips which are planned well in advance and take into consideration the needs of the CYP
• Use of guidance within relevant policies
» Educational Visits Guidance
» Intimate Care
» Managing Medicines Guidance
» Supporting Children with Physical Disability and Medical Needs
**SEN support**
• Individual programmes of physical and occupational skills as advised by relevant specialists Input, where appropriate (e.g. Specialist Nursing Teams and Regional Specialist medical Teams (e.g. Renal, Neuro muscular clinic. Oncology etc), SALT, OT, Physio)
• Providing support for self-help, e.g., going to the toilet, dressing/undressing, lunchtimes, etc.
• Assistance with manipulating equipment in specific subjects especially science, DT, Maths and ICT
• Assess, Plan, Do, Review cycle monitors progress from assessed baselines; provision is regularly reviewed and adjusted in line with progress over a sustained period (at least 2 terms) in partnership with parents/carers and CYP
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Publication date: October 2023
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Improve Nitrogen Efficiency
As Nitrogen Costs Soar There Is Much You Can Do.
By Paul W. Syltie, Ph.D.
We live in unprecedented times, with rapidly rising energy costs, erratic weather patterns, and volatile commodity prices as this generation has never seen before. The farmer is especially faced with fertilizer prices escalating at a phenomenal rate, egged on in particular by the cost of natural gas for nitrogen fertilizer synthesis.
Let me take a few moments and review some of the ways that you can economize on nitrogen use during these difficult times, and save as much as possible on this crucial crop input that in places has reached $0.90 per pound of actual nitrogen. A few changes in your farming program could mean thousands of dollars in savings for this year’s season.
Remember: many soil fertility specialists (myself for one) do not agree on how much nitrogen fertilizer is needed to raise a crop. The topic is fraught with many uncertainties: how much rain will fall to potentially leach nitrogen or exclude air from the profile to encourage denitrification, how compact is the soil texture, rainfall, soil organic matter, and other items — and so on. Realize also that not all nitrogen sources are equal: nitrate-N does not give the same response in the plant as ammonium-N.
Choose the Correct Crop
High nitrogen using crops, such as corn, require about 240 lb/acre of nitrogen for 150 bu/acre; a 50 bu/acre wheat crop needs about 90 lb/acre of nitrogen, and bermudagrass about 300 lb/acre of nitrogen for an 8 ton/acre crop. On the other hand, legume crops like soybeans, while requiring about 250 lb/acre of nitrogen for a 50 bu/acre crop, obtain most of their needs from the air through symbiotic nitrogen fixation. This nitrogen is free, and if it can be captured for plant use by *Rhizobium* bacteria, and other nitrogen-fixing bacteria, algae, and fungi, it is the farmer’s most cost effective way of saving fertilizer dollars.
The same can be said for beans, peas, alfalfa, clover, and all other legumes. Mixed grass-legume pastures and hay-
Fertilizers, especially nitrogen, are becoming increasingly expensive and need to be used more efficiently.
See Improve Soil Biology, page 2
Understanding the Phosphonates
By Peter Landschoot, Ph.D., and Joshua Cook
[Abridged from the Dept. of Crop and Soil Sciences, The Pennsylvania State University]
In the broadest sense, the term phosphonate describes any compound containing a carbon to phosphorus bond. Some examples of phosphonate compounds include organophosphate insecticides, antiviral medicines, flame retardants, and some herbicides. Phosphonate compounds also occur naturally in some lower life forms, including protozoa, mollusks, coelenterates, and oomycete fungi.
For this article, we use the term phosphonate to describe only those products made up of the salts and esters of phosphorous acid (HPO(OH)$_2$). Phosphorous acid is a solid substance that can be purchased through chemical supply companies. When mixed with water, it forms a strong acid called phosphonic acid. This acid is too strong to be used on plants and must be combined with other chemicals to raise the pH of the solution and decrease the potential for plant injury.
One means of reducing the acidity of phosphonic acid is to neutralize it with an alkali salt; typically potassium hydroxide (KOH). The resulting solution contains mono- and di-potassium salts of phosphorous acid (often referred to as potassium phosphite), and is the active
See Phosphites Have Fungicidal, page 3
Improve Soil Biology: Save Nitrogen
Continued from page 1
lands give excellent species combinations because the legume will supply the nitrogen for the grass, and normally eliminate the need for nitrogen fertilizer applications.
**Improve Soil Biological Activity**
Increasing the number and activity of soil microorganisms is an essential means of economizing on nitrogen use. By returning fresh crop residues, manure, or compost to the soil — most any organic material will do — the resident bacteria, fungi, actinomycetes, protozoa, mites, and other beneficial but unseen organisms will thrive, especially along root surfaces. There they feed upon the organic carbon compounds and convert nutrients into available forms, besides synthesizing antibiotics, vitamins, growth regulators, and other beneficial growth compounds.
Especially important are the symbiotic *Rhizobium* bacteria that fix atmospheric nitrogen, but other nitrogen fixing symbionts are common in soils as well: certain fungi, algae, and especially cyanobacteria. This last group fixes both carbon and nitrogen from the atmosphere, so is highly important in the soil’s nutrient economy.
The farmer’s goal should be to raise organic matter levels to improve overall soil physical, chemical, and microbiological properties. A virgin soil contains very little nitrate but high organic matter levels, so to emulate this natural system one ought to increase organic levels and allow the natural release levels of organisms to provide plants their needs on demand. When the microbes are generating and releasing nitrogen the fastest during warm and moist conditions, the plants are growing at their maximum rates as well. Plant uptake is proportional to microbial release.
**Vitazyme for Nitrogen Economy**
The summer 2007 edition of *The Vital earth News — Agricultural Edition* discussed an editorial written by Gordon Berg, editor of *Farm Chemicals* (October, 1983), who stated, “Fertilizer people are nuts if they don’t capitalize on the new technology [using growth regulators]”. While he was referring to using higher nitrogen rates coupled with growth regulators, recent research has proven that Vitazyme, produced by Vital Earth Resources, can greatly improve the efficiency of nitrogen use. The applications are highly cost-effective. Farmers who do not capitalize on this new technology are indeed foolishly repeating the old adage that “more is better” to get higher yields, but with this material “less is better!” Note the accompanying graph below from a 2007 corn study in southern Ontario.
![Graph showing nitrogen yield comparison]
*A corn study in Canada, using 60 and 120 kg/ha nitrogen with and without Vitazyme, proved that 60 kg/ha with Vitazyme yielded nearly as much grain as the 120 kg/ha rate without it.*
**Accept Lower Yields?**
Yes, that is what I said. Would you accept somewhat lower yields if your bottom line was greater? I think you
See Improve Nitrogen Use, page 7
---
Can the U.S. Be Self-Sufficient in Food?
Indeed it can: words from Kirkpatrick Sale
By Kirkpatrick Sale
[Excerpts from Human Scale, Coward, McCann, and Geoghegan, New York, 1980, page 237]
Most areas of the country were self-sufficient for the greater part of our history, indeed until quite recently. A citizens-action group called Vermont Tomorrow, for example, has shown that Vermont was self-sufficient at the turn of this century, producing its own fruit, vegetables, meat, grain, and dairy products, and by today’s dietary standards supplied more than adequate amounts of everything except citrus fruits, though it had plenty of vitamin C from tomatoes and berries. Today, however, it is dependent on the large agribusiness networks for almost all its foodstuffs — even for milk — though dairy farming is the leading agricultural enterprise in the state....
Self-sufficiency at an even smaller level is also feasible. Although the standard figure is that it takes an acre to feed four people, the Department of Agriculture has printed a study indicating that an acre of land can provide full garden crops for approximately 55 people, and the Institute for Local Self-Reliance in Washington estimates an acre could feed between 40 and 70 people, even more if certain intensive agricultural methods are followed.... That means that a community of 5,000 people would need only about 100 acres, or less than a sixth of a square mile, to grow its needed food.
Nor should cities be excluded from considerations of self-sufficiency. The experience of a dozen different organizations has proven that urban agriculture is not only possible but comparatively simple and successful, within certain obvious constraints. □
[What Sale did not mention in his book is that cities in China for many years had green belts surrounding their populace, producing most of the vegetables, fruits, and grains needed for teeming millions.]
ingredient in Alude, Magellan, Vital, Vital Sign, Resyst, and other phosphonate fungicides. Potassium phosphate is also the main ingredient in several phosphite fertilizer products, including K-Phite (0-29-26), Ele-Max Foliar Phosphite (0-28-26), and Nutri Phite P + K (0-28-26).
Phosphonate fungicides and fertilizers should not be confused with phosphate-derived fertilizers such as ammonium phosphate and triple super phosphate. Even though phosphonate and phosphate compounds are very similar chemically, they differ significantly in how they act in plants and fungi.
Phosphonate fungicides and fertilizers are absorbed by plants and incorporated into cells as phosphite ions \((\text{H}_3\text{PO}_3^-)\). The fact that this ion has one less oxygen atom than phosphate means that it does not act in the same manner as phosphate in plants. Although the phosphite ion can be transported into plant cells, it does not appear to be involved in any phase of phosphorus metabolism (ATP production, photosynthesis, or respiration). Over time, phosphonate fertilizer can be converted by bacteria to phosphate in soil, where it can be taken up and metabolized by plants. This conversion can take several weeks and is not thought to be a very efficient means of phosphorus delivery to plants when compared with phosphate fertilizers. Phosphite ions have direct fungitoxic effects on certain plant pathogens, a benefit that is not found with phosphate.
Fungicidal properties of phosphonates were discovered by scientists at Rhone-Poulenc Agrochemical Laboratories in France during the 1970s. These scientists were screening various chemicals for fungicidal properties when they discovered that phosphonate salts were effective in controlling diseases caused by a group of fungi known as the oomycetes (\textit{Phytophthora}, \textit{Plasmopara}, \textit{Pythium}, and others). Soon after this discovery, fosetyl-Al was formulated under the trade name Allette, and released for commercial use.
Phosphonate fungicides possess significant symplastic ambimobility, or movement in both xylem and phloem. Translocation in phloem allows the fungicide to move from leaf tissues to the crowns and roots. Because of this unique property, phosphonates are viewed as excellent fungicides for controlling root rot diseases such as \textit{Pythium} root rot and dysfunction caused by various \textit{Pythium} species.
**Mode of Action**
The mode of action of phosphonate fungicides has long been a source of controversy and mystery. Some scientists believe that most of the fungicidal effects of these products are directly on the fungal pathogen; whereas others suspect that both a direct effect on the fungus and a stimulation of natural host defenses combine to prevent disease.
In a study using three \textit{Phytophthora} spp., Australian scientists found that phosphonate fungicides interfere with phosphate metabolism by causing an accumulation of two compounds, polyphosphate and pyrophosphate, in fungal cells. Accumulation of these compounds is thought to divert ATP from other metabolic pathways, resulting in a decrease in fungal growth.
More recently, phosphonate fungicides were found to inhibit several key enzymes needed for growth and development in \textit{Phytophthora palmivora}. These studies suggest that the mode of action is at least partially, if not mostly, direct inhibition of the fungus. Also, the mode of action of phosphonate fungicides appears broad enough so that the potential for rapid resistance development is not as strong as with some other systemic fungicides.
Research has also revealed that when certain species of \textit{Phytophthora} infect certain plant species treated with phosphonate fungicides, fungus-inhibiting chemicals called phytoalexins are produced. Very little is known about activation of host defenses in phosphonate-treated plants, but many plant pathologists assume that this is possible, if not likely.
**Fertility Effects**
Findings that phosphonates do not affect phosphorus metabolism or yield appears convincing, but should be tempered by the fact that many of these products have demonstrated improved turf quality. Quality enhancement with potassium phosphate products is probably not due to nutritional effects, as our studies have shown no such improvement with equal amounts of potassium phosphate fertilizer. It remains to be seen what causes turf quality improvement, but one proposed cause may be the suppression of minor, plant debilitating pathogens, such as \textit{Pythium} species.
---
**The Right Perspective**
*When Goliath came against the Israelites, the soldiers all thought, “He’s so big we can never kill him!” David looked at the same giant and thought, “He’s so big I can’t miss!”*
Russ Johnston, *Sales Upbeat*, June 27, 1991.
Lesson 27:
That Indispensable Zinc (Zn)
This lesson we journey to another crucial element for plant growth: zinc. It uses are many by the plant, primarily as an enzymatic co-factor for several enzymes used in energy production, protein synthesis, and growth regulation. It is essential for the development of flower parts and grain and seed production, and a deficit will delay maturity.
Because zinc is not mobile within the plant its deficiency appears mainly on new growth, and the plant requires a constant supply for optimal growth.
Zinc Deficiencies
Deficiency symptoms include short internodes, decreased leaf size, and delayed maturity. See the chart below for detailed symptoms.
Zinc deficiencies are most common on sandy soils low in organic matter, or on organic soils. Land leveling or shaping, and soil erosion which removes topsoil, may lead to zinc deficiencies, oftentimes in spotty and irregular areas of the field; the same is true for most micronutrients.
Deficiencies also can occur in cool, wet weather when root growth and microbial release of zinc are reduced. Uptake of the element decreases as soil pH increases, and when soil phosphorus and iron levels are high.
Cropping sequence will greatly affect zinc availability. Corn or soybeans following sugar beets will oftentimes be deficient in zinc. Crop responses to zinc fertilizer applications vary considerably, as shown in the table below.
Correcting Deficiencies
One should test the soil for zinc, along with other essential nutrients, and be sure that there are at least 10 lb/acre of available zinc; 20 lb/acre is even better. Soil applications before planting are usually preferable to correct deficiencies, but foliar applications are effective if made early enough, before deficiencies have manifested themselves for very long. Foliar treatments are usually standard with fruit and nut crops, and also with rice. For corn, a foliar spray of 1.0% ZnSO₄ is typical, or 0.25 to 0.5% of a chelated zinc source. For sensitive crops like beans, lower rates are applied.
Soil applications usually range from one to 40 lb/acre of actual zinc for ZnSO₄, or 0.25 to 2.0 lb/acre for chelated zinc.
Sources of zinc include ZnSO₄, ZnO, Zn-Oxysulfates (mixtures of ZnO and ZnSO₄), Zn-EDTA, and organic materials. It is important that the water solubility of the material be high to obtain a good crop response. ZnSO₄ is 100% soluble, but some of the dark-colored granular materials, many
| Crop Response to Zinc |
|-----------------------|
| Alfalfa..............Medium |
| Wheat................Low |
| Clover...............Medium |
| Corn..................High |
| Beans................High |
| Sugar beets..........Medium |
| Grass.................Medium |
| Citrus fruit.........High |
Common Deficiency Symptoms of Zinc
**Legumes.** Small bronze-colored spots on older leaves; as spots increase in size the leaves develop a mottled appearance
**Fruit trees.** Retarded terminal growth (rosetting); narrow leaves with yellow tissue between the veins
**Corn.** Yellow stripes on either side of the midrib, developing first on the lower, older leaves, which a bronze appearance
**Sorghum.** No visual symptoms may appear, but seed production is greatly reduced
of them oxysulfates, have solubilities less than 50% and give poor zinc responses.
As with all of the soil elements, it is important to maintain high levels of microbial activity in the soil to make the nutrient available, since all of the elements go through a microbial conversion process to become available to the plant. The mycorrhizal fungi are especially important because their hyphae reach out from the root to seek out immobile elements — like zinc, copper, manganese, and phosphorus — and transport them back to the roots. Once again, the importance of biological approaches to solving soil fertility problems are seen as appropriate in today's modern agricultural systems.
Zinc deficiency in corn is characterized by light stripes in the upper leaves, and a light coloring in the newly expanding leaves.
Orange trees that are short on zinc show a marked chlorosis of the newly expanding leaves, with green midribs and veins
On occasion zinc may be excessive, such as in this cannabis plant. Note how the newly expanding leaves are chlorotic and misshapen.
See How Much You Learned
It is important to use a zinc fertilizer that is highly soluble in water. T or F
2. The following are zinc deficiency symptoms: a. Yellow stripes on corn leaves; b. Yellow leaves on oranges; c. Red leaves on soybeans
3. Especially important in the uptake of soil zinc are the _____________ fungi.
4. Zinc is vital as an enzyme co-factor for processes of protein synthesis, growth regulation, and energy production. T or F
5. Zinc should be applied to a crop on the basis of _______________ and accurate recommendations.
6. It is possible to get good responses to zinc if a deficiency is detected in the crop, and a foliar application is made soon after. T or F
7. Zinc deficiencies may be expected in the following situations: a. high pH soil; b. high available iron or phosphorus; c. corn following beets.
Answers: 1. T; 2. a; 3. mycorrhizal; 4. T; 5. soil testing; 6. T; 7. a, b, c.
Mineral Levels in Foods Have Plunged!
See how the nutritional values of foods have dropped in 51 years.
By R.A. McCance and E.M. Widdowson
[From www.mineralresourcesint.co.uk]
The information in this article is extracted from "A Study on the Mineral Depletion of the Foods Available to Us As a Nation Over the Period 1940 to 1991". The data used as the basis for this study were published under the auspices of the Medical Research Council and later the Ministry of Agriculture, Fisheries, and Foods and the Royal Society of Chemistry.
In 1927 a study at King's College University of London of the chemical composition of foods was initiated by Dr. McCance to assist with diabetic dietary guidance. The study evolved and was then broadened to determine all of the important organic and mineral constituents of foods. It was financed by the Medical Research Council and eventually published in 1940. Over the next 51 years subsequent editions reflected changing national dietary habits and food laws as well as advances in analytical procedures. The most recent edition, published in 1991, has comprehensively analyzed 14 different categories of foods and beverages.
In order to provide some insight into any variation in the quality of the foods available to us as a nation between 1940 and 1991, it was possible to compare and contrast the mineral content of 27 varieties of vegetable products, 17 varieties of fruit products, 10 cuts of meat, and some milk and cheese products. The results demonstrate that there has been a significant loss of minerals and trace elements in these foods over that period of time. It is suggested that the results of this study cannot be taken in isolation from recent dietary, environmental, and disease trends. These trends are briefly mentioned, and suggestions are made as to how the deterioration in the micronutrient quality of our food intake may be arrested and reversed.
SOME FACTS ABOUT CORN
Scientists believe people living in central Mexico developed corn from a wild grass called teosinte. Teosinte looked very different from our corn today. The kernels were small and were not placed close together like kernels on the husked ear of modern corn. Almost a ton of corn is produced in North America to provide for each citizen of the continent. Its uses are many and incredibly diverse: fabrics used to make your clothing are strengthened by cornstarch. The chickens that laid the eggs often consumed for breakfast were fed corn, as were many of the cows whose various products pervade our society. Many soft drinks and myriads of other artificially sweetened products are laced with generous dollops of corn syrup. The textbooks you study from and the books you check out of the library are bound with cornstarch. The ink used to print them contains corn oil. Ethanol, touted by many as a key component in the battle to reduce greenhouse gas emissions, is made from corn. Corn is also used in such products as glue, shoe polish, aspirin, ink, marshmallows, ice cream, and cosmetics. Some industrial uses of corn include improving household detergents, making "packing peanuts", printer's ink, and "Hydrosorb" (a super-absorbent cornstarch). A bushel of corn fed to different species of food animals produces 5.6 pounds of retail beef, 13 pounds of retail pork, 19.6 pounds of chicken, or 28 pounds of catfish.
www.schnr-specimen-shells.com
Know Your Soybean Growth Stages
By Purdue University IPM Experts
Vegetative and Reproductive Stages
The V stages following VC are numbered according to the uppermost fully developed leaf node. Start with the unifoliolate leaf node when counting the number of fully developed leaf nodes. A leaf node is fully developed when the leaf above it has leaflets which are fully unrolled.
Vegetative Stages
VE Emergence
VC Cotyledon
V1 Unifoliolate and first trifoliate leaves are fully developed
V2 Unifoliolate and first two trifoliate leaves are fully developed
V3 Unifoliolate and first three trifoliate leaves are fully developed
V(n) Unifoliolate and (n) trifoliate leaves are fully developed
Reproductive Stages
R1 Open flower at any node on the stem
R2 Open flower at one of the two uppermost nodes on the main stem with a fully developed leaf
R3 Pod is 3/16 inch long at one of the four uppermost nodes on the main stem with a fully developed leaf
R4 Pod is 3/4 inch long at one of the four uppermost nodes on the main stem with a fully developed leaf
R5 Seed is 1/8 inch long in the pod at one of the four uppermost nodes on the main stem with a fully developed leaf
R6 Pod containing a green seed that fills the pod cavity at one of the four uppermost nodes on the main stem with a fully developed leaf
Improve Nitrogen Use
Continued from page 2
would, as would any astute farmer. The most efficient use of plant nutrients is made at moderate application levels of fertilizers; at higher rates the return per additional unit of nitrogen decreases, and with the price of this input skyrocketing it would behoove you to consider accepting somewhat less than optimal yields. Then again, why accept yields less than optimal when studies with Vitazyme have shown that only 50% of optimal nitrogen with this material produced yields superior to the 100% nitrogen rate without it.
I am impressed by a Colorado dryland wheat farmer who is making good money by keeping his input costs low. He uses a low rate of N-P-K+micronutrients plus Vitazyme, and produces acceptable though not high yields. He continues to purchase land while his neighbors, following the agribusiness model, are selling out.
It is possible to produce excellent yields with low overhead and minimal nitrogen fertilizer inputs. This “new way” requires good management, but the methods are not beyond the capabilities of most farmers. Your land and your bank account will appreciate the changes you make in limiting nitrogen fertilizer costs, and especially by making more efficient use of what you apply.
Statement of Purpose
Vital Earth Resources is a for-profit private corporation dedicated to the development, production, and sale of top-quality, ecologically sound horticultural and agricultural products. *The Vital Earth News* is a periodic publication of Vital Earth Resources to inform customers and other interested parties about our products and programs, and to educate our readership on critical issues facing growers today and in the future. If you would like to receive future issues of this newsletter or product information, simply fill out the form on the right and mail it to us.
Let’s Help One Another
Edmund Hillary and his native guide Tenzing were descending Mount Everest after their historic climb. Suddenly Hillary lost his footing, but Tenzing held the line taut and kept them both from falling by digging his axe into the ice. Later, Tenzing refused any special credit for saving Hillary’s life; he considered it a routine part of the job. As he put it, “Mountain climbers always help each other.”
Should the rest of us be any different?
*Bits and Pieces*, No. 5, 1971
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Summer 2008 / *The Vital Earth News* — Agricultural Edition / 7
Vitazyme continues to prove it can improve nitrogen utilization in an age of soaring fertilizer costs. In Ontario, Canada, 50% of the recommended nitrogen along with Vitazyme produced a yield nearly as great as the 100% nitrogen rate without Vitazyme. Use Vitazyme to boost nitrogen efficiency!
At 60 kg/ha of nitrogen, Vitazyme produced significantly more grain than did the control.
Vital Earth Resources
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Newly-acquired Pre-cultural Behavior of the Natural Troop of Japanese Monkeys on Koshima Islet
MASAO KAWAI
The Japan Monkey Centre, Aichi
INTRODUCTION
The problem of pre-culture in the society of Japanese monkeys (*Macaca fuscata*) was first discussed and given a theoretical interpretation by K. Imanishi (1952). Since then the Primates Research Group has collected various kinds of data. A general view on the pre-culture* of Japanese monkeys was given by S. Kawamura (1956, '58, '59 and '64).
Sweet-potato washing is an example of pre-culture characteristic of the troop of monkeys in Koshima (a small islet in Miyazaki Prefecture, Kyushu). This was already reported by Kawamura (1954, '56, '58, '59, and '64), D. Miyadi (1959), and Kawai (1964). Kawamura and I observed the habit of sweet-potato washing occurred in the Koshima troop in 1953, and since then I have paid much attention to observing the pre-cultural phenomena (Kawai 1964 a, b).
Besides the sweet-potato washing behavior, the Koshima troop acquired some other new behaviors, which can be regarded as the pre-culture peculiar to the troop. I would like to discuss here the sweet-potato washing pre-culture and the new pre-cultural phenomena, especially, their process of acquisition and propagation, their causes, and finally, the meaning of these pre-cultures.
Before proceeding into the report, I should like to show my gratitude for the valuable advice and friendship of those who have long been with me in studying the Koshima Troop: Dr. Syunzo Kawamura of Osaka City University, Dr. Kisaburo Tokuda of Wakayama University, and Dr. Junichiro Itani of Kyoto University. For receiving valuable data and information my thanks go to Mr. Shigeru Azuma, Mr. Kenji Yoshiba of the Japan Monkey Centre, Mrs. Satsue Mito and Mr. Iwasuke Tokito. Furthermore, to Professors Denzaburo Miyadi and Kinji Imanishi of Kyoto University, under whose guidance I have long been, I would like to express my gratitude.
* S. Kawamura and K. Imanishi use the word “sub-culture” instead of “pre-culture.” In this paper I will use the latter.
The Koshima Troop
The Koshima troop, surveyed for the first time in 1948 by Drs. Imanishi, Itani, and Kawamura, was provisionized in 1952 (Itani and Tokuda 1958). At that time there were twenty monkeys in all, but in 1962 the number increased to 59*. As a result of the consecutive observations of the troop by several researchers, lineages of the monkeys have been made clear (Fig. 1). The knowledge of lineages has brought tremendous fruits to the sociological study of the troop, and enabled us to analyze fully the problem of pre-culture.
I. SWEET-POTATO WASHING (SPW) BEHAVIOR
1. Acquisition of SPW Behavior
Sweet-potato Washing Behavior is a behavior in which monkeys take the sweet-potato to the edge of the water and wash off the sand on the potato by water. Monkeys dip the potato in water by holding it in one hand, and then remove the sand by brushing the potato with the other hand. This SPW
* Gosuke, which is believed to be dead in about 1959, is not included here.
behavior was begun in September, 1953 by a female named *Imo*, one and a half years old at that time.* This behavior spread to others gradually, and by 1956 eleven monkeys acquired it. The process of propagation of this behavior until 1956 was reported by Kawamura (1954, '56) and Miyadi (1959).
Table 1 shows those monkeys who acquired the behavior during the period from 1953 to March 1958. Two of the 11 adults (6 males and 5 females), that is, 18.1% acquired SPW behavior, and 15 of 19 monkeys, aged between two and seven (10 males and 9 females), that is, 78.9%, acquired also the behavior.**
* To all the monkeys of Koshima are given names and numbers. Numbers from 1 to 99 are given to males, three figures to females. To those who were born after 1953, numbers are given according to the order of their birth. The identical initial letters of names indicate, as a general rule, the mother-child and brother-sister relationships. For example, the children of *Eba* are named *Ei*, *Enoki*, *Ego*. Signs on the right shoulder of names show either sex; A is male and A' is female.
** Kawamura reported in 1954 that *Naki* had shown SPW behavior, but in the report of 1956 he excluded *Naki*. Having never seen *Naki* do SPW behavior since 1953, I omitted *Naki* from monkeys of SPW behavior.
Table 1. The Year and Age When SPW Monkeys Acquired SPW Behavior
| Year | Age | Total No. of monkeys |
|------|-----------|----------------------|
| | 1-1.5 | 2-2.5 | 3 | 5 | 6 | adult | |
| 1953 | Imo' | Semushi' | | | | Eba' | 3 |
| '54 | Uni' | | | | | | 1 |
| '55 | Ei' | Nomi' | Kon' | | | | 3 |
| '56 | Sasa' | Jugo' | Sango', Aome' | | | | 4 |
| '57 | Hana', Enoki' | Harajiro' | Nami' | | | | 4 |
| '58 | Zabon', Nogi' | | | | | | 2 |
| Total| 6 | 5 | 1 | 2 | 1 | 2 | 17 |
| ♂ | 2 | 3 | 1 | 0 | 0 | 0 | 6 |
| ♀ | 4 | 2 | 0 | 2 | 1 | 2 | 11 |
Fig. 2 Age when monkeys began SPW behavior and number of SPW monkey
By the surveys made in December 1961 and January 1962, almost all monkeys, excepting those adults born before 1950, were observed performing SPW behavior. In August 1962 the same result was observed. As of the last date, 36 monkeys out of 49 monkeys above two years old did SPW behavior (73.4%). Monkeys which do not do SPW behavior were 13 in all (Table 2).
In other words, out of 11 monkeys older than 12,* that is, born before 1950, only two females, Eba' and Nami', do SPW behavior. The percentage of adults' acquisition of SPW behavior is very low. Among the monkeys born after 1951, only four do not perform the behavior. It is noteworthy that they are all Nami's children. They are lacking in the fundamental conditions of acquiring the behavior, to which I will come back later.
* Ages are as of August 1962.
Photo 1. A monkey running to the shore to wash sweet potatoes in the sea water, holding them in both hands.
Photo 2. A monkey washing a sweet potato (SPW behavior)
2. Process of Propagation
The acquisition of SPW behavior can be divided into two periods; before and after 1958. I shall call them the first period and the second period respectively.
1) The First Period (The Period of Individual Propagation)
This is the period when monkeys born before 1956 acquired SPW behavior. The time and process of acquisition are diverse. Adult monkeys which did not acquire the behavior during this period could not acquire it since then.
The acquisition of SPW behavior and the process of propagation during the first period are very interesting. Fig. 1, Fig. 2, and Table 1 show the importance of age, sex, and kinship as the factors of acquiring SPW behavior.
Most competent for acquiring SPW behavior are juveniles of 1-2.5 years old (Fig. 2). Almost every monkey acquired the behavior when they were at
Table 2. Monkeys of the Koshima Troop and Newly-acquired Behavior (As of Aug. 1962)
| Year Born | Age | Male | Female | SPW | WW | B | GM | No. of beh. acquired |
|-----------|-----|--------|--------|-----|----|---|----|----------------------|
| | | | | | | | | Male | Female |
| before 1949 | over 13 | Kaminari | 0 | 0 | 0 | + | 1 |
| | | Akakin | 0 | 0 | 0 | + | 1 |
| | | Mobo | 0 | 0 | 0 | + | 1 |
| | | Hiyoshimaru | 0 | 0 | 0 | + | 1 |
| | | Hanakake* | 0 | 0 | 0 | + | 1 |
| | | Utsubo | 0 | 0 | 0 | + | 1 |
| | | Nori | 0 | 0 | 0 | 0 | 0 |
| | | Eba | + | S | + | + | 4 |
| | | Nami | + | 0 | 0 | 0 | 1 |
| 1949 | 13 | Natsu | 0 | 0 | 0 | 0 | 0 |
| 1950 | 12 | Gosuke* | 0 | 0 | +△ | ? | 1 |
| 1951 | 11 | Kon* | + | 0 | 0 | + | 2 |
| | | Ita* | + | 0 | 0 | + | 2 |
| | | Semushi | + | 0 | 0 | + | 2 |
| | | Sango | + | S | + | + | 4 |
| | | Aome | + | + | 0 | + | 3 |
| | | Harajiro | + | 0 | + | + | 3 |
| 1952 | 10 | Uni* | + | 0 | 0 | ? | 1 |
| | | Naki | 0 | 0 | 0 | + | 1 |
| | | Imo | + | + | + | + | 4 |
| 1953 | 9 | Nomi* | + | 0 | 0 | + | 2 |
| 1954 | 8 | Jugo* | + | + | +△ | + | 4 |
| | | Ei* | + | 0 | 0 | + | 2 |
these ages. Almost all of the males acquired the behavior at these ages, but males older than four found it difficult—almost impossible, we might say—to acquire the behavior. Females, on the other hand, could acquire SPW behavior even if they were older than four. For females which acquired the behavior belong to three generations; 1-3 years old, 5-6 years old, and adult.
What is the cause of the difference between male and female in acquiring the behavior? In order to acquire SPW behavior, though the mechanism of acquisition is unknown, close social interaction with those who are in SPW behavior (SPW-monkey) is required at the feeding time. In this lies a difference between male and female due to their social status. When a male monkey becomes four years old, he begins to move from the central part of the troop to the peripheral part, entering into the ordinary male class. Therefore, adolescent and adult male's social interactions with females and juveniles in the central part are very limited. Especially, fearful of the leaders, males feed where they are not attacked by the leaders. So that they seldom feed
Table 2. (contd.)
| Year Born | Age | Male | Female | SPW | WW | B | GM | No. of beh. acquired |
|-----------|-----|--------|---------|-----|----|----|----|----------------------|
| | | | | | | | | Male Female |
| 1955 | 7 | Nogi | + | + | + | + | + | 4 |
| | | Sasa | + | + | + | + | + | 4 |
| 1956 | 6 | Tsuru | + | + | + | + | + | 4 |
| | | Nabe | 0 | 0 | + | + | + | 2 |
| | | Enoki | + | + | + | + | + | 4 |
| | | Zabon | + | + | + | + | 0 | 3 |
| | | Hama | + | + | + | + | + | 4 |
| 1957 | 5 | Ika | + | + | + | + | 0 | 3 |
| | | Saba | + | + | + | + | + | 4 |
| | | Ego | + | + | + | + | + | 4 |
| | | Nashi | 0 | 0 | + | + | 0 | 1 |
| | | Nofuji | + | + | + | + | + | 4 |
| 1958 | 4 | Ebi | + | + | + | + | 0 | 3 |
| | | Hamo | + | 0 | + | + | + | 3 |
| | | Tsuge | + | + | + | + | + | 4 |
| 1959 | 3 | Namako | + | 0 | + | + | 0 | 2 |
| | | Eso | + | + | + | + | + | 4 |
| | | Zai | + | + | + | + | + | 4 |
| | | Ine | + | 0 | + | + | + | 3 |
| | | Sakura | + | + | + | + | + | 4 |
| 1960 | 2 | Same | + | S | + | + | + | 4 |
| | | Eboshi | + | + | + | + | + | 4 |
| | | Namazu | 0 | 0 | 0 | 0 | 0 | 0 |
| | | Nobori | ± | 0 | + | 0 | 0 | 2 |
| | | Hasu | ± | 0 | + | + | + | 3 |
| | | Tsuga | + | 0 | + | + | + | 3 |
+ , + : degree of skill and completeness in conducting the behavior (+ > +).
± : incomplete acquisition
0 : not acquired
S : snatching behavior
^ : swimming
* : solitary male
together with females and juveniles. As a result, adolescent males hardly acquire SPW behavior through social interaction.
Females have a strong grouping tendency. Particularly, mother and child often move together. It is among those who have the strong social affinity that co-feeding is possible and mother and child usually co-feed (Kawai 1958; Yamada 1963). Kawamura remarked (1954, '56), suggesting the typical example of Imo' and Eba', that the propagation of SPW behavior was done through motherchild relationship. For, though Eba’ is an adult female, she acquired SPW behavior at the earliest time. The same can be said with Nami”, who showed the strongest maternal care of all the females of the troop. Probably she acquired the behavior through Jugo’, who is skillful of SPW behavior. The same can also be said with the three females who acquired the behavior while they were five or six years old. It is not known whether they acquired the behavior through brothers and sisters or through other members of the troop. But most probably they were always abundant in the opportunities of acquiring the behavior as they were in the central part.
Judging from the fact that only two females out of 11 monkeys born before 1950 acquired the behavior, old age is obviously a great obstacle to the acquisition of the behavior. Adults generally have difficulty in acquiring the behavior, unless they are under particular conditions such as a very close mother-child relation or an excellent intellect.
As regards the process of propagation in the first period, there is a remarkable phenomenon during five years after the beginning of SPW behavior (1953-1957). It is that, within the same kinship, the order of the acquisition of the behavior is from the young to the old (Fig. 1); that is, child, rather than mother, and younger brother and sister, rather than elder ones, acquire the behavior. Kawamura once pointed out that propagation of the behavior has two courses; through playmates relations and through kinship. The course of propagation shown in Fig. 1 supports this. In this propagation it is believed that the process is mostly from child to mother, and from younger to elder brother and sister; that is, kinship propagation is from the younger to the older.
As propagation is done, in the first period, through the relationship of individuals, we call this period the period of individual propagation.
2) The Second Period (The Period of Pre-cultural Propagation)
After 1959 aspects of propagation were different from those of the first period. SPW behavior was no more a new mode of behavior to the troop as it was fixed as pre-culture during 1958-59. Monkeys born during this period accepted SPW behavior as a normal feeding behavior and learned it without any resistance at all.
SPW-monkeys eat potatoes at the edge of water. So that the potato skin is scattered around at the bottom of water. Babies, who have the experience of eating potatoes in water at the beginning of the development of feeding behavior, are conscious of the association of potato with water. In the process of learning, eating potato by picking it up out of water is to them equally on a level with eating natural food.
Being always with mothers, babies stare at their mothers’ behavior while mothers are doing SPW behavior. In this manner infants acquire SPW behavior through mothers’ behavior. Therefore, the process of propagation in this period is, different from that of the first period, always from mother to child.
The process of acquiring the behavior in infant and juvenile I of this
period is as follows:
a) Strengthening affinity to water.
Infants are taken to the edge of water during the period when they are dependent solely on mother's milk for nourishment. While mother is in SPW behavior, they strengthen affinity to water by being dipped in water, or sprinkling water by hand.
b) Eating potato in the water.
Infants eat fragmentary pieces of potato that mother dropped in the water. This begins at half a year old.
c) Acquisition of SPW behavior.
Infants acquire it while they are 1-2.5 years old. For example, in December 1961, five monkeys of 2.5 years old (Zai, etc.) acquired SPW behavior in its complete form. But out of six monkeys of 1.5 years old (born in 1960), only Eboshi' acquired SPW behavior. By August 1962, of these six monkeys, Eboshi', Same', and Tsuga' learned the behavior completely, and Hasu' and Nobori' incompletely. (Of these six monkeys, Namazu' only has not yet acquired the behavior.)
Thus, in the second period the acquisition of SPW behavior begins simultaneously as infant. In the first period, sex and age were important factors facilitating propagation. But in the second period, acquisition or propagation of SPW behavior occurs independently of these two factors. That is, in acquiring the behavior, it is believed, pre-cultural pressure is working. Therefore, I will call the second period the period of pre-cultural propagation.
3. Variations of SPW Behavior
1) From Fresh Water to Salt Water
During 1953-1954 SPW behavior was done on the edge of a brook running into the sea. Monkeys never washed potatoes by salt water, but by fresh water (Kawamura 1954). At the surveys of 1957 and 1958 we discovered many a monkey washed potatoes by salt water. There is no record about the individual monkeys, but among the SPW-monkeys, there was, it seems, none who wash potatoes only by fresh water.* At the survey of December 1961, all the SPW-monkeys washed potatoes both by salt water and by fresh water. But when they used fresh water, there were particular reasons; for example, they were given potatoes by the fresh water, or, subordinate monkeys avoided coming near the sea-shore for fear of the dominant. In other words, SPW-monkeys preferred much salt water to fresh water in the behavior. For one thing, the quantity of fresh water is small. In the draught season the brook which runs into the sea is dried up. (There is always water in the small pool made artificially [ab. 30 cm × 60cm], but that is not enough in matters of space for many monkeys to do washing potatoes.) Another reason is that, if
* At the surveys of 1957 and 1958, no individual records were collected whether washing was done by salt water or by fresh water. Surveys of 1958 and 1959 were done by Azuma and Yoshiba, who, we expect, will report their observations.
Table 3. SPW Monkeys Classified by Three Types of SPW Behavior
| Year Born | Age over 11 | Male B-type | BS-type | S-type | Female B-type | BS-type | S-type |
|-----------|-------------|-------------|---------|--------|---------------|---------|--------|
| 1951 | 11 | Semushi | | | Eba, Nami | | |
| '52 | 10 | | | | Sango, Aome, Harajiro | Imo | |
| '53 | 9 | | | | | | |
| '54 | 8 | | | | | | |
| '55 | 7 | | | | Nogi | Sasa | |
| '56 | 6 | | Tsuru | Hama, Zabon | Enoki | | |
| '57 | 5 | Ika | Saba | | Ego, Nofuji | | |
| '58 | 4 | Ebi, Hamo | | | Tsuge | | |
| '59 | 3 | Namako, Eso | | | Zai | Sakura | Ine |
| '60 | 2 | Same, Eboshi| Nobori | | Hasu, Tsuga | | |
| Total No. of monkeys | 1 | 7 | 3 | 10 | 5 | 4 |
Monkeys become familiar with salt water, it makes potatoes taste good. These caused monkeys, it is supposed, to prefer salt water to fresh water.
2) Seasoning Behavior
SPW-behavior is, as we have seen above, to dip a piece of potato by holding it in one hand and to brush off sand from it by the other hand. Imo, the originator of SPW behavior, does the typical behavior. But in order to remove sand they do not always brush the potato. Often they let fall the potato in the shallow water and wash the sand off by rolling it with one hand. Among the monkeys of the first period, such monkeys as Eba, Sango, Sasa more frequently roll the potato than brushing the sand off with one hand. Therefore, there are two types in SPW behavior; brushing type and rolling type.
But during the second period a third type appeared. It consisted in dipping the potato into the water every time after gnawing it once or twice. This behavior seems quite different from brushing the sand off from the potato. They collect potatoes and take them to the sea-shore. But if this is not for the purpose of washing, what reason is there in this behavior except for seasoning potatoes with salt water? Therefore, I will call this behavior “the seasoning behavior.”
But it must be admitted that there is no monkey who does only the seasoning behavior. For example, out of ten tests applied to Saba, seven were seasoning behavior, two were rolling wash, and one was brushing wash. Interesting to notice was the fact that, when a piece of potato with full of sand on it was given, he removed the sand by a complete brushing wash behavior. He possesses himself of the technique of brushing wash, but he uses it, it seems, only when he feels its necessity.
Table 3 gives the individual classification of the three types of SPW behavior. Among the thirty monkeys tested (11 males and 19 females), 11 belong to brushing type (B-type), 12 belong to brushing-seasoning type (BS-type), and 7 belong to seasoning type (S-type).* We can conclude from Table 3 that those who belong to B-type, that is, who retain the old style are those who acquired SPW behavior in the first period. And, those who acquired SPW behavior in the later second period show strong inclination towards S-type.
The reason is that, because propagation in the first period, as seen above, was done through individual relationship, B-type behavior acquired in the first period was fixed within the SPW-monkeys. On the other hand, individuals who acquired SPW behavior in the second period are acquainted from their infancy with eating potatoes in water. So that they learn in the beginning to eat potatoes with salt-seasoning or wet with water, and then acquire brushing behavior of removing sand from potato. Hence many BS-types, and S-types, especially, among the younger monkeys.
Another remarkable phenomenon of the propagation of the behavior type is that within the same kinship there is a strong inclination towards the same behavior type. Conspicuous examples are found in the lineage of Aome' and among Tsuru' and his younger brother and sisters. Aome' is skillful in brushing, and her younger sister Nogi' and her children Zabon' and Zai' belong to B-type. That Zai' is the only monkey of B-type among the SPW-monkeys of the second period supports the idea of the propagation of the behavior through lineage. The three children of Natsu' who are all of S-type support also this idea. Different from these is the lineage of Harajiro'. The four SPW-monkeys belonging to this lineage have various behavior types. Eba's family also does not show any marked lineage propagation. Therefore, it is proper to conclude that behavioral type of SPW is propagated either through lineage or through some other course.
We have discussed so far Seasoning behavior as being included in SPW behavior, but strictly speaking, it should not be. SPW behavior is a kind of cookery. If cookery can be classified into physical and chemical processes, SPW behavior is the former, while Seasoning behavior is the latter. Monkeys, we might say, beginning with the physical cooking of removing sand from potato, came to know the chemical cooking of seasoning.
II WHEAT-WASHING BEHAVIOR
1. Wheat-Washing Behavior
1) Acquisition of Wheat-washing Behavior
The Koshima troop has another pre-cultural behavior similar to SPW behavior. It is Wheat-washing behavior (WW behavior).
* Solitary males are not included in this table as their tests could not be done satisfactorily.
Table 4. Age and Year When Monkeys Acquired WW Behavior and Snatching Behavior
| Year | Adult | 6.0 | 5.5 | 5.0 | 4.5 | 4.0 | 3.5 | 3.0 | 2.5 | 2.0 | 1.5 | total | observer |
|------|-------|-----|-----|-----|-----|-----|-----|-----|-----|-----|-----|-------|----------|
| 1956 | | | | | | | | | | | | 1 | Kawamura |
| 1957 | | | | | | | | | | | | (1) | Kawai |
| 1958 | | | | | | | | | | | | 3 | Yoshiba |
| 1959 | | | | | | | | | | | | 4,4*(1)| Azuma |
| 1961-62 | Aome' | | | | | | | | | | | 5,(2) | Kawai |
| 1962 (Aug.) | Sango'* | Hama' | Tsuru' | Ebi' | Sakura' | Eso' | Eboshi' | Same'* | 6,2* | Kawai |
| Total | 1,2* | 2 | 1 | 6 | 3,(2),1* | 5,3* | 1 | 19,6* |
( ): incomplete acquisition
*: Snatching Behavior only
(*): WW Behavior + Snatching Behavior
When grains of wheat are scattered about on the beach, monkeys eat them painstakingly picking one grain up after another. But once a monkey gathered the grains of wheat together with sand and, by throwing them into water, succeeded in separating grains of wheat from sand. This is called Wheat-Washing behavior, or, due to its resemblance, placer-mining behavior.
This behavior, begun by Imo'*, was first observed by Kawamura in 1956. Imo' was then 4 years old and was well acquainted with SPW behavior.
A survey was made by Yoshiba from November 1958 to January 1959; another by Azuma in June 1959. According to these surveys, three monkeys were found in WW behavior in the former date and four other monkeys were found in the latter date. That is, by June 1959, 8 monkeys did WW behavior.
Between December 1961 and January 1962, 5 other monkeys were added to the 8 WW-monkeys. Three others were observed once or twice doing WW behavior (i.e., Ebi', Eso', and Hama'). Their behavior is still immature and is not yet fixed.
According to the survey made in August 1962, WW behavior of the three monkeys above mentioned was found fixed and three other monkeys acquired the behavior. Therefore, by August 1962, 19 monkeys in all acquired this bahavior (Table 4). To 49 monkeys from which one-year-old monkeys are excluded they reach the percentage of 38.7. Seven of the 19 monkeys are male and 12 are female.
2) Process of Propagation
WW behavior was begun when man gave monkeys grains of wheat by scattering them on the beach. In this respect WW behavior was begun under an artificial condition.
* According to Mrs. S. Mito, she made the observation of 8 ♀ doing this behavior in 1954. But as no one has ever seen WW behavior of 8 ♀ since then, we ascribe the origination of the behavior to Im'.
*Imo*, who was the originator of SPW behavior, initiated also WW behavior in 1956. At the survey I made in 1957, WW-monkey was *Imo* alone. But in that year, we used much wheat for the wheat-box test in order to analyze the dominance rank order. Because of this monkeys grew familiar with wheat food, which contributed much, it seems, to quicken the growth of WW behavior among the monkeys. (During this period *Jugo* began, although incompletely, WW behavior.)
Yoshiba and Azuma, noticing WW behavior of *Imo*, gave her conditions to strengthen this behavior by burying the grains in sand, stamping them. This resulted in increasing the number of monkeys who learned WW behavior.
a) Courses of Propagation
The propagation of WW behavior can be considered individualistic up to 1962. We would like to discuss here through what course WW behavior was propagated from the initiation by *Imo* in 1956 to August 1962, and then what the conditions of acquiring this behavior were.
**Lineage and Playmate Relationship**
The Process of propagation of WW behavior is the same with that of SPW behavior; that is, propagation is done through playmates and through lineage. Especially conspicuous is the propagation through lineage. Of 15 monkeys (not including one-year-old infants) of *Eba*’s lineage, to which *Imo* belongs, 13 do either WW behavior or Snatching behavior.* *Nori*’s family also shows high percentage of acquisition. In 1961 this behavior was propagated to monkeys of the *Natsu* and in 1962 to those of *Harajiro*, and that only a few members of the lineages could acquire it. An exception is, as was with SPW behavior, the *Nami*’s lineage, in which only *Jugo* does WW behavior but others do not. *Jugo* began the behavior in 1958, which was quite an early date of this behavior. But the fact that others of *Nami*’s lineage do not do WW behavior suggests that monkeys of this lineage are low in the faculty of acquisition.
**Age and Sex**
Ages at which the behavior was acquired are shown in Table 4 and Fig. 3. According to these dates, WW behavior is most acquired by monkeys aged two, three, and four**.
Judging from the fact that two of six years old, one adult, and one of one and a half years old acquired the behavior respectively, monkeys older than six and one year old are not as good as others in acquisition faculty. Particularly, since none of those monkeys older than 12 (born before 1950) do WW behavior, adults’ faculty of acquisition is very poor. The point of this fact is, besides the general low adaptability of adult as was with SPW behavior, whether they were already in adolescent or adult at the time of provisionization.
---
* Of Snatching behavior see II-2
** Azuma discovered in 1959 the germinial behavior of WW behavior done by *Zabon*. There is a strong possibility that *Zabon* acquired WW behavior in 1960, when she was four.
Is difference of sex an important factor in the acquisition of WW behavior? Apparently females give the impression of being superior in the acquisition faculty as out of 19 WW-monkeys 12 are female. But, taking into consideration the lineage and the playmate relationship, difference of sex is not counted important in juveniles.
However, in adolescent II and in adult difference of sex becomes important. Males in adolescent II move to peripheral part and some of them become solitary males. As a result, they have little opportunities to get WW behavior through social interaction. Adult females, on the other hand, have chances of acquiring the behavior through mother-child relationship. But adult males have no such chances of acquiring the behavior through individual relationship. Because of this there are no adult males who do WW behavior. As seen above, difference of sex can be considered on a level as in SPW behavior.
b) Pre-cultural Propagation
By August, 1962, WW behavior was propagated to four lineages. Monkeys born after 1952, except for Nami’s children, will most probably acquire WW behavior sooner or later.
In August 1962 one-year-old Iruka’ and Sakaki’ (the only infants born in 1961) were seen several times scratching sand with their fingers while their mothers were doing WW behavior. Knowing not its meaning, they were imitating what their mothers were doing. Probably through this imitative behavior they will acquire WW behavior. Five monkeys of two years old, although they did not do WW behavior yet, were observed at times picking up wheat in the water. But they did not scratch sand as Iruka’ did.
These facts lead to the assumption that WW behavior was then about to be fixed as a pre-cultural behavior of the troop.
2. Snatching Behavior
1) Snatching Behavior
Some monkeys, keeping watch on WW-monkeys, snatch the grains of wheat when they are thrown into water by WW-monkeys. We call this, Snatching behavior, which was first observed by Azuma in 1956 (personal communication). In July 1959, an adult female, Eba’, and 2-year-old Saba’ showed this behavior. Enoki’ (3)* and Ego’ (2) did WW behavior, but they showed often Snatching behavior, too. (Table 4, Fig. 3)
During the period from December, 1961 to January, 1962 when I made observations of monkeys, Eba’ alone performed Snatching behavior. Saba’ (4.5), reported by Azuma, acquired WW behavior by that time, and Enoki’ (5.5) and Ego’ (4.5) did not any more snatch others’ wheat, but did WW behavior only.
In August 1962, besides Eba’, Sango’ (11) and Same’ (2) began Snatching behavior. Eba’ and Sango’, ranked as No. 1 and No. 2 among the females, are monkeys of high activities. When they approach towards others aggressively, other monkeys run away from them. So Eba’ and Sango’ can eat wheat in water.
* Numerals in parentheses stand for age; e.g., Enoki(3) is Enoki, three years old.
Fig. 3 Age when monkeys began WW behavior and number of WW monkey
Photo 3. A monkey gathering wheat thrown on the sand. Monkeys throw the wheat and sand into the water and pick up the wheat which comes up to the surface.
Photo 4. WW behavior
without any efforts. *Same*, on the other hand, who is given a high tolerance to co-feeding as he is still two years old, comes near monkeys in WW behavior and eats wheat together, or collects the grains floating towards him, or eats left-overs after WW-monkeys are gone.
When grains of wheat are thrown over on the beach, *Eba*, *Sango*, and *Same* keep watch on the movements of WW-monkeys. And when WW-monkeys, taking the wheat to the edge of water, plunge it into water, then *Eba* and *Sango* disperse them by making an attack on them and succeed in getting the wheat.
2) Two Types of Snatching Behavior
As suggested above, in Snatching behavior there are two types.
One is collecting the left-overs, as shown in *Same*’s behavior. This is peculiar to juveniles and develops later into WW behavior. Therefore, this is a behavior at the stage before the acquisition of WW behavior. Azuma observed *Enoki* and *Ego* both in WW behavior and Snatching behavior, and later he observed *Enoki* do the perfect WW behavior, giving up Snatching behavior all of a sudden (Azuma, personal communication). In 1961, they were most skillful in WW behavior.
The other type is plundering, as suggested by the behavior of the two adults, *Eba* and *Sango*. They attack WW-monkeys and plunder the wheat by themselves. They do not do WW behavior themselves, but let other WW-monkeys wash the wheat for them. *Eba* began this behavior in 1959, and during 1961-1962 her behavior became habitual.
Because by plundering they can monopolize the fruit of labor made by WW-monkeys, their behavior is far more effective to them than WW behavior itself. *Eba* and *Sango* do Snatching behavior often and importunately. They will, we believe, habitually do the plundering type of Snatching behavior without acquiring WW behavior.
Snatching behavior is worth noticing. For Japanese monkeys usually do not plunder others’ food by attack except for special occasions. Therefore, Snatching behavior has an important implication as a behavior to take advantage of others’ labor. The behavior of this type has not been observed among other Japanese monkey troops.
**III BATHING BEHAVIOR**
1. Acquisition of Bathing Behavior
Monkeys of Koshima, although they are leading lives on a small islet surrounded by the sea, never went into the sea. After they were accustomed to salt water by SPW behavior, all that they could do was just to dip their hands and feet in water. None of them bathed in water.
However, in the summer of 1959 Mrs. Mito attracted monkeys to go into the water of Otomari Bay by throwing peanuts in the sea. Since then some
monkeys went into the sea to get peanuts. The first monkey who went into the sea was, it is reported (Mito, personal communication), two-year-old *Ego'*. We call this behavior of going into water Bathing behavior (B behavior).
At the short survey made in the summer of 1960 a few monkeys born after 1954 were observed to bathe. (*Ego', Jugo', Saba',* and *Ebi'* were identified, but others were not.)
By the thorough investigations made in January and in the summer of 1962, the following facts were made clear.
1) Of the 49 monkeys available to the investigation, 31 were observed doing B behavior (63.2%).
2) All the monkeys born after 1955, excepting only 2 one-year-old monkeys and *Namazu*, bathed in the water.
3) Of the monkeys born before 1955, only *Eba', Sango', Harajiro'* and *Imo'* took themselves into water. Other adults not only never bathed in the sea, but also hated to dip even their feet,* with the exceptions of *Akakin' and Nami'',* who occasionally dipped their wrists and ankles. Adults who have performed B behavior are 2 solitaries** out of 14 males and 4 out of 9 females.
2. Process of Propagation
1) Age
Monkeys who acquired B behavior in the early date (1959-1960) were, it is reported, *Ego'*(2), *Nofuji'*(2-3), *Jugo'*(5), *Saba'*(2-3), and *Ebi'*(2). There were some others whose names are unidentified, but no adults are found in this group. Therefore, B behavior was begun, it is safe to assume, by juveniles of two or three years old.
The propagating speed of B behavior was fast. Only within three years after the appearance of Bathing-monkeys, almost all juveniles and adolescents acquired the behavior. Adaptability for B behavior is very high in young monkeys. The percentage of acquiring the behavior of those born after 1955, excluding two monkeys born in 1961 and 1962, is 96.1%.
These two monkeys were one year old as of 1962. So that it is difficult, it seems, for one-year-old monkeys acquire B behavior.
The percentage of acquisition of adults is very low. It is only 26.0%, for only 6 out of 23 adults to B behavior.
2) Sex
How is difference of sex related to the acquisition? No particular differentiation due to the difference of sex can be observed in juveniles and adolescents.
In adults the percentages of acquisition are greatly different in males and females. *Jugo',* who does B behavior, acquired it when he was 5 years old.
* Exceptions are made when they run along the beach in shallow water getting chasing attack.
** *Gosuke'* is believed to be drowned to death when he was trying to swim to the other shore across the sea. *Jugo'* swam to the other shore in 1960 and swam back to the islet in the fall of 1964.
So that, generally speaking, it is very difficult for adult males to acquire B behavior.
On the other hand, 4 out of 9 adult females are familiar with B behavior. Why do they have higher percentage of acquisition than males? It is only in these 4 monkeys who do B behavior and in Aome' and Nami' that SPW behavior is practiced among all the adult females. In other words, towards a new situation these 4 monkeys have strong adaptive tendency which has been brought up by SPW behavior. As a result, they adapted themselves quite easily to bathing.
Another factor to be taken into account is a mother-child relationship. Mother-child relationship is so close that mothers are easily influenced by children and are led, it is believed, to the acquisition of B behavior.
Quickness of propagation is characteristic of B behavior. In regard to this two reasons can be mentioned. One is that the cause which gave rise to the behavior was to throw in the sea their most favorite food, peanuts. This contributed much, we suppose, to change monkeys' conservatism.
The other is that, different from SPW behavior, bathing is the matter of adaptation to a new habitat. In SPW behavior intellectual factor has to a large extent to do with its acquisition. But acquisition of B behavior is simply a matter of adapting oneself to a new environment and of changing conservatism. This makes us feel a strong interest in monkeys' conservatism, which is especially remarkable in adult male. Adaptability to a new habitat is high in juveniles and adolescent, medium in adult female, but very low in adult male.
3) Pre-cultural Propagation
Infants are offered a very good opportunity in acquiring the behavior because mothers go into the sea with their infants clung on to themselves. But mothers do not pay any particular attention whether or not their children are dipped into water. Often infants are completely under water. In this
Photo 5. Monkeys bathing at the beach of Otomari.
way, not long after their birth, infants are adapted to bathe in water. As a result, infants accept the sea as a habitat and feel no reluctance in bathing. When they come to lead independent lives the sea is already part of their habitat as much as the mountain. Therefore, the acquisition of B behavior is to infants a pre-cultural acquisition. Thus B behavior is easily fixed among the troop.
3. Variation of Bathing Behavior
In B behavior, almost all monkeys do quadrupedal locomotion in the ankle-deep shallows. In the deeper places monkeys do bipedal locomotion. Often they are seen bathing, dipping themselves up to shoulders, or doing quadrupedal locomotion with only head held above water.
In bipedal locomotion, the degree of dipping themselves are different: some up to knees, others up to waist, and others up to breast. In every case they try as far as possible to avoid wetting their hands. Mothers do not pay any attention to bathing their child when it clings on their back or their breast. Even when infants are completely under water and are sometimes about to be drowned, mothers are careless of it.
Monkeys that do swimming are 10 (Table 2); eight monkeys of 2 to 5 years old and 2 solitary males of adult.
Of these swimming monkeys, some juveniles, that is, 2 of two years old and 3 of three years old, began to take a strong interest in bathing itself. They performed diving from rocks and enjoyed swimming. Originally Bathing behavior began as a new behavioral pattern to get food in the sea. But these five monkeys have developed the behavior to get into the sea in order to avoid the heat or just to play in hot summer. Besides swimming, they began to dive under water skillfully and sometimes took sea-weed from the bottom of 1 or 1.5m deep. In other words, out of B behavior to get food in the sea they found new practices of playing and avoiding the heat. As of August 1962, among
Photo 6. Juveniles dive from rocks and dabble in water.
Photo 7. Leaders and almost all of adults do not enter the water. Whatever favorite foods are thrown in the sea, the leader (left) would not enter the sea.
the swimming monkeys, those of 4 and 5 years old do not do these practices. Noteworthy is the fact that this behavior was begun by the most playful juveniles. It will probably be propagated to most juveniles. But how it will be propagated to adolescents and adults is hardly be guessed because this behavior includes two practical purposes that are peculiar to juveniles, that is, play and avoidance of the heat.
IV “GIVE-ME-SOME” BEHAVIOR
1. Give-me-some Behavior
While the observer puts his hand into the pocket to take out peanuts, monkeys wait sitting in front of him, taking the posture of let-me-have-please; that is, with his lower arm raised a little, his forearm held out, and flexed fingers pointing upward (Photo 8). This behavior quite resembles that of a human child when he is given sweets or cookies. We call this Give-me-some Behavior (GM Behavior).
GM behavior is a kind of anticipatory response. The hand showing the attitude of “Give me” is in symbolic process. When the food is offered, the monkey takes it not with the hand which is held out, but with the other hand. For example, when “Give me” posture is made by the right hand, the left hand is always used for taking the food.
There are some variations in GM behavior. In a type the lower arm is kept close to the side of the body and the forearm is held out in a horizontal position. In another, the monkey standing on the feet, both arms are held up. In the other, the lower arm is kept close to the side, while the forearm is raised a little and the palm is turned toward the giver of the food. These behavioral patterns are unvariable within each individual monkey.
The hand used for GM behavior is also almost fixed in each individual monkey*. Of 44 monkeys put under the test, 12 used the right hand in GM behavior, 9 used the left hand, and 7 used either hand as occasion varies.
GM behavior can not necessarily be seen always when monkeys are given food. When they are not psychologically calm, that is, under a situation to be easily disturbed by others, or near the leader or other dominant monkeys, they do not show GM behavior.
2. Acquisition and Propagation
Out of 47 monkeys available to the test, 37 performed GM behavior.** (2 one-year-old monkeys were not tested). The percentage is 78.8, which is higher than the percentage of SPW behavior.
Among 24 males, 19 (79.1%) do GM behavior, and among 23 females, 18 (78.2%) do it. No difference due to sex can be observed in the acquisition of GM behavior.
* Results of this test will be reported in the future.
** This Number includes 3 monkeys who do the behavior incompletely.
Photo 8. A monkey conducting give-me-some behavior. He is waiting for food with his elbow bent.
High percentage of acquisition in adults is characteristic of this behavior. In this respect, this GM behavior is different qualitatively from SPW, WW, and B behaviors. Of 21 adult monkeys, only 3 females do not show GM behavior. It is worth noticing that even leader males, who are very conservative, do GM behavior. In adult, then, it is easier for male to acquire this behavior than for female.
Monkeys who do not perform GM behavior are 10 (5 males and 5 females). Included in them are 3 children of Nami’ (Nasi’, Namako’, Namazu’). We might say that monkeys of the Nami’s kin are inferior in the acquisition ability of GM behavior.
The initiator and the first date of GM behavior are unknown. In 1960 Azuma noticed that Kaminari’, one of the leaders, did GM behavior (personal communication). Many monkeys must have performed the behavior in the pretty much earlier date. GM behavior cannot be seen unless the relationship between the man who gives the food and the monkey who is given the food is stable, and the monkey is in a calm situation not to be attacked by others. Therefore, it was quite difficult for an observer, it may be supposed, to recognize the behavior as characteristic to a monkey.
The process of propagation of this behavior is unknown. But we suppose that monkeys at the age of two acquire it. For, of the 6 two-year-old monkeys, one does GM behavior, three do it in an imperfect form, and two do not. Eboshi’ shows only his palm turned up, or raises his hand a little with his palm turned up. Tsuga’ and Hasu’ raise their hand just a little—a posture at an early stage of GM behavior. Of the monkeys of three years old, 4 out of five can perform GM behavior pretty well, but the behavior is not fixed well yet. It is in those monkeys older than 4 that GM behavior is fixed well.
These facts lead us to the conclusion that GM behavior is supposed to be fixed at the ages of four or five.
3. Meaning of GM Behavior
GM behavior is a kind of anticipatory response, in which the held-out hand shows the symbolic behavior representing anticipation. As mentioned above, monkeys generally take food in the other hand than the one which represents anticipation. But, in taking the food, only *Mobo* and *Naki*, whose intellectual faculty is low, use always the same hand that indicates anticipation. They take the food with the raised hand because they cannot, it is believed, regard the raised hand as symbolic of anticipation.
Why was GM behavior begun, and how was it propagated? Judging from the intellectual faculty of monkeys, the acquisition of this behavior is hardly ascribed to imitation.
GM behavior was born out of the relationship with human beings. After the provisionization, the relationship with man played a large part in the life of the troop. Compared with other monkeys of wild monkey parks, monkeys at Koshima are distinguished in that since the provisionization they have never bitten, attacked, and seldom threaten men. In other wild monkey parks there come a lot of ill-natured sightseers who do not give food gently or tease monkeys. So that monkeys on their turn snatch the food by threatening the visitors or bite at those who tease them. In such places monkeys and men are not always in peaceful relation.
At Koshima, on the other hand, there are few sightseers, and contact with monkeys is made mainly by the local lovers of monkey or researchers of monkey. Since a perfect friendly relationship is established between monkeys and men, monkeys need not snatch the food by threat or attack, and they have learned to wait. In short, what is characteristic of this troop is the gentle, friendly attitude towards men which is fixed in the troop. GM behavior is, it may be said, the symbolic behavior of such an attitude.
**DISCUSSION**
1. Meaning and Correlation of Newly Acquired Behaviors
We would like to discuss here the meaning and the correlation of the four behaviors newly acquired in the Koshima troop—Sweet-potato Washing, Wheat Washing, Bathing, and Give-me-some behaviors.
1) Bathing Behavior
This behavior, as we have seen above, is an adaptive behavior in relation to enlarging habitat environment or niche, or a behavior that is related to the habit of the maintenance of life.
It is not rare that Japanese monkeys go into the river or the sea. The Ohirayama troop bathes in the brook in summer. Many troops bathe in the river or in the pool; such as the Minoo troop (Kawamura, personal communication), Arashiyama troop (Hazama, Iwata 1962). The Okinoshima troop was relocated there (an islet) from Shodoshima, and males of from three to five years old began to get into sea water there. An interesting case is the Jigokudani troop, which was observed by Suzuki. At Jigokudani snow falls deep in winter and some monkeys there take a hot spring (Suzuki 1963, '65).
It is considered a general habit of Japanese monkeys to bathe or swim. But, as seen in the Koshima troop, this habit should be noticed as that of the troop rather than of individuals; that is, it is a behavior pattern to be treated within the category of pre-cultural phenomena.
Another point to be noticed is related to the adaptability and the tradition of the troop in Japanese monkeys. Surprising is the strong tradition of the Koshima troop never to have gone in water until then. But we learn through the Koshima troop that once that strong traditional conservatism began to break down by some cause or others, it can easily be removed.
The problems of food habit and territorialism, which have been treated as pre-cultural phenomena, can be considered on a level with Bathing behavior. We should pay attention to the fact that the tradition of the troop society controls individual adaptive behavior.
An experimental study of the propagation of food habit in the Takasakiyama troop, made by Itani in 1958, can be dealt with on a level with Bathing behavior. For the high percentage of getting new food shown in regard to monkeys below three years old—as reported by Itani—corresponds to the percentage of acquiring Bathing behavior.
2) SPW Behavior and WW Behavior
These two behaviors should be noticed as "inventive" behaviors as J. Frishh (1963) mentioned. Among Japanese monkeys any other "inventive" behaviors have not yet been discovered. These behaviors should be oriented as those in the pre-stage of material culture or tool using, or the behavior illustrating the process towards these.
That these two behaviors are of the same quality is shown in the same form of the graph representing the percentages of acquiring them (Fig. 4). The only difference is that in the period of individual propagation the acquisition age of SPW behavior is one and a half or two years old, while that of WW behavior is between two and four years old. This difference is due to the relative difficulty of acquisition. SPW behavior, to be referred to below, is sometimes observed within other troops as individual behavior, and seems to have a possibility of being acquired incidentally.
In WW behavior monkeys have to go through the procedure of collecting wheat by the hand and taking it together with sand and then selecting wheat in the water. In other words, in WW behavior a higher intellectual activity is required than in SPW behavior. WW behavior is more difficult in performance and requires in its acquisition the ages between juvenile II to adolescent.
There are some monkeys who do SPW behavior even in other troops; such
as Takasakiyama (Itani, personal communication), Ohirayama (Kawai), Arashiyama (Hazama, personal communication), and Gagyusan (Furuya, personal communication). But in these troops the behavior remains individual and is not propagated to other monkeys to form pre-cultural behavior of the troop. WW behavior is not observed in other troops.
Japanese monkeys have neither language nor denoting function, and, as a result, have no ability to teach actively. Mechanism of the process of acquiring SPW and WW behaviors seems to correspond to the "matched dependent behavior" that N.E. Miller and J. Dollard referred to (1941). Macaques are generally believed inferior in the ability of imitation (Yatabe 1945), but, judging from the propagation of these two behaviors, it may be acceptable that in a natural troop imitation through daily lives is made rather intensively.
3) Give-me-some Behavior
GM behavior is different in quality from other three pre-cultural behaviors mentioned above. This behavior is a kind of attitude toward man born out of friendship and composure on the part of monkeys. In other words, characteristic of this troop is the gentle, friendly attitude towards men which is fixed in this troop. For monkeys of this troop have this attitude from their infancy. The friendly attitude of all the monkeys towards men can be taken as a kind of
implicit pre-culture. GM behavior is symbolic of this implicit pre-culture. GM behavior can be witnessed even in other troops, but it remains individualistic and is not a general behavior pattern of the troop representing its relationship to men.
The remarkable difference of this behavior from SPW and WW behaviors is that it is performed by all the adult males and solitary males. This suggests the existence of a fixed behavior pattern in expressing a friendly relation to man. The behavior pattern is believed to be quite general among the species of Japanese monkeys.
Implicit pre-culture of this sort defines the social character of the troop such as cautiousness, tameness, and aggressiveness. In other words, it is greatly related with personality formation of the members of the troop. Therefore, the mechanism of acquiring this behavior has greatly to do with “identification” which Imanishi mentioned (1957).
4) Acquisition and Propagation
In each section we have discussed that the three factors, i.e., age, sex, and kinship, are important in the acquisition and propagation of the four newly acquired behaviors. We would like to take them up here together.
Fig. 4 indicates the acquisition of the four behaviors in terms of ages. The acquisition curves of SPW, WW, and B behaviors belong to the same type, while the curve of GM behavior is in a different form. The acquisition of the three behaviors begins in juvenile, reaches the highest point in adolescent and goes down in adult. On the other hand, in GM behavior the highest percentage of acquisition (100%) is seen in adolescent II and adults of 8-11 years old, and even adults above 12 years old show higher percentage of acquisition than in the other three behaviors.
In Fig. 5 is shown the average number of acquisition within an individual monkey of the four behaviors and the interrelationship of age and sex. In juvenile and adolescent I difference of sex does not count. (In juvenile, females appear to have higher percentage of acquisition than males, but the truth is that among males are included two of the Nami’s kin who are inferior in acquisition. We will touch on this point below.) In adolescent II and adult (from eight to eleven years old), males’ percentage is lower than that of females. This is due, as have been repeated above, to the difference of status between males and females. That adults older than 12 are inferior in acquisition is illustrated also by Fig. 5.
In each section we have referred to the difference of acquisition caused by lineage. Eba’s children are high in intellect or in adaptability, while Nami’s children are low. Table 6-a indicates the number of the acquisition of the four behaviors by mothers and children of the Nami’s and the Eba’s. The Eba’s kin acquired on the average 3.6 behaviors, while the Namis’ kin did 1.6. Tab. 6-b shows the average acquisition numbers of behaviors by lineages. The full mark being four, the Sango’s lineage got good mark. Table 6-a also shows the
Table 5 Acquisition rate of new behaviors, classified by age
| Age | SPW | WW | BW | GM | average no. of new behaviors acquired |
|-------|--------|--------|--------|--------|--------------------------------------|
| | | | | | male | female |
| 2~3 | 90.9% | 36.3% | 90.9% | 72.7% | 2.5 | 3.4 |
| 4~5 | 87.5 | 75.0 | 100.0 | 62.5 | 3.2 | 3.2 |
| 6~7 | 85.7 | 85.7 | 100.0 | 100.0 | 3.0 | 4.0 |
| 8~11 | 91.6 | 25.0 | 33.3 | 100.0 | 2.8 | 3.2 |
| 12~ | 18.1 | 0 | 18.1 | 63.6 | 1.1 | 1.0 |
Table 6
| | Nami' | Eba' |
|-------|-------|------|
| 1951 | 1 | 4 |
| 52 | 2 | 4 |
| 53 | 1 | 4 |
| 54 | 4 | 2 |
| 55 | | |
| 56 | 2 | 4 |
| 57 | 1 | 4 |
| 58 | | 3 |
| 59 | 2 | 4 |
| 60 | 0 | 4 |
| M.A.B.| 1.6 | 3.6 |
Figures show number of newly acquired behaviors.
(a)
| Lineage (Mothers) | Sango | Eba | Imo | Aome | Harajiro | Natsu | Nori | Utsubo | Nami |
|-------------------|-------|------|------|------|----------|-------|------|--------|------|
| Number of babies | 4 | 8 | 2 | 2 | 3 | 3 | 4 | 2 | 7 |
| M.A.B. | 4 | 3.6 | 3.3 | 3.3 | 3.0 | 2.6 | 2.6 | 1.6 | 1.6 |
(b)
M.A.B. : Mean number of new behavior acquired (total number of new behavior members of a lineage acquired by / number of members)
difference of acquisition ability due to lineage.
In the society of Japanese monkeys, mother-child relations are known, but father is hard to discover. Therefore, it is difficult to pursue this genetic problem strictly. Still, it is interesting that the difference of acquisition ability by each lineage is made clear at least in outline. Worth noticing is the Nami’s lineage, to which both a monkey of excellent intellectual faculty and a much inferior monkey belong. Jugo’ achieves a high percentage of acquisition and, judging from other behaviors of his, he has the highest intellectual faculty, while Naki’ is so inferior that we nickname him a weak-minded boy. This is a consensus views of several observers. It is hard to understand, though interesting enough, that such a monkey as Jugo’ should have appeared in this lineage.
2 Environmental Basis of Pre-cultural Phenomena
We would like to consider the reasons why particularly among the Koshima troop pre-cultural phenomena developed.
The pre-cultural behavior we have seen above were all born out of obtaining food and the relation to men. That is, they all derive from provisionization.
Provisionization made great changes on the natural life of the troop. In the natural life feeding plays an important role. Being given enough food by men at the special feeding ground had to give a major influence on the natural life of the troop.
Japanese monkeys never have close social interaction with different animals. They were given food through provisionization by men, their greatest enemy, and they became to have a friendly relationship with men. That is, a new, different life environment or niche was introduced to their natural life. Therefore, provisionized monkeys suffered changes in their attitude and value system and were given foundations on which pre-cultural phenomena developed.
Another important factor is natural environment. In Koshima three different environments—that is, precipitous mountains with thick wood, the sandy beach, and the sea—are beautifully integrated. Before they were provisionized, mountains were their only habitat. But after the provisionization they came to know contrastingly different environments such as the sandy beach and the sea, and their natural environment was enriched rapidly. We believe that through the efforts to integrate the contrast their creative exploiting faculty has been formed. For major pre-cultural behaviors of the Koshima troop are connected with the sands and the sea.
In short, pre-cultural behaviors of the Koshima troop were all begun under the conditions of provisionization. It is quite doubtful whether or not such inventive behaviors as SPW and WW behaviors should have been developed in the natural life. We should notice here that in response to the change of environmental conditions monkeys have invented adaptive behavior. The creation of inventive behavior is most important. Behavioral adaptability or plasticity in response to the change of environment will become important when we come to think of the evolution of behavior of the species.
SUMMARY
1. In Koshima Island, Miyazaki Prefecture, there lives a natural troop of Japanese monkeys. In 1953 a monkey began Sweet-potato Washing behavior, which was spread to others and was fixed in this troop as pre-culture.
Among other newly acquired behaviors that were fixed as pre-culture, there are Wheat-washing behavior, Bathing behavior, and Give-me-some behavior. We have made clear the origin and the process of propagation of these four pre-cultural behaviors, considered their meaning and commented upon their significance in the evolution of behavior.
2. Sweet-potato Washing behavior
1) Sweet-potato washing behavior (SPW behavior) was begun by a one-and-a-half-year-old female in 1953.
2) This “inventive” behavior was propagated to others, and by August, 1962, 73.4% of 49 monkeys above 2 years old did this behavior.
3) The propagation of SPW behavior is divided into the first period (the period of individual propagation, 1953-1957) and the second period (the period of pre-cultural propagation, 1958- ).
4) In the first period propagation was made through lineage and playmate relationship. Acquisition of the behavior in the first period was made at the age of one or two without any difference due to sex. Monkeys older than five who acquired the behavior are all females. Adult monkeys who did not acquire the behavior could not acquire it even within five years after that period.
5) Propagation in the second period was made from mother to child. Almost all the children born after 1958 acquired SPW behavior.
6) The exception is the Nami’s lineage. Only 4 out of 8 lineage members do SPW behavior. This is due to the low intellectual faculty of the monkeys of this lineage.
7) In SPW behavior fresh water was used at first, then gradually salt water was used. Some of the monkeys, who acquired the behavior in the second period, began seasoning behavior with salt water instead of washing sweet-potatoes. Monkeys who perform both SPW and Seasoning behaviors are 12, and those who do Seasoning behavior only are 7.
3. Wheat-washing Behavior
1) Wheat-washing behavior (WW behavior) was begun in 1956 by a four-year-old female.
2) This “inventive” behavior was in the period of individual propagation, the process of which was the same with that of SPW behavior.
3) Monkeys who acquired this behavior are 19. That is 38.7% of the total of 49 monkeys.
4) Acquiring ages were 2, 3, and 4. There was no difference between male and female. Only one adult acquired the behavior.
5) This behavior was beginning to spread through mother-child relationship and the spread will soon shift to pre-cultural propagation.
6) Since 1959 Snatching behavior was witnessed. Young monkeys acquired WW behavior through it, but adults did nothing but snatching. Importance of Snatching behavior lies in the fact that monkeys take advantage of the products of others’ labor. Behaviors of this kind have not yet been witnessed among other troops of Japanese monkeys.
4. Bathing Behavior
1) Since 1959 there appeared monkeys who went in the sea. Up to that year monkeys of this troop did not go in the water. As of August, 1962, 63.2% of monkeys older than two bathed in the sea.
2) This behavior was begun by juveniles of two and three years old, and spread quickly among others. The percentage of acquisition of juveniles adolescent is 96.1. In juvenile and adolescent there is no difference of the percentage of acquisition between male and female.
3) The percentage of acquisition of adults is low—26.0. Difference of sex in adult counts much in the acquisition; male 14.2%, female 44.4%.
4) This behavior can be considered fixed in the troop as its pre-culture.
5) Swimming monkeys are 10 (20.4%). Five juveniles bathed themselves in water for playing and avoiding the heat.
5. Give-me-some Behavior
1) Give-me-some behavior (GM behavior) is an anticipatory response.
2) Monkeys who do GM behavior are 78.7%. Differences of sex and age do not count much in its acquisition. Difference from SPW, WW, and B behaviors is the high percentage of acquisition of adults.
3) Many monkeys who do not do GM behavior are found in the Nami’s lineage. This suggests that in some lineages the acquisition of this behavior is difficult.
4) GM behavior was born out of the friendly relationship to men. It is a symbolic behavior that represents the fixed attitude of the troop towards men.
6. Meaning of Pre-cultural Behavior
1) Bathing is an adaptive behavior to the environment. That the adaptive behavior is controlled by troop society is worth noticing.
2) SPW and WW behaviors are noteworthy as “inventive” behaviors. They are important for their connection with tool using and material culture or for the consideration of the genesis of material culture.
3) GM behavior is an implicit pre-culture. It will provide an interesting standpoint for evolution in its relation to the problems of value-attitude system and institution.
7. Environmental Factors
1) The newly acquired behaviors of the Koshima troop have been developed by provisionization.
2) Besides provisionization, creative faculty has been cultivated through the process of lives in which completely different environments, i.e., the mountain, the sand beach, and the sea, are integrated. For all the pre-cultural behaviors discussed here are related to the sand beach and the sea.
REFERENCES
Frisch, J., 1963. Japan’s contribution to modern anthropology. Studies in Japanese Culture (J. Roggendorf ed.) :225-244 Sophia Univ., Tokyo.
Imanishi, K., 1952. Evolution of the humanity. Man (K. Imanishi ed.) Mainichi-shinbunsha, Tokyo (in Japanese)
———, 1957. Identification—A process of socialization in the subhuman society of Macaca fuscata 1(1): 1-29 (in Japanese)
Itani, J., 1958. On the acquisition and propagation of a new food habit in the troop of Japanese monkeys at Takasakiyama. Primates 1(2): 84-98 (in Japanese)
——— & K. Tokuda 1958. Monkeys on Koshima islet. Nihon Dobutsuki (K. Imanishi ed.) III Kobun-sha Tokyo (in Japanese)
Kawai, M., 1958. On the rank system in a natural group of Japanese monkeys.
(I) Basic rank and dependent rank (II), in what pattern does the ranking order appear on and near the test box. Primates 1(2): 111-148 (in Japanese)
———, 1964 (a). Ecology of Japanese monkeys. Kawade-shobo. Tokyo (in Japanese)
———, 1964 (b) Newly-acquired behavior of the natural troop of Japanese monkeys on Koshima islet (abs.). Primates 5 (3-4)
———, 1965. Japanese monkeys and the origin of culture. Animals 5(16): 450-455
Kawamura, S., 1954. A new type of action expressed in feeding behavior of Japanese monkeys in the wild. Seibutsu Shinka 2(1): 11-13 (in Japanese)
———, 1958. Cultural behavior in Japanese monkeys. Biol. Sci. 10 Supplem.: 17-20 (in Japanese)
———, 1959. The process of sub-culture propagation among Japanese macaques. Primates 2(1): 43-60
& M. Kawai, 1956. Prehuman culture. Shizen 11(11): 28-34 (in Japanese)
Miller, N.E. & J. Dollard, 1941. Social learning and imitation. Yale University Press.
Miyadi, D., 1959. On some new habit and their propagation in Japanese monkey groups. Proc. 15th Int. Congr. Zool. 875-860
Suzuki, A., 1965. An ecological study of wild Japanese monkeys in snowy areas —focused on their food habits. Primates 6 (1): 31-72
Yamada, M., 1963. A study of blood-relationship in the natural society of the Japanese macaque. Primates 4(3): 43-65
Yatabe, T., 1945. Psychology of thinking in animals, Eikasha, Tokyo (J)
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**Better Choices**
Most fast food restaurants have healthier side choices now. You are able to get apple slices, carrots, low fat milk and oatmeal with fruit. Swapping out one of their healthier choices will save you on calorie and salt and help you get much needed vitamins and minerals.
**“Undress” Your Food**
Order your food without sauces. You can save a lot of calories by asking for your food without mayonnaise, sour cream, dressings or spreads. You can ask for packets of sauces and add them sparingly yourself.
**Special Orders**
Most fast food restaurants will accommodate special orders. You can ask for no salt on your fries and no sauces on your sandwiches, while adding extra lettuce, tomato, and onion. Also carrying a shaker of salt substitute for your fries will help to cut back your sodium intake.
**Enjoy Your Food**
Take time to enjoy what you are eating. Most people eat what is in front of them without thinking about it. If you take the time to enjoy your food and give your body time to process what you are eating, you might find that you eat less.
Many people today do not realize how many calories they drink. Adding more water to your diet and cutting the amount of sugary beverages is a good start to cutting these calories.
**Coffee**
With a coffee shop on almost every corner, more teens are drinking coffee beverages. Most of these drinks come in grande sizes and are loaded with calories. While there are no recommendations on the amount of caffeine a teen can safely consume, the American Dietetic Association recommends no more than 200 mg or a medium cup of gourmet coffee.
**Soda**
Most people drink soda everyday, and are not aware that it is full of empty calories. It offers no nutrition, and can actually rob your bones of calcium. Try making soda a treat instead of an everyday drink.
**Milk**
Milk is full of vitamins, minerals, and protein. Most people need 2-3 glasses a day to help build strong muscles and bones. Try drinking low fat or fat free milk. Chocolate milk does count. While it does contain more calories, it has the same nutrients.
**Tea**
Tea can be a great drink hot or cold. There are many flavored, uncaffeinated choices out there. Watch out for the pre-sweetened teas, as they can pack the calories on quick. Instead try sweetening them yourself with a sugar substitute or use a flavored hot tea bag and ice it down.
**Sports Drinks**
Many people drink sports drinks during exercise, or when they are ill. Sports drinks normally have less calories than soda and juices, but should still be had in moderation due to the higher sugar and salt content.
**Juice**
Juice can be good for you, if you have one serving (4 oz). If you are going to drink juice make sure it is 100% juice and does not have added sugar in it. If you like the flavor of juice, but not the calories, try sugar free drink mixes.
**Water**
Water should make up the majority of what you drink in a day and unfortunately, most people do not get enough water. Easy ways to get it in include carrying a water bottle with you and drinking it with meals and snacks. Try adding sugar free flavor packs, to add variety.
WATER BOTTLES
Keep bottles around the house so they can be filled with water quickly. You can take them with you whenever you leave the house.
KEEP IT COLD
Keep a pitcher of water in the refrigerator. If it is cold and ready at your fingertips, you will probably be more likely to drink more of it, more often.
Watch what you drink.
When the first Coca-Cola was introduced in 1915 it came in a 6-ounce bottle. Today, you'd be hard-pressed to find one that small; instead you get 20-, 32-, even 64-ounce sodas loaded with calories. You may also drink sweetened teas, calorie-laden coffee drinks, and juices that contain very little real juice but a lot of sugar. Sugared drinks don't provide vitamins, minerals, or fiber.
Water: You Are What You Drink
Over half of the human body contains water. It is important for you to drink plenty of water daily. Water helps your body flush waste, regulate temperature, prevent kidney stones and constipation. | <urn:uuid:b1fbbc8b-b8df-431c-8a64-c91c3fcbd0ee> | CC-MAIN-2015-11 | http://www.cincinnatichildrens.org/WorkArea/DownloadAsset.aspx?id=91651 | 2015-03-01T19:21:56Z | crawl-data/CC-MAIN-2015-11/segments/1424936462548.53/warc/CC-MAIN-20150226074102-00263-ip-10-28-5-156.ec2.internal.warc.gz | 394,241,017 | 1,437 | eng_Latn | eng_Latn | 0.999278 | eng_Latn | 0.999344 | [
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Irritated? Frustrated? Angry? Ready to explode? You're not alone. Whether it's an argument with a friend, aggravation because a driver cuts in front of you or a disagreement about the best way to do a job - conflict is part of everyday life. Conflict produces stress, hurts friendships, and can cause injury and death. We can't always avoid conflict but we can learn to manage it without violence. That way, we use conflict to improve our lives and to learn from past mistakes.
Do it yourself...
**What skills do you need to manage personal conflict?** Understanding your own feelings about conflict. This means recognizing your "triggers," words or actions that immediately provoke an emotional response, like anger. It could be facial expression, a tone of voice, a pointing finger or a certain phrase. Once you know your "triggers," you can better control your emotions.
**Active listening.** Go beyond hearing just words; try to understand what the other person is saying. Listen carefully, instead of thinking about what you're going to say next. Active listening requires concentration and body language that says you are paying attention.
**Generating options for resolving a conflict.** Many people can think of only two ways to manage conflict - fighting or avoiding the problem. Get the facts straight, brainstorm all ideas that might help resolve the argument, and discuss the pros, cons, and consequences. Moving away from confrontation and toward agreement. Look at your response to conflict. If your style isn't working - you're left with raging emotions that lead to more problems - try to change.
**State your needs and define the problem.** Talk about the issues without insulting or blaming the other person. Don't state your position; that's simply your solution to the problem. Take a hard look at what is said (position) with what is really meant (needs).
**Together, discuss various ways of meeting needs or solving the problem.** Be flexible and open-minded. Decide who will be responsible for a specific action after reaching agreement on a plan.
**Tips for Making Peace**
- Choose a convenient time
- Plan ahead
- Talk directly
- Don't blame or name-call
- Give information
- Listen
- Show that you are listening
- Talk it through
- Work on a solution
- Follow through
If you can't work it out... get help, try mediation. Courts, schools, and businesses are turning more and more to mediation to help
resolve disputes. Mediators do not make decisions for people - they help people make their own decisions.
In mediation sessions, a neutral third person (or persons) helps the parties in conflict resolve their problem. Mediators should be detached and unbiased. They may be professionals or volunteers who have undergone intensive training. Mediators do not dictate a settlement; they encourage dialog, provide guidance, and help the parties define areas of agreement and disagreement. A mediation session is confidential.
**Try arbitration.** In arbitration, a neutral party acts as a judge. Disputing parties agree on an arbitrator who then hears evidence from all sides, asks questions, and hands down a decision. Usually, the arbitrator's decision is final. Some arbitration programs use a panel of arbitrators who make decisions by majority vote.
**Try an ombudsman.** An ombudsman is hired by and works within an institution. The ombudsman's job is to investigate complaints from the public against the institution, make recommendations, and try to resolve problems. He or she has no enforcement power, but must use reason and persuasion to convince management that certain policies or practices should be changed. Newspapers, television and radio stations, government agencies, health care systems, and educational systems often use ombudsmen.
**ENCINO:**
Senior Lead Officer Robert Trulik
Office (818) 374-7637
email@example.com
Cell (818) 731-2572
Contact Officer Trulik for information on the next Encino Neighborhood Watch Meeting.
- Share negative emotions only in person or on the phone. E-mails, answering machine messages, and notes are too impersonal for the delicate nature of negative words. What feels like a bomb on paper may feel like a feather when delivered in person.
- Pepper your responses with the phrase, "I understand". This phrase will support your goals when the tension is high and you need to find common ground to form compromises or agreements with the other party.
- Take notice when you feel threatened by what someone is saying to you. Resist the temptation to defend yourself or to "shut down" the other person's communication. It will take this kind of discipline to become an open, trusting communicator.
**LAKE BALBOA:**
Senior Lead Officer David Ham
Office (818) 374-7634
firstname.lastname@example.org
Cell (818) 731-2551
Senior Lead Officer Saul Paredes
Office (818) 374-7635
email@example.com
Cell (818) 731-2554
Contact Officer Ham or Officer Paredes for information on the next Lake Balboa Neighborhood Watch Meetings.
- Practice making requests of others when you are angry. It is often much more useful to make a request than to share your anger. For example, if your neighbor is driving you crazy by honking his horn late at night, it is better to make a request of them than to let your anger lash out in other ways.
- Try repeating the exact words that someone is saying to you when they are in a lot of emotional pain or when you disagree with them completely. This mirroring technique can keep both the speaker and the listener "entered" in a difficult conversation, especially when the attitude of the person doing the mirroring is to gain understanding of a different point of view.
- Take responsibility for your feelings to avoid blaming others. Notice when "blame shifting" begins to leak into your speech.
"I feel angry when you are twenty minutes late and you don't call me" is much better than, "You make me so mad by being late."
**RESEDA:**
Senior Lead Officer Royal Barber
Office (818) 374-7629
firstname.lastname@example.org
Cell (818) 731-2580
Senior Lead Officer Isela Parra
Office (818) 374-7631
email@example.com
Cell (818) 731-2574
Next Neighborhood Watch Meeting – **February 9 and March 8 at 7:00 p.m.**
Ann Kinzle Community Room located in the West Valley Community Police Station
- Learn to listen to the two sides of the conflict that you are in as if you were the mediator or the counselor. If you can listen and respond in this way you will bring peace and solutions to the conflict more quickly. For example, in response to an employee's raise request, you might say, "On the one hand I understand that you really need the raise, and on the other hand I represent the company, whose funds are very scarce at this time. Is there a way that I can work on your compensation package that does not involve cash?" Here, the mediator's point of view can look for the creative compromise that takes into account the limits and the needs of both parties.
- Take a playful attitude towards developing the skill of emotional self-control in high conflict situations. You could view maintaining self-control in a tense, angry conversation as an athletic feat. You could also view developing this skill as similar to working out at the gym with weights - the more that you use your self-control muscle the bigger it will grow and the easier it will be to remain calm when tension is great.
**TARZANA:**
Senior Lead Officer Daryl Scoggins
Office (818) 374-7632
firstname.lastname@example.org
Cell (818) 731-2573
Contact Officer Scoggins for information on the next Tarzana Neighborhood Watch Meeting.
- Wait a few days to cool down emotionally when a situation makes you feel wild with intense feelings, such as rage. As time passes, you will be able to be more objective about the issues and to sort out the truth about the situation more clearly.
- Make a decision to speak with decorum whenever you are angry or frustrated. If you give yourself permission to blow up, people will not feel safe around you. They will feel that you are not predictable and will carry “shields” when they are near you. The fear and walls of others will not support your goals for success in relationships or at work.
LAPD – West Valley Cadet Program
WHAT’S IT ALL ABOUT?
The Los Angeles Police Department has developed a law enforcement Cadet program.
The program serves four main purposes:
- It provides insight to help you determine whether you would like to pursue a career in the world of law enforcement by involving you in real police activities with the nation’s highest trained and most experienced officers.
- The Program offers you an opportunity to develop a positive relationship with the police in your community.
- The program will give you the proper framework to develop a sharp mind and physically fit body.
- The program will help you better understand our local form of government and your responsibilities as a citizen.
Requirements:
- Age 13 through 19.
- Maintain a “C” average in all school work through the twelfth grade.
- Have no criminal record, serious arrest, or convictions.
- Maintain good moral character.
- Present a written recommendation from a teacher, religious leader, or other responsible non-related adult.
- Pass a background investigation.
- Obtain a medical examination (to qualify for required insurance).
- Attend and graduate from the Cadet Academy.
If you or someone you know has an interest in joining the LAPD West Valley Cadet Program call (818) 374-7687.
Completely free!!!
...Learning to Protect and Serve... | <urn:uuid:495e4f37-0951-4c5b-969e-f4f9e9c89c40> | CC-MAIN-2015-11 | http://www.lapdonline.org/west_valley_news/pdf_view/50143 | 2015-03-01T19:24:24Z | crawl-data/CC-MAIN-2015-11/segments/1424936462548.53/warc/CC-MAIN-20150226074102-00273-ip-10-28-5-156.ec2.internal.warc.gz | 583,051,923 | 2,052 | eng_Latn | eng_Latn | 0.997586 | eng_Latn | 0.998171 | [
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In 1847, from an observatory on Nantucket, Maria Mitchell discovered a comet. That comet has flown out of our system forever, but issues that affected Mitchell’s life stay firmly rooted to our planet.
Renée Bergland, a Boston scholar of gender and cultural studies, has written *Maria Mitchell and the Sexing of Science* to trace the story of a bright little girl whose father taught her to love astronomy. Mitchell grew up not only to discover a comet but to tour Europe, to establish Vassar’s astronomy department, to serve as “computer of Venus” – responsible for a vital navigational aid – for the U.S. Nautical Almanac for 19 years, and to earn a gold medal from the King of Denmark.
Human lives are fascinating not only because of their individual details, but also because of how they play out in relation to the bigger pictures of society, religion, politics, and intellectual and natural events around them. So Bergland’s book about Mitchell is a worthwhile read for anyone with an interest in astronomy, the history of science, women’s studies (especially women’s education), Nantucket, or nineteenth century history and literature. The marvel is that Bergland writes about all of her topics with ease and an eye for detail.
Consider this depiction of the childhood home of Mitchell and her nine siblings: “Suspended from the Mitchells’ kitchen ceiling, a large crystalline bowl of water caught the slanty sunlight and threw rainbows around the room.”
We learn that Maria (pronounced Mah RI ah) has a direct connection to Christa McAuliffe, although the deceased Challenger astronaut-teacher is not named in the text. Mitchell’s first job was as an assistant to Cyrus Pierce, first principal of Nantucket’s first high school in 1837, and later founding director of “the world’s first school of education,” Framingham Normal School, now Framingham State College; and McAuliffe’s alma mater.
Bergland’s eye is ever toward gender roles in the scientific world and beyond, and her book sets out to trace how they affected Mitchell’s life story: “She was only eleven years old when she began to work as her father’s assistant [1829], thirteen when she joined the Nantucket Philosophical Institution, but she was always treated as a valued partner rather than as a cheap assistant. Women who came of age a hundred years later had fewer opportunities and much less encouragement.”
How women’s place in science “inverted” – “went retrograde” – to cite two of the author’s images – constitutes a large proportion of the book’s narrative. The answer involves many strands: a nation devastated by the Civil War, an emerging biology that believed there was a “scientific” division between what was truly “male” and “female”; a sea-change in science itself from observation and description to mathematical hypothesis and industrial innovation – that is to say, from low pay to high. The sad result, says Bergland, was that, “In one way or another, each of Mitchell’s students was hemmed in, forced into an ever smaller space and eventually left with nothing but memories of intellectual freedom.”
Bergland builds her case through stories of Mitchell’s life on Nantucket, her travels in Europe (some of which were with Nathaniel and Sophia Hawthorne), her faculty years at Vassar, and her retirement to Lynn in 1888 (“I am studying Greek. It will take 30 years, but I may find a chance for it in the other world.”)
When Maria Mitchell died on June 28, 1889, her body was carried home for a funeral on Nantucket. There, according to Bergland, John M. Taylor, president of Vassar, “delivered a eulogy that began the work of softening Mitchell’s image.”
Taylor remarked on Mitchell’s “tenderness…a thoughtfulness of others, that beautified her strength
and gave balance to her independence...her kindness to little children...She was a woman of remarkable strength, but a woman withal."
Bergland roars back: "A woman withal": why did Mitchell's mourners (or Taylor, for that matter) need to be reassured on such a basic point? Did anyone doubt that she was a woman?
Soon after Taylor's eulogy, Mitchell's friends and supporters began to emphasize not the brilliant mathematician and astronomer and teacher, but the "womanly" doer of laundry and crocheter of yarn (although Mitchell herself had noted her own hatred of sewing). To satisfy a gender role, the ones who loved her best, meaning the best, helped the world to forget what Maria Mitchell had loved best — astronomy.
Bergland doesn't condemn them. "For everyone, male or female, the scientific thought of the early and middle nineteenth century played merry hell with conventional thinking on identity." (How about this: Julia Ward Howe — of the "Battle Hymn of the Republic" — wrote a novel about a hermaphrodite).
The author has given us a really thorough, well-written biography for the twenty-first century. There's more in this book than can ever fit into a review.
Read it for its intellectual pleasures; read it for its graceful language; read it for its great sweep of a story, just as Maria Mitchell swept the heavens and found a comet. | <urn:uuid:641eaa5c-b043-490f-951f-4b9f792255b7> | CC-MAIN-2015-11 | http://www.barnstablepatriot.com/home2/index2.php?option=com_content&do_pdf=1&id=15216 | 2015-03-01T19:26:19Z | crawl-data/CC-MAIN-2015-11/segments/1424936462548.53/warc/CC-MAIN-20150226074102-00266-ip-10-28-5-156.ec2.internal.warc.gz | 332,404,519 | 1,101 | eng_Latn | eng_Latn | 0.997316 | eng_Latn | 0.997184 | [
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HYPOTHESIS TESTING: TWO POPULATION MEANS AND TWO POPULATION PROPORTIONS: MATCHED OR PAIRED SAMPLES*
Susan Dean
Barbara Illowsky, Ph.D.
This work is produced by OpenStax-CNX and licensed under the Creative Commons Attribution License 3.0†
Abstract
This module provides an overview of Hypothesis Testing: Matched or Paired Samples as a part of Collaborative Statistics collection (col10522) by Barbara Illowsky and Susan Dean.
1. Simple random sampling is used.
2. Sample sizes are often small.
3. Two measurements (samples) are drawn from the same pair of individuals or objects.
4. Differences are calculated from the matched or paired samples.
5. The differences form the sample that is used for the hypothesis test.
6. The matched pairs have differences that either come from a population that is normal or the number of differences is sufficiently large so the distribution of the sample mean of differences is approximately normal.
In a hypothesis test for matched or paired samples, subjects are matched in pairs and differences are calculated. The differences are the data. The population mean for the differences, $\mu_d$, is then tested using a Student-t test for a single population mean with $n-1$ degrees of freedom where $n$ is the number of differences.
The test statistic (t-score) is:
$$t = \frac{\overline{x}_d - \mu_d}{\left(\frac{s_d}{\sqrt{n}}\right)} \quad (1)$$
Example 1: Matched or paired samples
A study was conducted to investigate the effectiveness of hypnotism in reducing pain. Results for randomly selected subjects are shown in the table. The "before" value is matched to an "after" value and the differences are calculated. The differences have a normal distribution.
| Subject: | A | B | C | D | E | F | G | H |
|----------|----|----|----|----|----|----|----|----|
| Before | 6.6| 6.5| 9.0| 10.3| 11.3| 8.1| 6.3| 11.6|
| After | 6.8| 2.4| 7.4| 8.5 | 8.1 | 6.1| 3.4| 2.0 |
**Table 1**
**Problem**
Are the sensory measurements, on average, lower after hypnotism? Test at a 5% significance level.
**Solution**
Corresponding "before" and "after" values form matched pairs. (Calculate "sfter" - "before").
| After Data | Before Data | Difference |
|------------|-------------|------------|
| 6.8 | 6.6 | 0.2 |
| 2.4 | 6.5 | -4.1 |
| 7.4 | 9 | -1.6 |
| 8.5 | 10.3 | -1.8 |
| 8.1 | 11.3 | -3.2 |
| 6.1 | 8.1 | -2 |
| 3.4 | 6.3 | -2.9 |
| 2 | 11.6 | -9.6 |
**Table 2**
The data for the test are the differences: \{0.2, -4.1, -1.6, -1.8, -3.2, -2, -2.9, -9.6\}
The sample mean and sample standard deviation of the differences are:
\[ \overline{x_d} = -3.13 \] and \( s_d = 2.91 \) Verify these values.
Let \( \mu_d \) be the population mean for the differences. We use the subscript \( d \) to denote "differences."
**Random Variable:** \( \overline{X_d} \) = the mean difference of the sensory measurements
\[ H_o : \mu_d \geq 0 \]
There is no improvement. (\( \mu_d \) is the population mean of the differences.)
\[ H_a : \mu_d < 0 \]
There is improvement. The score should be lower after hypnotism so the difference ought to be negative to indicate improvement.
**Distribution for the test:** The distribution is a student-t with df = \( n - 1 = 8 - 1 = 7 \). Use \( t_7 \). *(Notice that the test is for a single population mean.)*
Calculate the p-value using the Student-t distribution: p-value = 0.0095
**Graph:**
$\overline{X}_d$ is the random variable for the differences.
The sample mean and sample standard deviation of the differences are:
$\overline{x}_d = -3.13$
$s_d = 2.91$
**Compare $\alpha$ and the p-value:** $\alpha = 0.05$ and $p$-value = 0.0095. $\alpha > p$-value.
**Make a decision:** Since $\alpha > p$-value, reject $H_o$.
This means that $\mu_d < 0$ and there is improvement.
**Conclusion:** At a 5% level of significance, from the sample data, there is sufficient evidence to conclude that the sensory measurements, on average, are lower after hypnotism. Hypnotism appears to be effective in reducing pain.
**NOTE:** For the TI-83+ and TI-84 calculators, you can either calculate the differences ahead of time (after - before) and put the differences into a list or you can put the **after** data into a first list and the **before** data into a second list. Then go to a third list and arrow up to the name. Enter 1st list name - 2nd list name. The calculator will do the subtraction and you will have the differences in the third list.
**NOTE:** TI-83+ and TI-84: Use your list of differences as the data. Press STAT and arrow over to TESTS. Press 2:T-Test. Arrow over to Data and press ENTER. Arrow down and enter 0 for $\mu_0$, the name of the list where you put the data, and 1 for Freq. Arrow down to $\mu$: and arrow over to $<\mu_0$. Press ENTER. Arrow down to Calculate and press ENTER. The p-value is 0.0094 and the test statistic is -3.04. Do these instructions again except arrow to Draw (instead of Calculate). Press ENTER.
**Example 2**
A college football coach was interested in whether the college’s strength development class increased his players’ maximum lift (in pounds) on the bench press exercise. He asked 4 of his players to participate in a study. The amount of weight they could each lift was recorded before they took the strength development class. After completing the class, the amount of weight they could each lift was again measured. The data are as follows:
| Weight (in pounds) | Player 1 | Player 2 | Player 3 | Player 4 |
|-------------------|----------|----------|----------|----------|
| Amount of weighted lifted prior to the class | 205 | 241 | 338 | 368 |
| Amount of weight lifted after the class | 295 | 252 | 330 | 360 |
Table 3
The coach wants to know if the strength development class makes his players stronger, on average.
Problem
Record the differences data. Calculate the differences by subtracting the amount of weight lifted prior to the class from the weight lifted after completing the class. The data for the differences are: \{90, 11, -8, -8\}. The differences have a normal distribution.
Using the differences data, calculate the sample mean and the sample standard deviation.
\[ \bar{x}_d = 21.3 \quad s_d = 46.7 \]
Using the difference data, this becomes a test of a single ____________ (fill in the blank).
Define the random variable: \( \bar{X}_d = \) mean difference in the maximum lift per player.
The distribution for the hypothesis test is \( t_3 \).
\[ H_o : \mu_d \leq 0 \quad H_a : \mu_d > 0 \]
Graph:
Figure 2
Calculate the p-value: The p-value is 0.2150
Decision: If the level of significance is 5%, the decision is to not reject the null hypothesis because \( \alpha < \text{p-value} \).
What is the conclusion?
Example 3
Seven eighth graders at Kennedy Middle School measured how far they could push the shot-put with their dominant (writing) hand and their weaker (non-writing) hand. They thought that they could push equal distances with either hand. The following data was collected.
| Distance (in feet) using | Student 1 | Student 2 | Student 3 | Student 4 | Student 5 | Student 6 | Student 7 |
|-------------------------|-----------|-----------|-----------|-----------|-----------|-----------|-----------|
| Dominant Hand | 30 | 26 | 34 | 17 | 19 | 26 | 20 |
| Weaker Hand | 28 | 14 | 27 | 18 | 17 | 26 | 16 |
Table 4
**Problem**
Conduct a hypothesis test to determine whether the mean difference in distances between the children’s dominant versus weaker hands is significant.
**Hint:** use a t-test on the difference data. Assume the differences have a normal distribution. The random variable is the mean difference.
**Check:** The test statistic is 2.18 and the p-value is 0.0716.
**What is your conclusion?**
Solutions to Exercises in this Module
Solution to Example 2, Problem (p. 4)
means; At a 5% level of significance, from the sample data, there is not sufficient evidence to conclude that the strength development class helped to make the players stronger, on average.
Solution to Example 3, Problem (p. 5)
$H_0$: $\mu_d$ equals 0; $H_a$: $\mu_d$ does not equal 0; Do not reject the null; At a 5% significance level, from the sample data, there is not sufficient evidence to conclude that the mean difference in distances between the children’s dominant versus weaker hands is significant (there is not sufficient evidence to show that the children could push the shot-put further with their dominant hand). Alpha and the p-value are close so the test is not strong. | <urn:uuid:f136fd61-75b9-45f2-a6b0-b44d44a7a045> | CC-MAIN-2015-11 | http://cnx.org/content/m17033/1.15/?format=pdf | 2015-03-01T19:21:31Z | crawl-data/CC-MAIN-2015-11/segments/1424936462548.53/warc/CC-MAIN-20150226074102-00288-ip-10-28-5-156.ec2.internal.warc.gz | 53,396,915 | 2,324 | eng_Latn | eng_Latn | 0.977692 | eng_Latn | 0.992572 | [
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Memorial Book
In Loving Memory of
Ethan Edward Lombard
(July 5, 2007 - October 20, 2007)
"Making the decision to have a child is momentous. It is to decide forever to have your heart walking around outside your body."
Elizabeth Stone
This memorial website was created to commemorate the beautiful life of our baby boy Ethan Edward Lombard who was born on July 5, 2007 and returned to Heaven on October 20, 2007.
Dear Ethan,
Since the day you entered our lives, we knew that we were given a very special little angel. We cherished every moment of your life that God blessed us with... 3 months and 15 days worth. It hurt more than we could have ever imagined when you went to Heaven, but we trust that God knows how special you are and that He needed you by His side.
Your impact on our lives, and the lives of so many others that love you, will never be forgotten. We miss you every second of every day baby e, and we will live with you in our hearts forever.
With patience, we will see you again, our little angel baby. <3
Read Ethan’s Life Story
Here are a few songs that make us think of Ethan for various reasons. For instance, the song "Mushaboom" was a song that we would always play for him when he was still in my belly. "Harvest Moon" and "Bird Stealing Bread" were songs that we would play for him to help him fall asleep at bedtime. :) Other songs are just some that we would sing and dance with him to, mixed with a few others that just touch our hearts now that he is in Heaven.
He enjoyed them, so we hope you do too. <3
By the way, if you have a song that makes you think of Ethan and you would like to have it added to the playlist, send me an email at firstname.lastname@example.org :)
Baby Ethan's Valentine's Day things. :)
Some people only dream
of Angels...
I held one in my arms.
Valentines... to Heaven
This Valentine is not of the ordinary kind,
It's still filled with love...and blessings inside;
But mine has to be sent on the wings of love...
You see it's destination is the Heavens above.
It's not being sent to my parents so dear,
For they are still with me each day of the year;
It's being sent to my child...who left earth so soon,
Who's now in the Heavens with the stars and the moon.
The message is the same as your valentine,
I love you...my sweet precious child of mine;
My love is still deeper than the ocean is blue,
And it's sent with hugs and kisses...from me to you.
I know you are with me each and every day,
You listen as I talk to you...and hear what I say;
For that is one thing that death cannot do...
...you'll always be a part of me...and me a part of you.
Happy Valentine's day sunshine...I miss you so much,
I know you know how many lives you have touched;
You'll always be mine...I love you with all my heart,
I know we'll be together again...and then we'll never part.
So you see the meaning is still the same...
The method of delivery is the only change;
Mine must be sent by a little white dove...
On the wings of Heavenly Love.
Written by:
Laura/Heavenly Lights Children's Memorial
❤ Little Red Sox Fan ❤
"To live in hearts we leave behind, is not to die."
- Thomas Campbell
We have an Angel in Heaven.
The Broken Chain
We little knew that morning that God was going to call your name.
In life we loved you dearly, In death we do the same.
It broke our hearts to lose you, you did not go alone;
for part of us went with you, the day God called you home.
You left us peaceful memories, your love is still our guide,
and though we cannot see you, you are always at our side.
Our family chain is broken, and nothing seems the same,
but as God calls us one by one, the chain will link again.
The Tree of Life
by Lisa O. Engelhardt
If I could grow a tree for you,
I'd water it with tears,
And nurture it with memories
gathered through the years
Grounded in firm values
this tree would find its roots
And from its legacy of love
would grow the sweetest fruits.
Ever branching outward,
its canopy would swell,
A living, loving tribute
to a life lived full and well.
Finally, its leaves would reach
the floor of heaven, and then
I'd climb up on its branches...
just to hold you once again.
"May we live in peace without weeping. May our joy outline the lives we touch without ceasing. And may our love fill the world, angel wings tenderly beating."
- Irish Blessing
Little Boys
so cute and sweet
from their happy smiles
to their tiny little feet.
Click here to see the candles lit for Ethan - 12/9/07
Click here to see pictures of Ethan's Christmas Tree
Their tiny feet go before us...
to show us our way home...
Ethan
Gallery
so sweet, so unforgettable...
Four pictures in a collage, each with a different scene and people:
1. A man holding a child on his shoulders, both wearing hooded jackets.
2. A woman sitting on hay bales with pumpkins and flowers around her.
3. A man holding a baby, both wearing red shirts.
4. A baby in a baseball jersey, looking at the camera.
baby e <3
Le'ts go Red Sox, Let's go!
His Conan O'Brien look...heh
Having fun talking to mommy
Baby Photos
1. Baby in yellow outfit, smiling.
2. Baby in yellow outfit, looking at camera.
3. Baby shirtless, smiling.
4. Baby in yellow outfit, looking at camera.
Check out my "muscles" :)
Such a happy baby. ;)
and then, one day, his smiles came in. ;)
A collection of four framed photographs featuring a baby in various settings, each with a unique background and expression.
Talking to Mommy. :)
Silly boys :)
Nap time!
Getting big :) 2 months old.
His first walk
Sleeping in daddy's arms
Ethan at the Pumpkin Patch
weeeeeee!
A baby in a pumpkin hat and jacket, surrounded by pumpkins.
A collage of four framed photographs featuring a baby and a woman. The top left photo shows the baby wrapped in a blanket with colorful stars, lying on a patterned surface. The top right photo captures the baby in a white onesie with red lettering, lying on a bed. The bottom left photo is a close-up of the woman holding the baby, both looking at the camera. The bottom right photo shows the baby sleeping peacefully with a pacifier in its mouth, lying on a patterned surface.
His first walk
Sleeping like an angel.
Four pictures of a baby in various poses and settings.
Ethan's 1st bath (hated ittttt)
Father & Son
ohh, i love sleeps!
7/5/07, the day our angel was born.
Ethan's 1st day home!
1 month - his great grandpa's fire helmet
Memorial Candles
our words, your light...
02/16/2008
**Mommy**
Daddy & I are sending BIG kisses up! I love you efan ed! Night night <33
02/16/2008
**Mommy**
Just thinking about your sweet little smile - I miss it! I love you sweet baby <333
02/16/2008
**Vi (Paul Kurlfinks mom)**
Good morning sweet angel. Thinking of you and your mom today and sending lots of hugs your way.
02/16/2008
**Mommy**
Such a sunny day today! Thinking of you always <3 - Love you sweet baby <33 xoxo
02/16/2008
**Nana L.**
"E" I hope you got a giggle out of watching mom & dad send your v's to U. Silly guys!! Love & miss U bunchesxo
02/16/2008
**Nana**
Ethan, Nana loves you up to the sky and back again!! XO's
02/15/2008
**Mommy**
Night night little e eddie baby! <333 Love you so much!
02/15/2008
**Daddy!**
I knew you were good at sharing. All those babies in babyland loved you for sharing your balloons and valentines! We love you!
02/15/2008
**Mommy**
Efaneddie, so sweet! He wanted to share his valentine's with the other babies.. :) hehe. I love youuuuuu!! <333
02/15/2008
**Mommy**
Hey little son-shine! :) Daddy is off today so we're going to get balloons & send your valentine's to heaven! <3
02/15/2008
**Aunt Mary**
Morning Ethan. Saying hello. Thinking of you.
02/15/2008
**Nana L.**
Mornin'baby.. just dropping of a bushel of hugs & kisses from me and papa...we miss you so much. love you always..xoxoxo
| Date | Name | Message |
|------------|-----------------------|-------------------------------------------------------------------------|
| 02/15/2008 | Aunt Monica | Been thinking about you little guy! Love you! |
| | Mommy | Sweet dreams my little valentine <33! Love you! |
| | Jacky's mom | Honey>>hugs ... |
| | Christine | Happy Valentines day sweet e bug. I love you tons and tons! I hope you got all the kisses I sent today! XOXO. |
| 02/14/2008 | Angel IsaBella Carvalho's Mom | Happy Valentine's Day precious baby boy, sending your way alots of balloons. Stay close to your family. G bless |
| | Mommy | Guess what baby e! Aunt Sabrina is having a baby BOYYY!! A new little baby boy cousin for you! :D |
| | Auntie Noreen | Happy valentine day buddy miss and love you. wish nana k a happy v day from papa kelly |
| | Daddy! | Happy first V-day Bubby! We all miss and love you so much. Every day we have your memory is like V-Day! I love you so much! |
| 02/14/2008 | From Heaven | Happy Valentine's Day, I Love and Miss You All! Thanks for all the Love you send me each and every day for I feel it up here!! |
| | Mommy | Happy valentine's day! i love & miss you my little efaneddie *biggest kiss ever* <33 xoxo! |
| | Uncle Moosie and Auntie Jen | Hey lil Bud-E, happy valentines day. I am really sorry that I did not get a card up and out for you. We love and miss you lots |
| | l. hesserdoodle! | I lub you efaneddie angel baby! i sure hope my valentine got to you in time for the big day!!! sending you lots of kisses today <3 |
02/14/2008
**Nana L.**
Happy "love day sweet "e" sending you lots of hugs & kisses.give nana k & b kisses from me & papa xo
---
02/14/2008
**Aunt Tabby**
Awww thank you for sending us all these angel kisses! happy valentine's! we love you!!! xoxoxoxoxoxo
---
02/14/2008
**Auntie Eileen**
Happy v-day ethan sorry i haven't talked to you lately, busy training jasper. kiss nana k for me. hope u 2 enjoy v-d luv a.e.
---
02/14/2008
**Nana**
Happy Valentines Day Ethan!Tell Great Nana Betty that I love her too and miss being able to buy her a BIG heart filled with candy.
---
02/13/2008
**Mommy**
Night little sweet angel!! :D Tomorrow is Valentine's Day! You're the best Valentine I could ever have. I love u! <33
---
02/13/2008
**Mommy**
I hope you like your new Valentine's Day things Daddy & I brought you today! I love you lil puntin head <3
---
02/13/2008
**Mommy & Daddy**
Kisses to you sweet baby! Good morning! It's rainy today, but it should be sunny by tomorrow for v-day! Love you! <333
---
02/13/2008
**Adam Ahmad's mommy**
Hey cutie pie,Love ur beautiful face,I will ask Adam to hug you tight,and give u million kisses:)love u lots,ur mommy is so sweet.
---
02/13/2008
**Mommy**
Night night little e eddie baby <333 Give hugs to all of your angel friends from me. Love you! xoxo
---
02/12/2008
**Mommy**
Love you little baby boyyyy! Got you a special v-day present. :] Daddy & I will come bring it to you tomorrow. I love you!
---
02/12/2008
**Daddy!**
I woke up and was thinking of you so I thought I would come and say hi! i love you E. Mommy and I have the best valentine ever!
---
02/12/2008
**Grandmother to Angie-Robert**
Our hearts will be aching for our sweet Angels on Valentine's Day, but Ethan will be your special Valentine Angel forever.xo
| Date | Name | Message |
|------------|---------------|-------------------------------------------------------------------------|
| 02/12/2008 | Mommy | Hi cutie patootieee! :) Love & miss you sweet angel boy! |
| | Nana | I got a sweet treat from your Mommy. It was an unseen pic of You and Avery as Ben and Jerry. Both your little heads in the cutouts! XO |
| | Uncle Moosie | Good morning lil Bud-E. thinking about you always. Love and Miss you. ~UM~ |
| | Mommy & Daddy | Night night sweet angel baby! :D Love you lots and lots <3 xoxoxo |
| 02/11/2008 | Mommy | Gooooooood morning! Mommy loves you little little e! |
| | Ethan Delgado's Mom | Your little Angel Ethan’s pictures put a smile on my face which I haven’t had one for days. Many blessings to you. |
| | chris | I am sorry for your loss. |
| | Aunt Tabby | Hey sweetie, it might be cold outside, but I feel warm inside because of you!! <3 |
| 02/11/2008 | Uncle Moosie | Bud-E, Sorry that I haven’t lit any candles lately, been very busy. You’re always in my thoughts and in my heart. Miss you |
| | Mommy | I feel so close to you sweet baby. I know you’re always with me. I love you! Night night <33 |
| | Adam's mommy | Sending u Kisses sweetheart..xoxox |
| 02/10/2008 | Mommy | Good morning babe e! <3 You're always on my mind & forever in my heart. I miss your smile <3 |
02/09/2008
Mommy
I know you'll get them! <3 I love you so much baby wabey. *kisses forever* - night night!
02/09/2008
Mommy
Wait until you see the Valentines that Saige, Austin, Avery, Joshie & J made for you! :) We're going to send them up! <3
02/09/2008
Adam Ahmad's mommy
Hi Cutie, World is not the same place since we said good bye, i wish all my boys just come home. My heart aches for all of u.
02/09/2008
Ethan
My dearest Mom and Dad, I'm in a beautiful place:) and can see you from up here in heaven :} You'll be in my heart for ever:)
02/09/2008
Az
Rest in peace you sweet sweet angel :). When you see my Daddy up in heaven, give him a big hug from me :)
02/09/2008
Nana L.
Hi Sweetie, me & Papa stopped by to see you today. Cupid sure is busy filling your Val. mailbox with lots of Love. LUV U XOXO
02/09/2008
Christine
Hey e bug! Uncle billy and I talked lots about you last night! We miss you so much and love you even more!!
02/09/2008
Mommy
Good morning son-shineee! ;) I love you soooooooooo much! <3
02/09/2008
Mommy
Sweet dreams little efaned! Mommy loves you!! <333
02/09/2008
Nana
Hi My Sweet Ethan. I see that your Mommy has painted some real cute pictures for her Bubbly. I think somebody special loves you!!!!
02/08/2008
Auntie Noreen
Hi Buddy I see you have two friends, I am so happy for you. Give kisses to Nana Kelly xox
02/08/2008
Mommy
Thinking of you bunches and bunches sweet baby & loving you even more <333 *xoxo*
02/08/2008
**Mommy**
Night night sweet little eddie baby! Give a kiss to all our angels up there with you. I love you! <33
---
02/08/2008
**Adam Ahmad’s mom**
Hi Sweetie, Give Adam hugs from me, i wonder what he does when he misses me? I hope he does fun things with u and Tristan, kisses, xo xoo
---
02/07/2008
**Mommy**
Daddy & I visited today and saw all the cute things people have left for you! You are so loved sweet baby <33!
---
02/07/2008
**Christine**
Hey e bug! I can't wait to see you tomorrow and show you you're valentine! Thanks for the 2 beautiful days! I love you millions
---
02/07/2008
**Aunt Tabby**
Hi Sweetie! I stopped by to see you today and left you a little Valentine. Hope you like it! Love you bunches & bunches! <3
---
02/07/2008
**Tristan Ethans Mommy**
Hi Ethan, Your mommy and daddy are so strong! Keep giving them strength and love. I know they miss you! Play with Tristan lots!!!
---
02/07/2008
**Mommy**
Gooooood morning! I love you little ittle e! <3
---
02/07/2008
**Mommy**
Night night little angel baby! *kisses* Come visit me in my dreams tonight (after you visit Daddy first, of course). :) I love u!
---
02/06/2008
**Daddy!**
Ok, bubbly, I'm going to bed. Maybe you'll visit me in my dreams? Ok, well I miss and love you! Goodnight!
---
02/06/2008
**Aunt Mary**
Hi Sweetie. Just dropped by to see your smily face. I know you are keeping an eye out for all of us.
---
02/06/2008
**Daddy!**
Hey E Eddie! We all miss you so much! Your momma gives me tons of strength! She's the best! (Tied with you of course!) Love U!
---
02/06/2008
**Mommy**
I painted you something special today, :D It's the first time I've painted since you went to Heaven. I love you e eddie! <3
02/06/2008
**Mommy**
I miss you so much it hurts, but my love for you is so much deeper than any pain I can feel. I love you my little Bubbly! <33
---
02/06/2008
**Adam Ahmad's mommy**
Hi sweetheart, Lots of love and kisses. I get so sad, why our babies r leaving us? we Need u guys here more. I wish we could keep u....
---
02/05/2008
**Mommy**
Night night little puntin head! I love you sooooo much! <333
---
02/05/2008
**Mommy**
Daddy & I put another special Valentine in your box today! Love you up to the sky & back again! <333! *kisses forever*
---
02/05/2008
**Nana**
Ethan I planted your Memorial Tree today and put it outside by the front door. Nana Loves You Up to the sky and back again! XO'S
---
02/05/2008
**Mommy**
It is always so peaceful there with you. It was nice to sit with you for a while yesterday. - Be there soon. I love you sweet e!
---
02/05/2008
**Aunt Tabby**
WOW, it's going to be a really warm day today! Must be all that extra loving you are sending down to us all!! Thank you Ethan! <3
---
02/05/2008
**daddy!**
Hey crabman! I woke up early and was thinking of you. Today is supposed to be real nice so you know mommy and I will be there!
---
02/05/2008
**Mommy**
Night night little angel babe! Mommy loves youuuuuu <333
---
02/04/2008
**Uncle Moosie**
Hey lil Bud-E. Miss you very much. Auntie Jennie and I had a nice talk about you today. Always on our minds and in our hearts
---
02/04/2008
**Christine**
Hey Baby! Thanks for out little blessing. I Love you lots and miss you everyday!
---
02/04/2008
**Adam Ahmad's mommy**
Hi sweetheart, I just noticed you also went to heaven in Oct, just like Adam and Alex. Lots of kisses, Till i see you
02/04/2008
**Angel Isabella Carvalho's Mom**
Hi Ethan, sweet heavenly angel, lighting this candle in your memory, and keeping you and mom in my thoughts.
---
02/04/2008
**Mommy**
Good morning sweet baby! So pretty and warm out today! Sending kisses up to you always <3 Love, Mommy
---
02/04/2008
**Deryk's Mom**
To the family of Ethan, Such a short time your beautiful Ethan blessed this earth. I can tell it was a meaningful time. God Bless
---
02/04/2008
**Ruth/Twin2Angel Jose Figueira**
I'm so sorry for your loss. You truly have a beautiful precious Angel watching over you. God bless.
---
02/04/2008
**Mommy**
3 months & 15 days you've been gone now sweet baby. Just as long as you were here with us. I love u so much <33
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02/03/2008
**Mommy**
Oh well! You can still celebrate with your G. Nana Dolores! :D I love you bebeee! <3 *MUAH*!
---
02/03/2008
**Mommy & Daddy**
Hey Bubbly! Thinking about you like always. Make sure you put your Patriots jersey on! We love you! *xoxox*
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02/03/2008
**Aunt Tabby**
Good morning ethan! the sun is shining bright today-- and i'm sure that is because of you! xoxoxoxoxoxox
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02/03/2008
**Mommy**
Night night little e eddie kid! I love you sooooooooo much! Up to the sky & back again, as Nana would say. :) Night night! xoxo
---
02/02/2008
**Daddy**
Hey little Buddy! Mommy & I are so lucky to have you. We are thankful for each day that we had together. I love you!
---
02/02/2008
**Mommy**
Daddy & I brought u your V-Day mailbox & a Patriots balloon today! I know you'll be rooting them on from above! i<3u!
---
02/02/2008
**Adam Ahmad's mom**
Don't worry mommy, Ethan must `ve been playing with Adam in snow, then got tired.:) Sleep sweet Baby boy, love you .xoxo
02/02/2008
Angel IsaBella Carvalho's Mom
Very sorry for your lost, i lost my child too, Keeping you in my prayers.
02/02/2008
Mommy
Hi Baby! No dreams about you last night, but that's ok. Maybe tonight. It's always something to look forward to. I love u!
02/02/2008
Mommy
Night night little e eddie! Hopefully Mommy will have another dream with you in it. <333 kisses forever <333
02/01/2008
Adam Ahmad's mommy
Now i have 3 boys in heaven i can't wait to see all of u, Adam, you and alejandro-hernand ez. All my handsome boys. Love u all. xoxo
02/01/2008
Mommy
I had a dream about you last night! It felt so real when I was holding u & heard your voice! & Nana W was there too. i<3u
02/01/2008
Nana
Soon you will have been in Heaven longer than the time you spent with us. One seems so long and the other so very short. Miss U Ethan
02/01/2008
Aww Ethan, Joshie saw
His name at the top of his last reply here & thought it was actually u messaging him back from heaven! He looked sooo happy! <3
02/01/2008
Mommy
Just reading some of your special snowflakes before bedtime. :) I think Nana makes the best ones! Night Night efaned! love u <33
01/31/2008
Mommy
Daddy is working on your life story little baby. How do we put into words all those special moments we shared? We'll try. <33
01/31/2008
l. hesserdoodle!
*eepydoodle!* *e epydoodle!
* eepy doodle!*
01/31/2008
Melissa-Zachary's mommy
May God bless you and your family.
01/31/2008
Nana L.
Lil E Man, nana & papa came to visit you today, and saw all your valentine hearts. You are the "LOVE" of our lives XO
01/31/2008
**Mommy**
Efanedddieee oh he's my little efan ed! Just thinking about you baby & had to look at your pictures for the 100th x today
---
01/31/2008
**Mommy**
Good morning little angel babe! Can you feel all of our kisses up there? I hope so! I LOVE U! xoxoxo
---
01/31/2008
**Adam Ahmad’s mommy**
Hi sweetheart, as soon as i saw ur picture it seems like i know u, I can't wait to go to heaven cause i will meet all of u, xoxo
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01/31/2008
**You are my sunshine,**
My only sunshine~ You make me happy when skies are gray... I would sing that to Mommy when she was just a little kid~ missing you <3
---
01/30/2008
**Mommy**
Sending night night kisses up your way sweet baby! Mommy loves youuuuu!
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01/30/2008
**Adam Ahmad's mom**
Hi baby, You and Adam have one thing common, you both have Aunt Noreen. Next time when i visit Adam i will tell him to take care of u
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01/30/2008
**Auntie Noreen**
Hello Buddy Just thinking of you. Sweet Dreams xoxo
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01/30/2008
**Daddy!**
Hello my special baby! You had all the sunshine on your area today! It was great to go out to see you today!
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01/30/2008
**Mommy**
Good morning to the cutest, sweetest, little angel in Heaven! xoxo
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01/30/2008
**Joshie**
You are the sweetest angel i know! xoxoxohoxohoxo
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01/30/2008
**Mommy**
Sending so many kisses up your way sweet baby. I love you!! Night night. <333
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01/29/2008
**Nana**
Ethan, Nana loves you up to the sky and back again!!
01/29/2008
Uncle Moosie
Hey lil Bud-E thanks for making me smile. Your pictures always put a smile on my face. ~UM~
01/29/2008
Vi (Paul Kurlfinks mom)
Sweet angel boy. Hope you are having fun today in heaven. Hugs to you and your mom ((Wendi))
01/29/2008
Mommy
Sweet little angel! Heaven is so much brighter with you there - I just know it. I love you so very much baby e! <33
01/29/2008
Aunt Tabby
Just wanted to peek in to say that we all love you soooo much! You are always in our hearts <3 XOXOXOXOXO X
01/28/2008
Mommy
Sweet dreams little babe! <333
01/28/2008
Daddy!
Hey Bubbly! I think the picture of your cute monkey feet with flaky toes is my favorite ever. Aw heck they're all my favorite!
01/28/2008
Uncle Moosie
You are on my mind alot. I don't talk alot on here, but I think of you often. Please watch over everyone back east for me.
01/28/2008
Yara
My deepest condolences go to your family and I was so very grateful to have been able to see you before you went to heaven. <3
01/28/2008
Mommy
I always get good sleep now because of lil brewster. :) I'm happy I have him to cuddle with. I love you! <3 xoxo
01/28/2008
Uncle Moosie
Morning Lil Bud-E. Weather has been bad, but there has been a light shining from above. Thanks for watching over us. ~UM~
01/28/2008
Mommy
Night night sweet little e eddie! <33 xoxo
01/27/2008
Mommy
I'm wearing mine too e eddie! I love you sweet baby <33! Always on my mind. XOXO
01/27/2008
**Ethan, did you see**
The beautiful bracelets that Nana got us for an early Valentines gift? I'm wearing mine right now. I love u so much! <3 Aunt Tabby
---
01/27/2008
**I. hesserdoodle!**
Good morning love! i miss you every day & think of you often <33333333
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01/26/2008
**Mommy**
E Eddie Spaghetti :D Daddy and I were making up some fun songs about you today. You know how silly we are. :) I love you! xoxo
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01/26/2008
**Mommy**
Love you sweet little angel babe! Night night - Mommy loves you! <33
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01/25/2008
**Mommy**
Loving you so very much wittle kid :D - Always in my heart baby wabey! <33
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01/25/2008
**Kelly**
My friends from work all say HII and theyve heard soo much bout and call u there angel in heaven! MUAHHH xoxoxo
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01/25/2008
**Kelly xoxoxox**
I love that i got to have u lay in my arms and fall asleep! dont forget bout how we bonded in Boston while mom and dad shopped! hehe
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01/25/2008
**Kelly**
Tell my loves up there i said HI! I want to send u a BIIIG kiss and hug and i love you always and forever!
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01/25/2008
**Kelly**
Hey my love bug! I just wanted to tell u that I always think of u everyday! I know that you're happy up there!
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01/25/2008
**Auntie Noreen**
Just checking in on you. I miss you. xoxo
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01/25/2008
**Mommy**
Good morning baby boy! Hope you got a good sleep, although I'm sure you did. I miss and love you more than I could ever say!
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01/25/2008
**Mommy & Daddy**
Hey Bubbly! Your mailbox is perfect! Daddy & I did our best. :) We love you so much little e. Sweet dreams baby boy! <33 XOXO
01/24/2008
**Nana**
Hi Ethan, Nana got her some Angel Kisses tonight!!! It only lasted a half an hour but I got my shares worth. Thank You Bunches! XO
01/24/2008
**Mommy**
Goin to decorate your baby mailbox tonight for your Valentines! Hope you get some good ones so we can keep them forever. I love u!
01/24/2008
**Auntie Noreen**
Hi Buddy I love and miss you. Everytime I see your pictures you make me smile. xoxo
01/24/2008
**Joshie**
Did u hear me tonite when I said my prayers? Those were tears of joy. I just really miss u & wish we had more time to play here.
01/24/2008
**Uncle Moosie**
Just dropped in to send you love. Whenever i need a smile, I look at all the pictures of you and they brighten up my day. Love you
01/24/2008
**Aunt Tabby**
Hey little guy! Just thinking about you and hoping you are catching all of kisses from down here. Love you bunches!! <3
01/24/2008
**Mommy**
Good morning starshineeeeee :) Love and miss you more with each passing day - <333
01/24/2008
**Daddy!**
Morning Eddie Spaghetti! I was thinking about you a lot yesterday. Me and James talked about you. You are the best thing in life!!
01/24/2008
**Mommy**
Night night little efaned! <333
01/23/2008
**Nana**
Ethan, Nana loves you up to the sky and back again!!!!!
01/23/2008
**Uncle Moosie**
Just a moment to say hi, miss you, and love you. Keep an eye on all that love you. We all miss you down here.
01/23/2008
**Mommy**
Sending kisses up your way baby boy - Mommy loves you more than you will ever know! <3
01/23/2008
**Nana L.**
Sweet E, the most popular Angel Baby in heaven. So much love, kisses and thoughts are sent to you each day from all that miss U XO
---
01/23/2008
**Uncle Moosie**
Watched the little video today. Made me smile. Your parents love you soooooo much. Many many people love you. Always in our hearts
---
01/22/2008
**Mommy & Daddy**
Night night bubble e! Hope you like the video Daddy made for you. As always, we miss you, but we know you're happy up there.<3
---
01/22/2008
**Mommy**
Wow! So warm today baby! All the cold is gone and the sun is shining down on us. I love you sweet baby! <33
---
01/22/2008
**Mommy**
Mommy & Daddy loves you so much baby! I hope you feel all of our love up there. Night night little angel babe <3
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01/21/2008
**Mommy**
Our song came on as I was getting out of the car tonight baby e. I stayed to listen & closed my eyes to remember how we danced
---
01/21/2008
**Christine**
Thanks for all the angel kisses. I love you lots and think of you every instant.
---
01/21/2008
**Mommy**
All Mommy wants to do is love you, little e! I know you're with me always. I love you my sweet angel <333! xoxo
---
01/21/2008
**Auntie Noreen**
Sorry I haven't written to you lately. You are on my mind everyday. XOXOXO
---
01/21/2008
**Nana L.**
Mornin' Sweet Baby, it's pretty cold down here but just the thought of you makes me warm all over. Love & Miss U 4EVR
---
01/21/2008
**l. hesserdoodle!**
I love you efaneddie! *EEPY *
---
01/20/2008
**Nana**
Thank You for all the kisses you sent our way!! Nana loves you up to the sky and back again!!
01/20/2008
Aunt Tabby & Uncle Neil
Awww I love the snowbaby your mommy made for you! Thank you for sending all the kisses. We love you!
01/20/2008
Daddy
Hey E, Mommy made the coolest snowbaby ever. We know you saw it though. Love you!
01/20/2008
Uncle Moosie
Morning Lil Bud-E, thinking of you as always and wanted to just make sure I sent you a little love this am. Miss you.
01/20/2008
Mommy
Well, there’s not enough to make a snowman, but i’ve got enough for a snowbaby! *smile* ;) I love you sweet e!
xoxo
01/19/2008
Mommy
Enjoying all of the kisses being sent down tonight - Maybe a snowman tomorrow? I love you baby! night night <3
01/19/2008
Mommy
Love you little puntin head. Always the first and last thing on my mind every day, and every moment in between too. I love you! xo
01/19/2008
Aunt Tabby
I just found myself humming this song a few minutes ago and thought I should stop by to say "hi"! Love you bunches! <3
01/18/2008
Mommy & Daddy
We're snuggling with lil brewster tonight! We love him just as much as you do. Night night baby e man!
*xoxo*
01/18/2008
Mommy
Smiling just thinking about how cute you are! :) I love you e eddie! <3
01/18/2008
Aunt Tabby
Ethan, I know you heard Uncle Neil and I talking about you today. We love and miss you so very much! <3
01/17/2008
Mommy
*kisses* baby. I love you! night night.
01/17/2008
Uncle Moosie
Sorry I haven't been on here lately, but you never left my mind. Aunt Jennie and I miss you every single day
01/17/2008
**Auntie Eileen**
Baby Boy, Sorry I haven't talked to u, but busy at work. I love u much & miss u more. Keep an eye on Daddy at work luv U
---
01/17/2008
**Mommy**
Good morning baby! Mommy found some beautiful snowflakes made for you. :D I love you so much Ethan! xoxo
---
01/17/2008
**Nana**
Nana misses your kissing booth.:)That' ;s OK,I'll keep blowing kisses up to heaven for you to catch! Here comes some now!XO
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01/16/2008
**Aunt Mary**
Thinking of you. Your smiling face lifts my heart. Pray for me beautiful angel. Give God a kiss for me.
---
01/16/2008
**Aunt Monica**
Thanks for looking over me today! Austin thanks you!
---
01/16/2008
**Mommy**
*kisses* to you sweet angel baby! giving kisses to dreamsy bear too. i love you! xoxo
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01/16/2008
**Aunt Tabby**
Just thinking about you as always. Love you sweet baby boy! <3
---
01/16/2008
**Mommy**
Love you little sweet pea! :) Good morning to you!
---
01/15/2008
**Mommy**
Thinking of you before bedtime sweet baby. Hoping you're drifting to sleep in your G. Nana's arms. I luv you baby e <3 xo
---
01/15/2008
**Mommy**
Thanks for sending down some angel kisses for us today baby e!
---
01/15/2008
**Mommy**
Loving you little baby <3
---
01/14/2008
**Mommy**
I love you sweet angel <3 night night
01/14/2008
**Mommy**
Good morning starshine! It is a beautiful day today baby. I love you! <33
---
01/14/2008
**Uncle Moosie**
Hey lil Bud-E, just wanted to wish you a good morning and tell you that I miss you. Sorry I have not been around. busy busy busy.
---
01/14/2008
**Mommy**
Sweet dreams little angel! We all miss you so very much baby boy <333 xoxo always
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01/13/2008
**Nana**
Ethan,Nana loves you up to the sky and back again! You are always on my mind and in my heart.10:00 I don't think so. Smiling up!
---
01/13/2008
**Mommy**
Loving & missing you tons little baby boyyyyy!
---
01/13/2008
**l. hesserdoodle!**
...just sending a little *meeperdooel* your way!!!! i love you!! <333
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01/12/2008
**Mommy**
Night night little puntin headdd :D
---
01/12/2008
**Mommy**
Good morning little babyyyyyy! <3 Sweetest little kid ever. I love you!
---
01/12/2008
**Mommy**
Goodnight sweet little angel baby. I hope you can feel all of Mommy's love up there! I'm sending it up every day! Love u!
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01/11/2008
**Mommy**
Morning lil buddy - Mommy is missing you so very much! Please watch down on A. Edie baby. Love you!! <333 xoxo
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01/11/2008
**Nana**
Hi My Sweet Ethan, I just got done watching your video again and I am sending tons of kisses and hugs your way. Catch them all!!XO
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01/10/2008
**Mommy**
Night night little bubble e! Mommy & Daddy love you so much <333
01/10/2008
**Nana L.**
Mornin' sweet baby..pls look down on A. Edie and help her & all that love her through this tough time..I Love you.. XOXO
01/10/2008
**Nana**
Ethan Nana Loves You up to the sky and back again.Tell GOD I said Thank You for sharing you with us!!XO's
01/10/2008
**Mommy**
You are always the first thing on my mind when I wake up. Good morning baby! - I love you! xoxo
01/10/2008
**Mommy**
It felt so good to spend time sitting with you today baby. Mommy's getting a special bear made for you! I love you el <3
01/09/2008
**Sarah**
Thinking of you Baby E! <3 Sarah
01/09/2008
**Did you know...**
..how you would move us? did you know?..did any of us really know? sweet baby boy, you are missed & loved so very much!!! <3
01/09/2008
**Mommy**
Good morning little e eddie <3!
01/08/2008
**Mommy**
Sweet dreams my little angel! Don't forget to dream about nana, papa, and fafas. ;) I love you! xoxo
01/08/2008
**Auntie Noreen**
Hi Buddy Miss and Love you Forever!!!!! !xoxo
01/08/2008
**Mommy**
You are still my world, my hope, my every thought, my true love. I miss you baby <33 Mommy loves you so much! xoxox
01/08/2008
**Mommy**
Missing those kisses of yours little e. Best kisses Mommy every had. One day baby, I love you! night night xoxo <3
01/07/2008
**Aunt LaLa**
I felt your soft lips brush across my cheek-just as the brightest, strongest, warmest beam of sunshine feel upon me today-xo i<3u
01/07/2008
**Mommy**
Good morning little angel <3
Sending kisses up your way baby. Mommy loves you!
01/07/2008
**Uncle Moosie**
Hey lil buddy, miss you and love you. Say Hi to Nana K and Nana and Papa B for me. Keep watch over mommy and daddy for me too.
01/06/2008
**Nana**
My Sweet Ethan,I love you up to the sky and back again!Kisses and hugs!!
01/06/2008
**Mommy & Daddy**
Efanedddieee, oh he’s my little efan ed! Singing before bedtime bubba. We love you! night night
01/06/2008
**Mommy**
Just thinking about u lil potato head. Nothing new there tho. Always thinking about you and missing you. Love you so much baby <3
01/06/2008
**Mommy**
It’s such a pretty day out today baby. I hope you like the new flowers Daddy and I brought you. Love you til *puntinhead* <3
01/05/2008
**Mommy**
Lighting you a candle from Nana W’s house! We miss you so much baby, kisses now & forever xoxo night night <3
01/05/2008
**l. hesserdoodle!**
...can’t help but think of you everyday & miss you oh so much!!! <3 love you efaneddieeeeee
01/05/2008
**Mommy**
Going to Nana & Pop Pop’s house soon for his birthday party. I’ll be thinking about you, as always. I love you! <3
01/04/2008
**Mommy**
Daddy and I were singing your songs today! They make us smile just as big as you always did when we sang them to you. luv u son <3
01/04/2008
**Mommy**
Love you chubby bubbly <3
01/04/2008
**Mommy**
Ethan, today is Papa W’s birthday! Send him extra kisses today. I love you so much <3
| Date | Name | Message |
|------------|----------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| 01/04/2008 | Nana | Ethan, Nana loves you up to the sky and back again!! |
| 01/04/2008 | Uncle Moosie | Morning lil buddy. miss and love you mucho mucho. We are always thinking of you. Love ya ~UM~ |
| 01/03/2008 | Mommy | Love you little buddy <3 night night. Mommy loves you! |
| 01/03/2008 | uncle jimmy | Hi ethan, thinking about you everday, mom and dad too. miss you. |
| 01/03/2008 | Nana | Hi Ethan, It's going to be a hard day for Mommy too with Daddy being away. Please keep letting her know that she is not alone! XO |
| 01/03/2008 | Christine | Thanks for the snow buddy, I loved it! Happy New Year sweet baby. I am coming to see you in a little bit, look out for me. <3 |
| 01/03/2008 | Mommy | Don't worry about me Bubbly, just watch over Daddy today. We love and miss you so very much baby boy <3 |
| 01/03/2008 | Nana L. | Ethan, You are daddy's guardian angel sitting on his shoulder as he goes back to work today...Watch over him. W/ALL ourloveXO |
| 01/03/2008 | Auntie Noreen | Hi Baby Make sure you watch over Daddy today as he goes back to work. xoxo |
| 01/02/2008 | Mommy | We saw a little bit of snow today Bubbly - I know you were sending your angel kisses down to us! Missing you so very much <3 |
| 01/02/2008 | Uncle Moosie | Just taking a moment to stop by and say good afternoon little buddy. Thinking about you all the time. |
| 01/02/2008 | Mommy | Good morningggggggggggggg! Loving you so very much little baby. <3 xoxo |
01/02/2008
**Uncle Moosie**
Just stopping by to say Happy belated New Years little buddy. Keep watch over Mom and Dad this New Year. Love and Miss you so much
---
01/01/2008
**Mommy**
Love you buddy <33
---
01/01/2008
**Mommy**
Taking you with us into 08 baby boy - always in our hearts, shining brighter with each passing day. I love you! xoxoxo
---
01/01/2008
**Nana L.**
Sending a New Year Kiss to my sweet baby boy. Pls give one to Nana K., & Nana & Papa B., from us. Loving you always. XOXO
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12/31/2007
**Nana L.**
It’s almost 08 and for once I will make a resolution I know I will keep, I will miss & love you every day of my life. XOXO
---
12/31/2007
**Aunt Tabby**
Just thinking about you and loving you very much! <3
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12/31/2007
**Clores~Isabella Carvalho's Mom**
Very sorry for the loss of your precious little boy, he is so cute, i lost my beautiful 21 years old daughter. God bless you
---
12/31/2007
**Mommy**
Good morning my love! It’s New Years Eve today. I miss you <3
---
12/31/2007
**l. hesserdoodle!**
I lub you efaneddie!!! <3
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12/30/2007
**Mommy**
We’re home! Can’t wait to visit you tomorrow baby. We love you! *kisses*! night night
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12/29/2007
**Mommy**
Bubbly! Mommy & Daddy miss you baby boy! I carry your picture in my pocket and Daddy and I take turns holding it. We love you!
---
12/29/2007
**What amazing things...**
...Mommy & Daddy must be sharing with you thru their eyes as they visit NYC in your memory; We miss & love you oh so much!
12/29/2007
Uncle Moosie & Auntie Jen Jen
Hey Baby Buddy, Just thinking of you and wanted to pass on a little hello. Miss you so much. Love you always and ever.
12/28/2007
Aunt LaLa
Every single moment of every single day (& every second in between) you, mommy & daddy sweetly thought of; Missing you! xo
12/28/2007
Auntie Noreen
Hi baby just sending you a big smooch on your belly. make sure you give mommy and daddy a sign in ny. xoxo
12/28/2007
Nana
Nana loves you Ethan!! Up to the sky and back again!!
12/28/2007
Uncle Moosie
Hey buddy, keep an eye on mom, dad, nana, and papa as they visit NYC. You will see them at the big tree. Smile brightly on them.
12/27/2007
uncle jimmy
Hi buddy, miss you
12/27/2007
Lucy-mom to angel Laura Hunter
The loss of a child is the greatest loss of all. I am so sorry for your loss. My thoughts and prayers are with you and your family.
12/27/2007
Auntie Noreen
Keep Mommy, Daddy and Nana & Papa L. safe going to NY to celebrate your life. xo
12/27/2007
Aunt LaLa
Watch over Mommy, Daddy, Nana L. & Papa L. today on their trip; Make sure they all come home safe & sound; Smooches, lala
12/27/2007
Mommy
Leaving today little angel. Watch over us when we go. You are our reason & we are going as we promised. I love you!
12/27/2007
Uncle Moosie
Hope you enjoyed the celebration. We missed you here, but you were thought of and talked about a lot. Love you forever and always
12/27/2007
I. hesserdoodle!
Just thought you should know you are on my mind wittle guy!! <333333 xoxoxox
12/27/2007
Auntie Eileen
Found a tiny star on my desk today, same day I brought your picture in. I put it on your picture as I know this was a sign from U.
12/26/2007
Nana
Ethan, The picture of us together just takes my breath away, it is the best present ever!!! I love you up to the sky and back again!!
12/26/2007
Mommy & Daddy
Leaving tomorrow to go see the big tree! We're going to take your picture with us when we go. Make sure you look down! xoxo <3
12/26/2007
Auntie Eileen
1 more thing, I have to say you were one of our best shining stars in 2007. Pls Watch over us and Help make 2008 better. LUV U
12/26/2007
Auntie Eileen & Auntie Rita
Hey Big Boy, I hope your XMAS in Heaven was nice. Know that we're thinking of u. Thanks for keeping an eye on us. Love U
12/26/2007
I. hesserdoodle!
Mommy lubd her presers we made her :D *high five* efaneddie!!! i lub you eberrryday xoxox <3
12/26/2007
Mommy
Good morning bubble-e!
xoxoxo
12/26/2007
Desmet Family, Belgium
Dear Ethan, know there is a candle burning here in Belgium for you and your family. Our deepest condolences JanFabJason&Joyce
12/25/2007
Auntie Noreen
This day is now over. You are still my BEST present in 07 and always. xoxo
12/25/2007
Aunt LaLa
It just isn't the same without you; Missing you more & more with each passing day; Forever you're in my heart, always
12/25/2007
Nana L.
Merry Christmas Sweet Baby. My Christmas came on 7/5/07. You are the greatest gift of all. Missing you everyday of my life..XOXOXO
12/25/2007
Christine
Merry Christmas Angel. I know santa brought you everything you wanted, lotsa love too! Thinking about you always. I lub you. <3
12/25/2007
Mommy
Merry Christmas Lil E Eddy! I know you are so busy today - just know that Mommy & Daddy are proud of you big boy XOXO
12/25/2007
Nana
Merry Christmas sweet ethan! <3 nana loves you <3 kisses and hugs ohoxohochoxohochoxo oxohoxochoxohochoxo oxohoxochoxohochoxo oxohoxochoxo
12/25/2007
Uncle Moosie and Aunt JenJen
Well Christmas is here and we have said our prayers at midnight mass. We hope that you heard them. Merry Christmas lil one.
12/25/2007
Daddy
Merry Christmas Bubby! You are the best gift me and mommy could ever get. Love you!! Daddy
12/25/2007
Mommy
Merry Christmas Efan! Thank you for my frame. :) Daddy let me open it a little after midnight. I love you!!! XOXOXXO
12/25/2007
Merry Christmas to All.....
.....And to All a Good Night!! <3
12/24/2007
Uncle Moosie and Aunt JenJen
We will be thinking of you and the Nanas as we go to Sunday Mass tonight. We will say a prayer for everyone here and there.
12/24/2007
Love from Heaven Above
When tomorrow starts without me, try to understand, an angel came and called my name, then took me by the hand.
12/24/2007
Mommy
Loving you sweet little Christmas angel. <333
12/24/2007
l. hesserdoodle!
& oh! i hope you totally love your present...i had a special little elf deliver it to you <3 *big kisses* for you efaned!
12/24/2007
l. hesserdoodle!
I love you & think of you eberyday little efaneddie! <3 lub you to plutos & back xoxoxo
12/24/2007
**UNcle Moosie**
Merry Christmas eve lil man. Enjoy the celebration up there and keep an eye on us all. We all love you and miss you. <3<3<3&l t
12/24/2007
**Nana L.**
Merry Christmas Eve Sweet Baby. I'm trying hard to be happy like I know you want us to be but I'm missing you so much XOXO
12/24/2007
**Mommy**
Merry Christmas Eve E! Daddy said maybe Jesus will let you ride on Santa's sleigh & hand him the presents. ()-;jwe <3 u!
12/23/2007
**Auntie Noreen**
Sweet Dreams & Good Night Love You Forever xo
12/23/2007
**Auntie Noreen**
Sorry I haven't written to you in the last few days but you are always on my mind. xo
12/23/2007
**Uncle Moosie**
Sitting at work and wanted to take a moment to say hi and Merry Christmas to you little one. Say hi to everyone for us.
12/23/2007
**Mommy**
I don't shine if you don't shine little e eddy. I hope you can feel all of our love up there. We can feel yours.
12/23/2007
**Nana**
Ethan, You must all be busy up there planning for the "Big Celebration" When you get a break tell all we send our XOXOXOXOs
12/23/2007
**Mommy**
I can't believe tomorrow is already Christmas Eve. I miss you so much. Please shine down on us e. I LOVE YOU <33 forever
12/23/2007
**Mommy**
Night night sweet little angel baby <3333! Mommy misses you & loves you so very much. xoxo
12/22/2007
**Mommy**
I look at your photos & still can't believe that Daddy and I made you - you couldn't have gotten much cuter! i<3u
12/22/2007
**Mommy**
Night night little e eddy! I love you to the mooooooooooon! (and back)! Sweet dreams baby <3
12/21/2007
**Mommy**
Daddy and I saw Jeff's Mommy today. She told Jeff to keep an eye on you up there. Love you little little e <3
---
12/21/2007
**Uncle Moosie**
"The greatest power is often simple patience" E. Joseph Cossman This is for your mom and dad. sent with love. ~U.M~
---
12/21/2007
**Mommy**
Good morning starshineee! I bet you have the biggest Christmas tree that the world has ever seen up there! Missing u little guy <3
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12/21/2007
**Uncle Moosie**
Yes Ethan, talking to your mom made me a little calmer. I miss them, and I miss you. Always thinking of you and them.
---
12/20/2007
**Mommy**
Sweet dreams my little angel <3 *kisses*
---
12/20/2007
**Ethan**
Talked to your mom today. It was nice. She loves you soooooo much. She is a great woman. And dad ain't that bad either. luv ya
---
12/20/2007
**Christine**
Always thinking about you and mommy and daddy too! I hope you see some snow from up there. Miss you tons. Sleep tight tonight. <3
---
12/20/2007
**Uncle Moosie**
I am looking at picture of you and you are on your side smiling. You really lit up a room with that smile. Now I'm smiling too
---
12/20/2007
**Aunt Tabby**
Every time I see a little firetruck, whenever Saige says "baby", I think of you. I love you soo much! <33333
---
12/20/2007
**Joshie**
I love you and think you are as cute as saige. tomorrow i will say another thing. hugs & kisses xoxoxoxoxoxoxojos hxo
---
12/20/2007
**Mommy**
There is not a second that goes by that I don't think of you. I miss you so much it hurts, but all worth it. I love you e eddy
---
12/20/2007
**Uncle Moosie**
Watch over mommy and daddy for me. They miss you so much. Aunt JenJen and I miss you also.
12/19/2007
**Mommy**
I hope you've been getting all the kisses I've been sending up! I love you now and always. Night night sweet angel baby <3
12/19/2007
**Nana**
J came home from school today with a tiny stocking he has given you. We put a tiny heart inside. The one that keeps popping up!;)
12/19/2007
**Mommy**
Daddy got you a blue angel that lights up outside. I hope you like it baby e. Missing and loving you always. <3 Mommy & Daddy
12/19/2007
**Uncle Moosie**
Justed wanted to stop by and say Hi. I think I caught you looking today. It was gloomy except for this one ray of sunshine....
12/19/2007
**Daddy!**
Hey, I was just thinking of you so I thought i would come say "hi". I love and miss you!! Daddy!
12/19/2007
**l. hesserdoodle!**
...thinking of you sweet angel baby <3 *meeperdoo dle!!!!!*
12/19/2007
**Mommy**
"Just take your time, wherever you go" - trying to take in the little things each and every day. You taught me that. <3u
12/19/2007
**Mommy**
I never knew I could love so much! - so much more than I could ever explain. Missing you now and always. Night Night baby boy <3
12/18/2007
**Uncle Moosie**
Miss you and love you. Thank you for watching over us all. Thinking of you everyday.
12/18/2007
**Nana**
Ethan... Please keep Mommy and Daddy tucked under your wings.I love you up to the sky and back again!
12/17/2007
**Daddy!**
Bubby, I talked to you alot today at your grave. I confronted things I didn't want to, and came out better because of it. Love Dad!
12/17/2007
**Mommy**
Goodnight sweet angel XOXOXO - Love, Mommy & Daddy
12/17/2007
**Uncle Moosie**
Hey lil buddy, give Nana K and Nana B a kiss for me. I watch these pics go by and I miss you so much. Thanks for watching over us.
---
12/17/2007
**Mommy**
I bet Nana Betty knitted you a nice hat and scarf for Christmas (and maybe a doyly too!) ;) Give her a kiss from us. Love you!
---
12/17/2007
**Aunt Tabby**
Awwwww I love that booty picture! <3 You are too cute for words! Loving you always! XOXOXOX
---
12/17/2007
**l. hesserdoodle!**
Just looked at the pictures that make mommy lol & i waffled a little too <3 *pinches super tute booty* i miss you baby boy
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12/17/2007
**Uncle Moosie**
Morning sunshine... Thank you for the bright and shiny am. It is a little cold here in Vegas, but I am sure you will warm it up.
---
12/17/2007
**Auntie Eileen**
Good Morning Baby Boy. Thinking of u and how much I miss u. Kiss Nana K and give Stella a hug for me. Talk to u soon Love A.E.
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12/16/2007
**Mommy**
Goodnight little angel <3 i love you so very much! xoxox now and always.
---
12/16/2007
**Cousin Kelly**
Goodnight my lil e, ill see you in my dreams. thanks for being such a blessing in our family! love you! muahh!!! sweet dreams!
---
12/16/2007
**Auntie Noreen**
Sweet dreams my little guy. I Love You. Give a kiss to your Mommy & Daddy from me. xoxo
---
12/16/2007
**uncle jimmy**
Love you. miss you mom and dad too.
---
12/16/2007
**Uncle Moosie**
Thanks for coming into our life. We all miss you something fierce. Keep shining down on us. You are always in our thoughts.
---
12/16/2007
**Mommy**
You are my sunshine, my only sunshine. You make me happy when skies are grey. - I know you will never stop shining for us. I<3U!
12/16/2007
**Auntie Noreeen**
Just thinking of our Little Xmas Angel. Give Nana K and Stella a kiss for me.xoxo
12/16/2007
**Kelly**
Im sitting here looking out the window in the snowy storm thinking of that special trip u made up here to see us!Truly Gratefullxo
12/16/2007
**Kelly**
Ethan thers not a day that i dont think of you!!I miss and love you!Tell my Stella and Nana that i said Hi and give them a kiss! 43
12/16/2007
**Nana L.**
Mornin' sweet baby, i hope you can feel the warmth from all our hearts down here that miss and love you sooo much..xoxoxo
12/15/2007
**Mommy**
Efanedddieeee, doodlebug! He's the cutest kid but he's never smug! :) I sing it every day baby e. I love you!
12/15/2007
**Uncle Moosie and Aunt JenJen**
Thinking of you and missing you very much. We love you very very much.
12/15/2007
**Ranell Christophers mommy**
You sweet little boy....I hope your having fun up there. Kiss him 4 me....keep watch over your mommy..she misses u
12/15/2007
**Knowing**
Ethan your Mommy and Daddy are so STRONG! We all have learned so much from them and YOU! WE love you guys so much!
12/15/2007
**Aunt Monica**
Just looking at ur pictures baby boy. Love you.
12/14/2007
**Auntie Eileen**
Hi big guy, i just wanted to tell you have a great weekend and kiss nana k. for me. i love u both. love a.e. ps a.r. loves u 2
12/14/2007
**Uncle Moosie**
Not a day goes by that I don't think of you, mommy, and daddy. Thanks for joining their lives and ours. You are a blessing.
12/14/2007
**I Love & Miss You**
Hi Ethan, I'm still a little mad at "you know who" but as I promised you I am trying hard.Keep going to bat for me.<</
12/14/2007
**Mommy**
I love the picture of you sucking on your two little fingers. I miss those fingers. I love you effydoodle. <333
---
12/14/2007
**Auntie Eileen**
Hi Big Guy! Thanks for watching over me during that 5 hr drive home last nite in the snow storm. Miss U and Love U Big Time XOXO
---
12/14/2007
**Saige & Aunt Tabby**
Hi Ethan! We loved seeing your new video today. <3
---
12/14/2007
**Mommy**
Goodnight sweet angel <3
---
12/14/2007
**J Bird**
I miss you buddy! I love you!
---
12/13/2007
**Mommy**
Just looking at your pictures again. I miss you.
---
12/13/2007
**Uncle Moosie**
Aunt Jennie wants you to know that she loves you very much. We speak of you everyday. Always in our thoughts. night night lil E
---
12/13/2007
**Mommy**
Good morning buttercup. :) Missing you as I always do. I love you <3
---
12/13/2007
**Mommy**
Goodnight little baby e. I miss and love you so much! <3
---
12/13/2007
**Daddy!**
Hey Bubble E. Thank you for the warm days you have been sending us. It's so nice to go to your marker on warm windy days!
---
12/13/2007
**Aunt Tabby**
Sweet Dreams Baby Boy! <3
---
12/12/2007
**James**
Whats up buddie hope all is well with ya same with mom and dad you guys are on my mind every day, well buddie good nite Lata bud
12/12/2007
**Auntie Noreen**
*Nite Nite Baby LOVE U FOREVER xoxo*
---
12/12/2007
**Irish Blessing pt 2 - UM**
“angel wings tenderly beating.”
---
12/12/2007
**Irish Blessing - Uncle Moosie**
“May we live in peace without weeping. May our joy outline the lives we touch without ceasing. And may our love fill the world, angel w”
---
12/12/2007
**Mommy**
Good morning beautiful angel! The sun is shining today, but it doesn’t compare to the way you shine in my heart. I LOVE U!
---
12/12/2007
**This little light of mine…..**
…I’m gonna let it shine…let it shine…let it shine…let it shine!! You, mommy & daddy are my lights-smooches, aunt lala
---
12/12/2007
**BIG WET KISSES**
I could hear you giggling at Nana while I was kissing you under the mistletoe. You know Nanas always do funny stuff like that. Luv U
---
12/12/2007
**l. hesserdoodle!**
Good morning sunshine!!!! <3 i love you now & always
---
12/12/2007
**Uncle Moosie**
Woke up to a tiny sparkle poking through the curtains. It was you telling me rise and shine. Busy day, but you will be on my mind
---
12/12/2007
**Nana L.**
Mornin’ Sweet Baby just sending a BIGG Hug and Kiss to my forever #1 baby boy. I love and miss U more than i can ever say XOXO
---
12/12/2007
**Auntie Noreen**
Good Morning Like everyday I woke up thinking of you. U are always in my heart. XO
---
12/12/2007
**Mommy**
Goodnight sweet baby e <333
---
12/11/2007
**Uncle Moosie**
Watching as my digital photo frame wisks through pictures of you and your parents. Miss you each and every day.
12/11/2007
**uncle jummy**
Hi ethan, thinking about you, mom, and dad today. love and miss you all.
12/11/2007
**Mommy**
My little bubbly, Mommy and Daddy are so proud of you. <3
12/10/2007
**Joshie**
Today I found a penny and made a wish just for you. I'll be playing with you tonight in my dreams. Love you baby Ethan!
12/10/2007
**Uncle Moosie and Auntie JenJen**
Hey Little E, we lit our candles for you last night. When the candles went out, the glow remained & we knew it was you.
12/10/2007
**Johnny**
Ethan: I miss and love you. I will have you in my heart forever. Now you are a golden angel and don't anyone ever forget that!
12/10/2007
**Chantelle & the boys...**
God bless you Ethan, I wish & pray for you, your mommy & daddy everyday. You are a beautiful angel...
12/10/2007
**Joshie**
Ethan I love you very much and know you are always here in my heart. XOXOXO
12/10/2007
**The Sweetest Glow**
Brighter than any candle is the glow on your Mothers face when she speaks of you Baby Ethan.She heals my heart! How lucky you are!
12/10/2007
**Auntie Noreen & Uncle Jimmy**
Ethan We lit our candle for u & all the other little angels We love you!!!!!!
12/10/2007
**1. hesserdoodle!**
Her little mister efaneddie! my candle shone so bright last night for you & it even had a special froggy holder for you <33 xo
12/10/2007
**Auntie Eileen & Auntie Rita**
Hi Baby Boy. We lit a candle for u last nite. Hope you saw it and heard how much we both love u and think of u often Love AE/AR
12/10/2007
**Aunt Monica**
I think of you all the time! Me and the boys miss you sooo much! Love you always and forever!
12/09/2007
**Nana**
Hi Ethan, At seven tonight I think it got about 20 degrees warmer here and a whole lot brighter! We love you up to the sky and back!
12/09/2007
**Sara**
Ethan I miss and love you very much. I wish you were still here.
12/09/2007
**Your Family in NJ**
Ethan: We lit a candle for you with Aunt Mary and Uncle Charlie. Know that we think of you often and love you!
12/09/2007
**Nana and Papa L.**
Star light, Star bright, candles shining on you tonight...the world is glowing with thoughts of you...We LOVE you Angel Baby XOXOX
12/09/2007
**Daddy**
Candles shining on for you tonight bubbly. We love and miss you always. Don’t forget to look down!! Love Daddy!
12/09/2007
**Aunt LaLa**
Lighting candles & thinking of you--as always; I came to see you today & see that the flowers are starting to bloom, xoxo
12/09/2007
**Mommy**
Your candles are shining bright on the front porch tonight. You will ALWAYS shine on baby boy, always. Love, Mommy
12/09/2007
**All that LOVE & MISS YOU**
Ethan..look down from heaven tonite and see the light from all of us shining back up at you..we miss you so much..XOXOXO
12/09/2007
**Mommy**
We’ll be lighting a candle for you tonight baby angel. Don’t forget to look down on us. We love you! <3
12/09/2007
**Mommy**
Goodnight sweet little bubble E!
12/08/2007
**Mommy**
I know you were watching over us tonight Bubba. Nana got you a little reindeer. It’s a baby just like you. I love you so much!
12/08/2007
**Mommy**
Good Morning bubbly! <3
12/08/2007
**Kelly**
*Ethan, You are missed by everyone that knew you and your family. We miss and love you!*
12/07/2007
**Daddy**
*Hey bubbly, Me and Mom think about you all of time. Alot of people love and miss you, but I know we will all be together again.*
12/07/2007
**JAMES**
*Buddie just want to say good nite and i will check in later miss ya buddie good nite*
12/07/2007
**James**
*Miss ya Buddie sure wish i coud spent some more time with ya. ikeep you with me every day right in my right pocket Lata Lil Cus*
12/07/2007
**Auntie Noreen**
*I was just thinking of you and I am sooo glad that I got to kiss you. Good Night.*
12/07/2007
**Mommy**
*Always thinking of you little efanedddie. Daddy and I were singing your songs today. We miss you so much. WE LOVE YOU!!!*
12/07/2007
**In Memory of all who have died**
*Dear Ethan: As you roam the clouds today, please give a big salute to all you pass who died at Pearl Harbor on this date in 1941*
12/07/2007
**Mommy**
*Good morning baby e!! Daddy told me he had a dream about you lastnight. I wish I did. Maybe tonight. I LOVE YOU!!! <333*
12/07/2007
**Nana**
*Hi Ethan,I watched your video today and my heart was whole again for 21 seconds.I miss you so much!! Up to the sky and back again!!*
12/07/2007
**Mommy & Daddy**
*Goodnight little e eddy! *XOXOXOXOX x infinity*
12/07/2007
**Aunt Tabby**
*Hi Ethan, it’s late & very quiet here. I was just looking at your pic again, but I’m sure you already knew that:) Love U*
12/06/2007
**Auntie Noreen**
*Sweet Dreams!!*
12/06/2007
Christine
You are in my heart and mind every minute of the day. I love you sweet baby e. Always.
12/06/2007
Christine
I know you taking care of mommy and daddy. I am so glad I got to see your beautiful face.
12/06/2007
uncle jimmy
Hi buddy, just wanted to say hi and let you know I miss you.
12/06/2007
Mommy
Good morning little effaneddie <3 I hope you slept good and woke up smiling like you always do. I love you so much <33
12/06/2007
l. hesserdoodle!
Have to *sing* it again because it makes you smile!!! <3 XOXOXO
12/06/2007
l. hesserdoodle!
Just thought i would *sing* the besTesT song i ever sang for you...you know which one it is efaneddie!!! <3
12/05/2007
Mommy
Thinking of you little one. Wondering if you're playing with Alex or maybe snuggling up to Great Nana for a nap. I love you!
12/05/2007
Auntie Noreen
Hi Baby - I was just thinking of you. Hugs & Kisses to you,Nanny and Stella.Sweet Dreams. xo
12/05/2007
l. hesserdoodle!
I finished one of mommy's presents today...she will love it because you helped me make it <3 love you tutie patootie!!! <3
12/05/2007
Mommy
Goodmorning! I love you little e eddy! <33
12/05/2007
Mommy & Daddy
Night night little efan ed. Don't forget to say your prayers along with Mommy. <33 Love you angel baby <3
12/04/2007
Kisses for Mommy & Daddy
Look after them & kiss Mommy & Daddy sweetly before they drift off to sleep tonight, Sweet Baby E
12/04/2007
l. hesserdoodle!
Just wanted to say *hewwwwww* & i lubs you! <3
12/04/2007
Nana
Hi Ethan..please give Nana K, Nana B, and Papa B. a big smooch from this nana and papa...love ya bunches XOXOXO
12/04/2007
Nana
Hi Ethan, Nana has a special candle for you on Dec.9th. Don't forget to look down! I love you up to the sky and back again!
12/04/2007
Mommy
As your daddy would say... "Goodmorning starshine! The earth says hewwwooooohhh!;) love you effydoodle <3
12/04/2007
Daddy!
Morning Ethan, I was thinking about you so I thought I would say hello! Love you! Dad
12/04/2007
Nana L.
Mornin' baby boy,you are the 1st and last thing on my mind everyday and every sec in between,sending a big hug and kiss XO
12/04/2007
Auntie Eileen
Hey big boy - was thinking of you and i just wanted to say hi & i love you, give nana k. a kiss for me and papa. love g.a.e.
12/04/2007
Mommy
Goodnight angel baby <3
12/03/2007
Mommy
Mommy is trying to work but she can't stop thinking of you, sweet angel baby. I can't wait to hold you again <33 I LOVE U!
12/03/2007
Auntie Cathy & Uncle Ken
I look back at the video we have of you smiling. We remember how proud your Dad was. We keep that memory in our hearts of that day
12/03/2007
l. hesserdoodle!
I love you efaneddie! <3 and am so very sorry & hurt that i never got to meet you. in due time my love! <3
12/03/2007
Mommy
Efaneddieee, lollipop! He's the sweetest kid that you ever saw! ... I love you so much ethan <3333!!
12/03/2007
**Mommy and Daddy**
Good night Efaneddie! We love you! Come see us in our dreams. I hope you and Alex are being good. Love you.
12/02/2007
**Uncle Dewbutt & Auntie Noreen**
Ethan you were the best gift your mommy & daddy ever got. We will love & miss you forever. xo
12/02/2007
**Mommy**
We just got back from seeing you. Your tree looks so beautiful & we are going to plant it after Christmas. We love you Bubba!
12/02/2007
**Mommy**
Good morningggg efaned! J bird got you a little firetruck! :) We are going to bring it to you today. I love you so much!
12/02/2007
**Aunt LaLa**
I love you, Daddy & Mommy "MORE than the Most!!" xoxoxo forever & ever, Aunt LaLa
12/02/2007
**Daddy**
Morning Bubby! Good Mooooorning. And I know that Jimi Hendrix guy is better than Daddy, but we had more fun when we played!!
12/02/2007
**Mommy**
Goodnight baby e! Give Nana kisses for me! <3 I love you
12/01/2007
**Aunt Mary & Uncle Charlie**
Hi Ethan, How missed you are. Whisper in God's ear for us all still here precious one!
12/01/2007
**Mommy**
Good morning angel baby! We are going to visit you today and bring your baby tree. :) I know you'll love it! We love you!
12/01/2007
**l. hesserdoodle**
I think of you everyday efaneddie! <3 you are too precious for words! & i love you forever!
11/30/2007
**Daddy**
Hey Bubby, I miss you. We decorated your trees like Mommy said. Yes that was plural. We miss you and think of you always!!!
11/30/2007
**Uncle Moosie**
Happy Holidays and give hugs and kisses to those who greet you.
11/30/2007
**Mommy**
We are going to decorate your baby Christmas tree tonight. I know you'll be smiling down upon us <3 I love you efaneddie!
11/30/2007
**BOSOX Fan**
Tell God & Jesus "Thanks"; for letting you help The Sox sweep The Series p.s. I knew it was you all along :)
11/30/2007
**Auntie Rita**
Ethan: You are a special angel in heaven and will be in my heart always
11/30/2007
**Mikie**
Although I never met you Ethan, I love you dearly. You will be in our hearts forever. Give Nana kisses for me :o)
11/30/2007
**Nana**
Psst..Nana is it 10 yet? Thank you Ethan for the extra time we shared together. The JOY blow-up is for you. Merry Christmas
11/30/2007
**Auntie Pat & Uncle Henry**
Ethan, our times together were too few but you found a permanent place in our hearts. Merry Christmas, All our love forever.
11/30/2007
**l. hesserdoodle**
I never knew I could love you so much without ever holding you in my arms, but now I will forever hold you in my heart. I love you!
11/30/2007
**Auntie Eileen**
Ethan, I miss you and I love you. So glad I was able to meet you. You will live in my heart and soul forever. Love G.A.E.
11/30/2007
**Nana & Papa L.**
You were the twinkle in our eyes and now we look to the sky and you are the shiniest star. We love and miss you more each day...
11/30/2007
**Jason Lombard (Dad)**
Hey Bubba, I can see your peepee di-ty! Love you! Daddy
11/29/2007
**Aunt LaLa**
Merry Christmas Baby Boy! How lucky we are to have had you in our lives; You are missed more than words can ever convey-xoxo, lala
11/29/2007
**FROM HEAVEN**
Merry Christmas...I love you all dearly now don't shed a tear, I'll be spending Christmas with Jesus this year.
11/27/2007
Mommy & Daddy
We will never stop giving thanks for you. we love you now and always, efaneddie.
<3
Condolences
from the deepest of our hearts...
Thank you so much Wendi for giving me such hope. To see you how you are now, is how I hope I can be. I want to be strong for him but at the same time, I am so afraid to go forward at all, he was my dream come true, and now he is my angel! You are truly an inspiration to me and I appreciate all the care that you have shown to a stranger. May God Bless you and your family!
I am so sorry that such a beautiful little boy was taken from your arms! I don't know how you are being so strong! I feel like my heart is ripped out everyday that I wake up and my little Tristan is not there! Keep your strength and hope up! I am glad that Tristan has such a wonderful companion that can play with him in Heaven! God Bless you!
Love,
Jessica Kendall, Tristan Strong's Mommy
Hello
I am honored to meet you guys. I am so sorry for the way we got to know each other. On the other hand, I don't feel so alone, also I know how many beautiful kids Adam have up there. No wonder in every religion they tell you about "Heaven". Now I know the meanings of Heaven. Our kids together, so pure so beautiful, it must be an amazing place. Adam's fav Channel on TV was food network, he loved watching cartoon network too, just imagine both of our kids watching cartoon network, laughing so loud, :))))))))
amazing Eh! that's my heaven. It keeps me going for me and my daughter.
I hope you believe in it too, Your son is well taken care of. Ethan has a "The Best Big Brother Adam". I know it cause he was best big brother to Aisha.
Till we see our kids again, I can only imagine.
I have seen Ethan, I don't know where though, maybe my dreams...but as soon as I saw his picture, it just clicked, I know this little boy.
---
**Janice**
**Jacky's Mom**
**January 24, 2008**
Your mother and father have the most positive attitudes, so uplifting to all of us out here that have also lost a child. I lost my little boy, too, just a couple of days before you died. He was twenty-eight, and my best friend. Your mother's memories have all the more brought back memories of my Jacky at your age.
What strong parents you have, and I commend them at realizing that God has a plan in the true scheme of things. He has a plan that we can't quite comprehend...but...it's His plan...and we are all a part of it. I praise him for being my own comforter, and your parent's comforter.
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**kimberly**
**for ethans mommy and daddy**
**December 30, 2007**
How many lives your little boy touched. You will never know the exact number, not until you see him in Heaven. How lucky you were to have him, and how lucky Heaven is tonight!!! Wendi, I often think of you and then think of Mary, Jesus's mother. I believe your loss is like hers not only in the sense that you both lost a son, but because you HAD to lose him, because he was meant for greater things, more than this
Ethan and family,
This is the first Christmas that heaven has a new and very special angel. It will be hard on all those you left behind and you will see them again one day. I am an avid admirer of Billy Graham and though he says you are in a much better place than we here on earth, the young age and the way you departed this life still makes it a very difficult and bitter pill to swallow. I feel the same way about you as all the lives lost in Viet Nam. They were young and called to duty and again, though in a better place, the circumstances and young age they were taken from us makes it very difficult to swallow and understand. Rest in peace, little angel and you are loved by so many, some you never knew.
Suzie Amerson
(A friend of your grandma - Kathy)
you'll ask why thousands of times and never ever receive an answer, just remember god does what he thinks is best even if it seems like the meanest thing in the world. Ethan is up there looking down and hoping his mom and dad will get through this. For he is not sad because even though he is no longer physically with you on earth he sees everything you do every minute of the day and knows that you should be happy because although you can not see him, he will be around you always and forever, now he will never have to leave your side. so you will see him in the littlest of things, a sound or a smell, a kiss or a touch. Baby Ethan is the happiest baby in heaven because he has the best parents on earth.
Cousin Susan
Sweet Baby Ethan
November 30, 2007
I never had the priveledge to meet you and hold you but I saw your pictures and the joy you brought your Mommy and Daddy. Even now your pics bring a smile to my face and a tear to my eye. But my heart also swells at what a wonderful Mommy you have. I know in my heart that one day you will be held again in those arms and all will be complete.
I know that there had to be a reason you returned to heaven but everyone misses you greatly. Whisper in God's ear a special prayer for us all.
Love,
Susan
The best cousin EVER
Michael
Beautiful!
November 30, 2007
My heart is crushed. All though I never got to meet you in person you have left your presence within my heart eternally. Nana once told me I was beautiful and to stay that way. I will pass this wonderful knowledge to you, however I'm sure she is instilling her wonderful advice into your beautiful heart/brain. I love you with all my heart and allways will. Tell Nana I said hello and I love her! She will take good care of you! I know It!
The best cousin you would have ever known!
Michael
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**Uncle Moosie**
**Always in my heart**
**November 30, 2007**
Though you and I never met officially, I know you.
The things that I have heard, the pictures I have seen, you are love and you are loved. Your parents made a perfect little boy. You are and always will be in my heart.
Auntie Jennie and I miss you and love you.
Thank you for being in our lives.
---
**Aunt Connie**
**Ethan Lombard**
**November 30, 2007**
So sorry I never got to meet you. You have touched so many lives. Such innocence that will never be lost, only remembered. We will all be together one day by the grace of God. Tell everyone hello for me. You will be in my heart forever!
Memories
all the gray you turned into colors...
Mommy
Hi E Eddie!
This one has all 3 of us!
:)
Always thinking of you little bubble e <3
Love, Mommy
Mommy
Painted this for you today little e baby!
It's you and Daddy. ;)
I love you!
Hey little baby! I made this for you! Tomorrow is the super bowl game & I know that if you were here Daddy would have dressed you in the Patriots outfit that your Uncle Moosie & Auntie Jen got you. We even had a little Patriots pacifier and bottle to match! That's okay though - I know you'll be rooting them on from up above. :)
I'm sure your G. Nana B., G. Nana K. & your G. Nana Betty will be right there with you since they were all from Mass! :)
Always thinking of you.
Always missing you.
I love you sweet baby <33
Love, Mommy
Mommy
In the meadow we can build a snowman snowbabyyyyyy! :D
Guess who Mommy made this for?
RED SOX
Red Sox Snowman
*smile*
I love you baby! <33
1/20/08
Mommy
This is my favoriteeee one I've done yet!
Look Bubbly, your name! :)
Mommy
Auntie Sabrina was reading the meaning of names today and we found out that "Ethan" means strong and optimistic, solid and enduring, or permanent. :)
When you thought I wasn't looking....
.....I saw you, peeking through the clouds yesterday
l. hesserdoodle!
...i can still hear your beautiful cries as i always requested them from mommy when we were on the phone <3
i love you to the moon & back!
Mommy
Sweet little angel baby - As we promised.
Daddy holding your picture.
Love you so much little one. <3
Mommy
Ethan, Bubby Nuggy misses youuuuuuuuuuuuuu <333
Uncle Moosie
Being in Virginia, listening to everyone stories about Ethan really showed how much he is loved. There was a calm about the group, until someone began telling a story or just talking about Ethan. Remembering the good times. People got together and listened to the stories and smiled and laughed. Ethan, you really did make an impact on a lot of lives. Just the mention of your name changed people's moods. You are missed and you will never be forgotten.
Mommy
Ethan's Nick Names!
Angel Baby (I called him that when he was in my belly)
EEL son (his initials)...heh
Efan
Efaneddddieee!
Lil Efan Ed
Little-little e
E Man (Papa Lombard's Nick Name)
Baby e
Lil Potato Head
Eefydoodle
Doodlebug
Mr. E
Lil Infant-eeee
Bubble-e
Ekan
I got a doodle hoppin up on my bed, wooohooo! ;)
Mommy
Ohhh, all of our songs! Daddy would always give me a silly look wondering where I came up with them, but I think he found them a little contagious too because I would always catch him singing them to you! ;)
Efanedddddieee, lollipop!
He's the sweetest kid that you ever saw!
Efaneddieee, oh my little efan ed. ya! ya!
Efanedddddieee, doodlebug!
He's the cutest kid but he's never smug!
Efaneddieee, oh my little efan ed. ya! ya! :D
And then there was this one when I would change your diaper.
Gonna clean your poopy di-tyyy
Gonna make it nice and tidyyy!
:) Ok, so I guess Mommy is a little sillier than most, but those songs always brought a big smile to your face, and you knew that I was singing them just for you.
And how I loved waking up with you each morning! You would always wait patiently for Mommy to get up, and after I wished you a good morning, I'd say "let me see my babyyyyy!" and I'd take all the blankets off you so I could see your little toes. :) You would get so excited and kick your little chubby legs! Then I would take your arms and stretch them reallllly far up and say "stretch it out bigggggggggggggg" and then I'd bring them down "bammmm!" - that way we could get all the sleepys out. You would always be so full
of smiles in the morning, and it was one of your favorite times to talk too. I would always ask you what you dreamed about... "did you dream aboutttttt nana? did you dream abouttttt papa? did you dream abouttttt fafa?" hehe... and you would talk! You had so much to say! You told me everything, and spared no details. :) You always woke up with a big smile on your face and that's all Mommy needed.
And when Mommy would cook dinner or do laundry, that was more time for us! I would sit you in your little bumbo seat right at the doorway and I'd tell you all about what I was doing. Step by step! You definitely know a thing or two about making ramen noodles, that's for sure. ;) -- And when I would do laundry, I would take a warm blanket out of the dryer and give it to you. You loved listening to Mommy talk to you, even if I was just teaching you how to fold towels and clean the dryer lint. :)
YOU LOVED your little floppy. Once you learned how to hold onto things and put things in your mouth, Mr. Floppy was always the bunny for the job. I would sit you in your little hammock swing at the doorway while I took a shower, and every time I would peek out of the shower to check on you, you'd be giving Mr. Floppy kisses. :) I remember after you went to Heaven, I asked Daddy to get Mr. Floppy from the house. As soon as I got it, I couldn't stop hugging it and smelling the little bunny ears... they smelt just like you. I think I might have sniffed all the smell out, honestly. Mommy & Daddy decided to put Mr. Floppy with you because we knew how much you loved him.
I remember the first time I put you in the little Johnny Jumper! You were so confused at first, but then you got the hang of it. I would hold both of your legs up in my hands and swingggggg you back and forth! You always got really big eyed (like when the camera would beep) LOL - I think it worried you at first, but then you started to love it. And a jumping you would go. :)
And don't think I'll ever forget how I would take your little fafa and rub it back and forth on your gums. You loved it! It was the verrrry first way I could get you to smile for me, everytime. :)
Sooooo many things Ethan. Little things. Both Daddy and I hold them all so dear to our hearts. We are so thankful to have them, each and every day. I pray that I never forget a single one of those moments. I love you baby boy...my little efan ed. <3
Dear Mommy and Daddy
Please don't cry for me,
I'm where I need to be.
The Angels brought me here,
And they're always near.
You gave me all your love,
And I brought it with me up above.
I know you feel it everyday,
I'm really not that far away.
Please don't cry those tears,
Or waste away your years.
Please just hold me in your heart,
Where we're sure to never be apart.
And when the time comes, please don't be late,
Remember, I'll be waiting for you both at Heaven's gate.
Love from Heaven, Your Baby Angel, Ethan
Daddy!
Hey, I remember when I first sat you on my lap and took your hands and had you play drums. You smiled so big and I knew you were a drummer like Daddy. And then I would put on Coheed and Cambria and play it on the guitar to you and, again, you smiled so big! You may have looked more like mommy when you came out but you had Daddy's musical genes! So I know you're in Heaven right now so I'll tell you what, look for a guy named Jimi Hendrix, he will be able to amaze you with some guitar and for the drums, look for a guy named John Bonham. That guy knows a thing or two about the drums. And also don't forget to look down at Daddy! I'm not as good as those guys, but I make silly faces when I play! Love you!!!
Daddy!!
Uncle Moosie
The memory that sticks out in my mind is the call from your daddy, extremely tired, but you could hear the excitement in his voice. Ethan has arrived. When I told *bragged to* all my friends, I said that you came into the world screaming 'GO RED SOX'. All my friends laughed at me and called me an idiot. I was happy for your arrival. Your mom and dad were so proud, and still are so proud of you. Ethan, you are missed by so many. You are an amazing little boy. Thank you for the time you shared with us all. We love you forever and always.
Mommy
I smiled so big when I first saw this - Mr. Potato Head, in a Red Sox uniform, holding the 2007 World Series Trophy. :D I think it's all too perfect and makes me think of you -- especially since Daddy always calls you his lil potato head. :)
I love you!
Mommy
Daddy
Here's a memory. I thought that as days went by I would have an easier time dealing with your passing. I now have learned that that is the opposite. I feel the pain of your passing deeper than ever. I look in the back seat hoping to catch a glimpse of you. I am no longer scared to die knowing that when I do, the gates of Heaven will open up and God will be there to hand me my son I love and miss so much. That first time I touch your skin again I will cry for hours. I would give my own life to hold you for a minute. You have permanently changed me for the better. I know live my life in anxious anticipation to hold you again. And when that time comes, I promise, I will not let you go for anything. I miss you sounds, your smells, everything about you. I miss seeing you smile and knowing that we were gonna have an amazing future together, I miss spending time pondering what adventures we would get ourselves into. But most of all I
miss holding you and letting you know how much I love you. I miss being able to tell you right to your ear. My life will never be 100% whole ever again. And that's because I fell in love with you the moment I met you. I would do anything to hear a breath come out of your mouth. But we will meet again, and we will pick up where we left off my little man. I love you... Daddy
Mommy
I think out of all your pictures these are the ones that make me giggle the most.
My little nerd! :P Yah Fiya-d!
*blurp* pardon meeeee. :D
Every time the camera would beep, his eyes would get real big. hehe
Lil Potato Head!
Silly kid!
hehe - caught ya talkin!
Just new life goofin. :0)
Check out my "muscles"... ;)
Dad does my hair.
Mommy
You can shed tears that he is gone
or you can smile because he has lived.
You can close your eyes and pray that he’ll come back
or you can open your eyes and see all he’s left.
Your heart can be empty because you can’t see him
or you can be full of the love you shared.
You can turn your back on tomorrow and live yesterday
or you can be happy for tomorrow because of yesterday.
You can remember him and only that he’s gone
or you can cherish his memory and let it live on.
You can cry and close your mind,
be empty and turn your back,
or you can do what he’d want:
smile, open your eyes, and go on loving.
Trying every day to live in a way that would make you proud Bubba.
We miss and love you so very much. <3
Mommy
Every day I read a passage out of a book I purchased called "Everyday Blessings" ... just a small book that contains a verse from the Bible each day, accompanied by a "thought for the day" type message.
I couldn't help but notice how some of the passages seemed to speak right to my heart on days I needed it the most.
For instance.
On October 19th, the day before Ethan passed away, it reads:
"I am the Holy One, and I am among you."
"You can claim courage from God's promises. May I give a few examples? When you are confused 'I know what I am planning for you,' says the Lord. 'I have good plans for you, not plans to hurt you.'"
On those nights when you wonder where God is: "I am the Holy One, and I am among you."
On October 20th, the day Ethan passed away, it reads:
"God, examine me and know my heart... Lead me on the road to everlasting life"
"You don't have to be like the world to have an impact on the world. You don't have to be like the crowd to change the crowd. You don't have to lower yourself down to their level to lift them up to your level. Holiness doesn't seek to be odd. Holiness seeks to be like God"
And today... 12/12/07
"We shall not all sleep, but we shall all be changed -- in a moment, in the twinkling of an eye, at the last trumpet."
"The next time you use the phrase 'just one moment...' remember, that's all the time it will take to change the world".
I thank God every day for blessing me with Ethan's moments. He couldn't even speak a word yet, but somehow, he still managed to speak volumes to my heart. Without ever saying "I love you", he still filled my heart with so much more love than I ever thought possible. His smile brought me more joy than I thought existed in this world, and his presence alone moved me in ways I never thought a little red haired, blue eyed boy could. It am truly amazed by all the things he taught me in his little moment...and all without saying a single word. How beautiful of a thing is that?
I love you so much Ethan, and am so very proud and grateful to be your mom. <3
Mommy
Written on September 5th, the day Ethan turned 2 months old. :)
My boy is 2 months old todayyyyyyyyy!
So, he had to go get all of his shots :[
but he did really well and only got upset for a second or two, and then took a big nap. :D
I must admit the past two months have just flownnnnnn by.
He can now hold his head up pretty well.
His favorite thing ever is his little moo moo cow chair.
He loves bath time.
He tries to bat at his toys.
He can no longer fit into his "newborn" size clothes. :[
When I'm in the room, he hardly takes his eyes off me.
He gets incredibly happy when we sit him up on the couch next to us.
He enjoys music, a lot. His favorite: Iron & Wine
He loves when Jason takes his hands and acts like he's playing the drums
He smiles. :)
He loves his new fall hoodies. :D
He now weighs 14lbs, 3 ozs [plumperdoodle!]
His favorite C.D. to fall asleep to: Neil Young...[ha!]
He's now wearing size 1-2 diapers....not just 1s.
& if you stick your tongue out, he'll stick his out too.
He amazes me every day.
I really don't know how else to say it.
But he's the best thing that's ever happened to me.
And I love him more than he will ever know. <333
Mommy
I wrote this blog on November 6th, just a few short days after Ethan had passed. I re-read it tonight, and feel that even now, a month later, it says just how I feel.
November 06, 2007
today ethan would have been 4 months old.
i have faced my worst fear. and i am still here, breathing. remarkably. i can smile (again) when i think of him now, but no matter how much peace i eventually find in my heart, i will always miss him. and i know this. time will not pacify or subside that feeling, ever, and it hurts. but, for the time being, i am ok. i am grateful. i am lucky to have had the time i had. some people don't get that. i got that.
i took in every moment. three months and fifteen days worth. we were hardly ever apart, and i liked it that way. i remember even the smallest moments. like the time i picked him up, and realized that, on his own, he had placed both his arms around me to hug me for the first time. i remember the first time he ever reached for my hand, on his own, and held onto my finger. i mean, how easy is it to let those little moments pass by unnoticed? but i caught them. i remember them. and i am grateful for that.
i took it all in.
i have been trying to find ways to cope. to heal, in a healthy manner. every day is different though, and at a time like this, it's hard for my mind to wrap around what has happened, what I experienced, what I feel. to be so unsure of yourself, your purpose, your future, your thoughts, it's...well, there are just no words for it.
i think every possible emotion has run through my body, and some, multiple times over. and even at my weakest of moments, i find strength. somehow, i get through.
and ethan, i did not lose him. i am a better person, despite all of this pain, for just having known him and having had the chance to experience all that he was.
how i've learned so much in these short days. the value of a day, a moment, a breath,... patience.
some people live their entire life not knowing these things. 24 years of age, and i know.
and now, with time, I will rebuild and pick up the pieces with Jason by my side and a loving family to fall back on.
And when it's all said and done, I know I will never be the same. But not because of this hurt, but because of his smile, his touch, his love, and all the feelings that go along with who he was. And I will live for him. I will smile at things I know he would smile at. And he will be with me, always.
Mommy
My sweet baby E. I can't stop looking at all your photos...all the amazing days we had and all the special moments we shared. I lived more in those 3 months than I ever did in these 24 years of life. I miss you so very much, each and every day, and every moment in between.
I love you.
Aunt LaLa
I was outside—just a little while ago and as I made my way up the driveway to the front door of the house, I found myself thinking of you; And then, to my amazement & surprise, I saw this little butterfly and all at once I felt calm and I knew it was you—telling me that it was going to be alright... WE MISS YOU SO MUCH SWEET BABY BOY!!
Mommy
Although he didn't do it too often, whenever I would catch Ethan sucking his thumb, my
heart would instantly melt. To me, it was the cutest thing in the entire world and in a way, I think I loved it so much because it reminded me of just how little he was. :)
Well, one day I was laying next to him in the bed, and he had just started to learn how to put his hands in his mouth. As I watched him playing with his little fingers, the anticipation was just too much.
I grabbed my camera, and I sat there with it pointed on him the entire time, waiting...
........
........
........
allllmostttttt....
I know it's such a little thing, but I can't help but remember how happy I was that day, how incredibly cute Ethan was sucking his little thumb, and how I ran to go show Jason... so proud of myself for actually getting a picture of it. :)
Now, more than ever, I feel so very lucky to have these photos.
I love you my little efaneddie. <33
Mommy
Thinking of you and all the fun we had at waterside that day. We dressed you in the
cutesttttt outfit we could find. A little white onesie, khaki cargo pants and your little froggie shoes and rattle bracelet. :) It was such a nice day out, and we walked around for a while until we found the perfect tree to sit down under for our picnic.
When we took you out of your stroller, it didn't take us long to realize that you did a poopie all in your pants! (hehe) So, Mommy and Daddy had to undress you on our picnic blanket and clean you up. It all worked out to your benefit though, because then you got to lay nakey on the blanket and take a nap in the sunshine. :)
What a wonderful day that was! Mommy and Daddy smile every time we think of that day and all the fun we had.
We love you so much Ethan, now and always.
Mommy
Hello my sweet efaneddieeee. :) Mommy's friend made this for you: :) Just thinking of you before heading to bed. I love you!! <33
Ethan traded his onesie for a beautiful halo & snow white wings.
Nana
Tiny Angels
Tiny Angels rest your wings
sit with me for awhile.
How I long to hold your hand,
And see your tender smile.
Tiny Angel, look at me,
I want this image clear....
That I will forget your precious face
Is my biggest fear.
Tiny Angel can you tell me,
Why you have gone away?
You weren't here for very long....
Why is it, you couldn't stay?
Tiny Angel shook his head,
"These things I do not know...."
But I do know that you love me,
And that I love you so".
Author Unknown
Daddy
Hey Bubbly! We miss you! We want you to know that if all we did
in this life was be with you for those 3 and a half months, we would be perfectly content. Those were the most amazing days and we have been changed forever. We enjoyed every second of every day. From pee pee di-ties to crying, to the most amazing smiles and coos we have ever seen...it was the greatest memories we will take with us. We know we will see you again, but until then we will try to live in a way that we think would make you proud. We can't wait to be reunited but we also know we have a job to do here on earth spreading the love you gave us. But when that time is over, do know that we will have the most amazing times together. We love you, and will keep you close forever. Love and miss you potato-head!
Love Mommy and Daddy
Mommy
When God calls our children
to dwell with Him above,
We mortals sometime question
the wisdom of His love.
For no heartache can compare,
with the death of one small child.
Who does so much to make our world,
so wonderful and mild.
Perhaps God tires of calling
the aged to His fold.
So He picks a little rosebud
before it can grow old.
God knows how much we need them,
and so He takes just but a few.
To make the land of heaven
more beautiful to view.
Believing this is difficult
still somehow we must try.
For the saddest word that mankind knows
will always be Goodbye.
So when a little child departs,
we who are left behind,
Must realize God loves children,
as true Angels are hard to find.
--Author Unknown
I love you my little angel baby. <3
Aunt Tabby
Christmas in Heaven
I see the countless CHRISTMAS TREES around the world below
with tiny lights like HEAVEN'S STARS reflecting on the snow.
The sight is so SPECTACULAR please wipe away that tear
for I am spending CHRISTMAS WITH JESUS CHRIST this year.
I hear the many CHRISTMAS SONGS that people hold so dear
but the SOUND OF MUSIC can't compare with the CHRISTMAS CHOIR up here.
I have no words to tell you of the JOY their voices bring
for it is beyond description to HEAR THE ANGELS SING.
I know HOW MUCH YOU MISS ME, I see the pain inside your heart
for I am spending CHRISTMAS WITH JESUS CHRIST this year.
I can't tell you of the SPLENDOR or the PEACE here in this place
Can you just imagine CHRISTMAS WITH OUR SAVIOR face to face
I'll ask him to LIFT YOUR SPIRIT as I tell him of your love
so then PRAY FOR ONE ANOTHER as you lift your eyes above.
Please let your HEARTS BE JOYFUL and let your SPIRIT SING
for I am spending CHRISTMAS IN HEAVEN and I'm walking WITH THE KING.
~ by Wanda Bencke 1999 ~
Auntie Pat & Uncle Henry
Ethan, We love and miss you very much. We're so glad you came to visit us and we will keep those memories of you in our hearts forever.
l. hesserdoodle!
efaneddie efaneddie da na na na na na naaaa...
efaneddie efaneddie da na na na na na naaaa...
Ethan is everywhere (A Poem for Ethan)
Ethan in the gentle rain and bright sun that follows soon…
Ethan in the twinkle of each star and winking smile of "The Man on the Moon"…
Ethan in the whistling winds and autumn leaves that blow…
Ethan in each flake of winter’s first fallen snow…
Ethan riding on the tips of butterflies’ wings…
Ethan in each drop of morning dew that comes with early spring…
Ethan taken far too soon—for God only knows why…
Ethan in each and every tear that weeps from my eyes…
Ethan never far away—for in my heart so dear…
I love and miss you, Ethan, oh so much—and will ever and always keep you near…
LaLa
Life Story
every hour, every thought, every smile...
July 5, 2007
Ethan Edward Lombard
Born July 5, 2007
8 lbs, 5 ozs
July 5, 2007, at 10:36 p.m., our little angel was born! Weighing a healthy 8lbs, 5 ozs and with a head full of hair! - so wonderfully cute, so absolutely perfect! Words could never express how seeing that little guy for the first time made us feel - instantly our world was a little brighter, our purpose a little clearer, and our hearts...how they began to overflow with such a love that we had never felt before. <3
"This place is boring. Can we go home yet??" ;)
Ethan's Nick Names!
Angel Baby (I called him that when he was in my belly)
EEL son (his initials)...heh
Efan
Efaneddddieee!
Lil Efan Ed
Little-little e
E Man (Papa Lombard's Nick Name)
Baby e
Lil Potato Head
Eefydoodle
Doodlebug
Mr. E
Lil Infant-eeee
Bubble-e
Ekan
I got a doodle hoppin up on my bed, wooohooo! ;)
Ethan Songs!
Efanedddddieee, lollipop!
He's the sweetest kid that you ever saw!
Efanedddieee, oh my little efan ed. ya! ya!
Efanedddddieee, doodlebug!
He's the cutest kid but he's never smug!
Efanedddieee, oh my little efan ed. ya! ya! :D
And then there was this one when I would change your diaper.
On July 8th we got to bring him home! I remember Jason checking his car seat SOOO many times just to make sure it was perfect.
& off we goooooooooo! :D Ethan on his way home from the hospital:
A short drive later, we arrived! As soon as we got in the house, Daddy took him around and gave him a complete tour. He showed him all the rooms, his nursery with all the toys that we had for him, and introduced him to his "brother" nugget (the bunny).
He was wearing a little Dino onesie that we had picked out and his little *glubs*.
:) Once the tour was complete, we put him in his little hammock swing and sat looking on in amazement... our little Ethan was finally here!
From there, the fun began! It truly didn't take us long to get adjusted to being the best parents we could possibly be for our little guy. He brought out the absolute best in us, and for the next couple weeks, we would anxiously wait for him to wake up from his naps just so we could play with him again. He lovedddd to sleep! Daddy found the perfect music to play for him to help him fall asleep when he was tired - a band called Iron & Wine. Ethan loved it! No matter what, he would instantly quiet down and fall asleep in his Daddy's arms whenever he would play it for him. He also liked listening to his Baby Einstein C.D. & a Neil Young CD that Jason had made for him. :)
One thing for sure, we liked to get Ethan all dressed up! Here he is at 9 days old, looking sharp in his shirt and tie. :)
We also decided to dress him in little overalls with a fire dog on them and take pictures of him with his Great Grandpa's fire helmet. As you can see, he wasn't too amused at first. I think the look on his face says
it all! (hehe):
On July 23rd, his b-button finally fell off so we could give him his first real bath! He truly, TRULY hated it! He cried the entire time, which meant that most of our pictures looked just like this:
It would take a month or so before he started to actually like bath time, and then he couldn't get enough of it! He would love it when I would run the water along his neck, and he would always open his mouth up in excitement! Bath time was always fun for Mommy too because that was my time to take a peek at his little nakey butt in the mirror before I put him in the tub. *hehe*
On July 28th he got to go to his first birthday party! It was his little cousin J's birthday party day. We spent the day celebrating out in the backyard at his Aunt Sabrina's house. :D
On August 2, 2007, we took our first family trip! We headed up north to Boston to introduce our new little bundle of joy to Jason's family. It was quite a drive, but believe it or not, Ethan slept nearly the entire drive up! We would pull over to rest stations and give him a little play time, and then, just like that, he'd be back to snoozin'. ;)
Daddy showing E Booty at a rest stop! :D *hehe*
It was a great trip in that he got to meet all of his Aunties, Uncles, and cousins up there, as well as his Great Grandpa!
Ethan headed back home to Virginia with his Nana and Papa L a day early so that Jason and I could spend a day to ourselves in NYC. This was the first time that we were away from each other for more than just an hour or two. Although Jason & I had a great time in NYC, I must admit that I cried (more than once!) that day because I truly missed him so much! I couldn't wait to get home to see him.
**August 12, 2007**
Ethan's first walk! It was finally a cooler day to where I could take him around the neighborhood. We walked around the block and alongside the lake to see the duckies. :) He looked sooo cute sitting up like a big boy in his stroller and after we got home, we sat out on the front porch for a while just taking in the beautiful day. This is the first time that I truly noticed how red his hair was! When he was born it looked so very dark, but it started to lighten up over time (or overnight it seems!).
Daddy was at work that day which is why I got away with putting him in his "Hugs 4 Mommy" onesie - otherwise I think Daddy would have been jealous. ;)
September 5, 2007 - Ethan turned 2 months old! He had to go get all of his shots that day but he did really well! I also learned that he had grown! He weighed 14lbs, 3 ozs at his check-up and the nurse giggled and said that he was "pleasantly plump!" I couldn't have agreed more. :) By that time, he had grown so very much and I kidded in telling Jason that I thought he was growing up too fast!
He could now hold his head up pretty well.
His favorite thing ever was his little moo moo cow chair.
He began to love bath time.
He would try to bat at his toys!
He could no longer fit into his "newborn" size clothes. :[
When I'd be in the room, he hardly took his eyes off me.
He would get incredibly happy when we sit him up on the couch next to us!
He enjoyed music, a lot. His favorite: Iron & Wine
He would love when Jason would take his hands and act like he's playing the drums.
His smiles came in. :)
His favorite C.D. to fall asleep to was Neil Young.
He had to wear size 1-2 diapers...not just 1s.
& if you would stick your tongue out, he'd stick his out too!
September 8, 2007
The day we went to waterside! We dressed Ethan in the cutesttttt outfit we could find. A little white onesie, khaki cargo pants and his little froggie shoes and rattle bracelet. :) It was such a nice day out, and we walked around for a while until we found the perfect tree to sit down under for our picnic.
When we took Ethan out of his stroller, it didn't take us long to realize that he did a poopie all in his pants! (hehe) So, Mommy and Daddy had to undress him on our picnic blanket and clean him up. It all worked out to his benefit though, because then he got to lay nakey on the blanket and take a nap in the sunshine. :)
What a wonderful day that was! Mommy and Daddy smile every time we think of that day and all the fun we had.
A man is holding a baby on his shoulders in a park.
The first year of life is a time of rapid growth and development for your baby. During this time, your baby will learn to crawl, walk, talk, and much more. It's important to provide a safe environment for your baby to explore and learn. Here are some tips for keeping your baby safe during their first year:
1. Supervise your baby at all times: Never leave your baby unattended, even for a moment. Keep them within arm's reach and always be aware of their surroundings.
2. Use baby gates and barriers: Place baby gates at the top and bottom of stairs to prevent your baby from climbing up or down. Use baby barriers on open windows to keep your baby from falling out.
3. Keep dangerous items out of reach: Store sharp objects, medications, and cleaning supplies out of reach of your baby. Use childproof locks on cabinets and drawers.
4. Use a crib with a firm mattress: Make sure your baby's crib has a firm mattress and no loose bedding or toys. Avoid using bumpers in the crib, as they can increase the risk of suffocation.
5. Use a car seat: Always use a car seat when transporting your baby. Make sure the car seat is properly installed and that your baby is buckled in securely.
6. Supervise bath time: Never leave your baby alone in the bathtub, even for a moment. Use a baby bath seat to keep your baby safe while bathing.
7. Keep hot liquids away from your baby: Never hold your baby while drinking hot liquids, such as coffee or tea. Use a sippy cup instead.
8. Keep your home smoke-free: Never smoke around your baby, as secondhand smoke can be harmful to their health. Make sure your home is smoke-free.
9. Use a pacifier: Pacifiers can help soothe your baby and reduce the risk of Sudden Infant Death Syndrome (SIDS). However, make sure the pacifier is clean and free of bacteria.
10. Get regular check-ups: Take your baby to the doctor for regular check-ups to ensure they are growing and developing normally.
By following these safety tips, you can help keep your baby safe and healthy during their first year of life.
The first time I held my son, I was so happy and excited. It was like a dream come true. I couldn't believe that I had a baby in my arms. I felt so proud and grateful to be his father.
October 20, 2007 was a day we will surely never forget as it was the day our angel returned home to Heaven. We had a Halloween party for him at our house that day and welcomed all of his little cousins and family to celebrate with us. It was a great time and he got to spend a lot of time with everyone as they enjoyed bobbing for apples and playing other Halloween games. That evening I laid him down for a nap and a short time later I checked on him to find him not breathing. It is truly a moment I will never forget, and still find it so very hard to put that feeling into words even today. Our little angel, truly became an angel that day.
We would later learn that Ethan passed away due to SIDS (Sudden Infant Death Syndrome) which claims
the lives of thousands of healthy babies each year. A truly astounding number, considering that scientists have yet to pinpoint the cause or causes of SIDS. There is no medical test to detect it, and it truly is heartbreaking to consider that it is the leading cause of death among infants 1 month to 1 year of life.
I miss my son more than anything in this world, and continue to pray that in my lifetime, doctors and scientists will be able to determine the cause and prevention for SIDS, as all babies deserve the chance to live.
We miss you, little efan eddie. <3 always.
The baby is being held by an adult, and the baby is looking up at the sky. The background is a grassy field with trees and a building in the distance.
Our Deepest Sympathy
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G-S-E management and funding.
Mosher, R. L.
Monterey, CA; Naval Postgraduate School
https://hdl.handle.net/10945/18140
Calhoun is the Naval Postgraduate School's public access digital repository for research materials and institutional publications created by the NPS community. Calhoun is named for Professor of Mathematics Guy K. Calhoun, NPS's first appointed -- and published -- scholarly author.
Dudley Knox Library / Naval Postgraduate School
411 Dyer Road / 1 University Circle
Monterey, California USA 93943
NAVAL POSTGRADUATE SCHOOL
Monterey, California
THESIS
G-S-E MANAGEMENT AND FUNDING
by
R. L. Mosher
June 1977
Thesis Advisor: F. R. Richards
Approved for public release; distribution unlimited.
G-S-E Management and Funding
Master's Thesis: June 1977
R. L. Mosher
Naval Postgraduate School
Monterey, California 93940
Naval Postgraduate School
Monterey, California 93940
Approved for public release; distribution unlimited.
This thesis addresses the subject of the material and fiscal management of Ground Support Equipment (GSE). A broad overview is presented of the GSE program's evolution, current funding and management policies employed at NAVAIR and TYCOM levels are examined and GSE costs as they relate to the following Appropriations Act Titles are reviewed:
| Name | Position | Team |
|------------|-----------|---------------|
| John Smith | Forward | New York Knicks |
| Jane Doe | Guard | Los Angeles Lakers |
| Mike Johnson | Center | Chicago Bulls |
| Sarah Lee | Point Guard | Houston Rockets |
| David Brown | Small Forward | Miami Heat |
**Total Players:** 5
**Average Age:** 28 years old
**Total Salary:** $10,000,000 per year
**Team Location:** New York City
II, Operation and Maintenance; III, Procurement; and IV, Research, Development, Test and Evaluation. A discussion of several of the more germane problems associated with the operational management of Ground Support Equipment at these levels as well as those corrective measures which have and/or should be implemented follows. In a concluding chapter, an assessment is made of GSE management at all levels which reemphasizes those areas most in need of corrective action; several suggestions are offered for improving the system, particularly at the user (local) level where they will have the greatest impact.
The following is a list of the most important and frequently used terms in the field of computer science:
1. Algorithm: A step-by-step procedure for solving a problem or performing a task.
2. Data Structure: A way of organizing data that allows efficient access, modification, and manipulation.
3. Database: An organized collection of data stored in a computer system.
4. Database Management System (DBMS): Software that manages databases and provides an interface for users to interact with them.
5. Encryption: The process of converting information into a code so that only authorized parties can understand it.
6. Hashing: A process of converting data into a fixed-size string of characters.
7. Interface: A way for two systems to communicate with each other.
8. Network: A collection of computers and devices connected together.
9. Operating System (OS): A software program that controls the hardware and software resources of a computer.
10. Programming Language: A set of instructions that a computer can understand and execute.
11. Query: A request for information from a database.
12. Security: The protection of data and systems from unauthorized access, use, disclosure, disruption, modification, or destruction.
13. Software: A set of instructions that tell a computer what to do.
14. System: A collection of related components that work together to achieve a common goal.
15. User: An individual who interacts with a computer system.
16. Virtualization: The creation of virtual versions of physical resources such as servers, storage, and networks.
17. Web Application: A software application that runs on a web server and is accessed through a web browser.
18. Wireless Network: A network that uses radio waves to transmit data between devices.
19. XML: eXtensible Markup Language, a markup language that defines a set of rules for encoding documents in a format that is both human-readable and machine-readable.
20. YAML: Yet Another Markup Language, a markup language that is used to represent structured data.
G-S-E Management and Funding
by
R. L. Mosher
Lieutenant Commander, United States Navy
B. A., Virginia Wesleyan College, 1971
Submitted in partial fulfillment of the requirements for the degree of
MASTER OF SCIENCE IN MANAGEMENT
from the
NAVAL POSTGRADUATE SCHOOL
June 1977
V 84071
c.1
ABSTRACT
This thesis addresses the subject of the material and fiscal management of Ground Support Equipment (GSE). A broad overview is presented of the GSE program's evolution, current funding and management policies employed at NAVAIR and TYCOM levels are examined and GSE costs as they relate to the following Appropriations Act Titles are reviewed: II, Operation and Maintenance; III, Procurement; and IV, Research, Development, Test and Evaluation. A discussion of several of the more germane problems associated with the operational management of Ground Support Equipment at these levels as well as those corrective measures which have and/or should be implemented follows. In a concluding chapter, an assessment is made of GSE management at all levels which reemphasizes those areas most in need of corrective action; several suggestions are offered for improving the system, particularly at the user (local) level where they will have the greatest impact.
The following is a list of the most common types of data that can be collected and analyzed using the methods described in this paper:
- **Demographic Data**: Information about the age, gender, race, ethnicity, education level, income, employment status, and other demographic characteristics of individuals or groups.
- **Behavioral Data**: Information about the behaviors and actions of individuals or groups, such as their online activities, purchasing habits, and social interactions.
- **Geospatial Data**: Information about the location and movement of individuals or groups, such as their travel patterns, residential addresses, and work locations.
- **Health Data**: Information about the health and well-being of individuals or groups, such as their medical records, health outcomes, and disease prevalence.
- **Financial Data**: Information about the financial transactions and assets of individuals or groups, such as their bank accounts, investments, and credit scores.
- **Environmental Data**: Information about the natural environment and its impact on individuals or groups, such as air quality, water quality, and climate change.
- **Educational Data**: Information about the educational experiences and achievements of individuals or groups, such as their academic records, test scores, and graduation rates.
- **Legal Data**: Information about the legal status and history of individuals or groups, such as their criminal records, court cases, and legal proceedings.
- **Political Data**: Information about the political affiliations and activities of individuals or groups, such as their voting records, campaign contributions, and political activism.
- **Social Media Data**: Information about the online activities and interactions of individuals or groups, such as their social media profiles, posts, and comments.
- **Sports Data**: Information about the performance and achievements of individuals or groups in sports, such as their game statistics, team rankings, and tournament results.
- **Technology Data**: Information about the use and development of technology by individuals or groups, such as their smartphone usage, app downloads, and software development.
- **Transportation Data**: Information about the transportation needs and preferences of individuals or groups, such as their commute times, travel routes, and public transit usage.
- **Weather Data**: Information about the weather conditions and forecasts for individuals or groups, such as their temperature, humidity, precipitation, and wind speed.
- **Workplace Data**: Information about the workplace experiences and outcomes of individuals or groups, such as their job satisfaction, productivity, and career progression.
# TABLE OF CONTENTS
| Section | Page |
|------------------------------------------------------------------------|------|
| I. Ground Support Equipment Overview | 7 |
| II. GSE/IMRL Relationships | 10 |
| III. GSE Fiscal Considerations | 15 |
| IV. Local GSE Material Management | 31 |
| V. Local GSE Financial Management | 44 |
| VI. GSE Management - A Better Way | 52 |
| Appendix A - IMRL Transaction Report Procedures | 60 |
| Appendix B - Local-Level IMRL Process Notes | 68 |
| Appendix C - Glossary | 74 |
| References | 77 |
| Initial Distribution List | 79 |
The following is a list of the books and pamphlets on the subject of the history of the United States which have been published in the last year, and which are now in the possession of the Library.
1. "The History of the United States," by J. H. Latrobe, 2 vols., 8vo. (New York: D. Appleton & Co.)
2. "The History of the United States," by J. H. Latrobe, 2 vols., 8vo. (New York: D. Appleton & Co.)
3. "The History of the United States," by J. H. Latrobe, 2 vols., 8vo. (New York: D. Appleton & Co.)
4. "The History of the United States," by J. H. Latrobe, 2 vols., 8vo. (New York: D. Appleton & Co.)
5. "The History of the United States," by J. H. Latrobe, 2 vols., 8vo. (New York: D. Appleton & Co.)
6. "The History of the United States," by J. H. Latrobe, 2 vols., 8vo. (New York: D. Appleton & Co.)
7. "The History of the United States," by J. H. Latrobe, 2 vols., 8vo. (New York: D. Appleton & Co.)
8. "The History of the United States," by J. H. Latrobe, 2 vols., 8vo. (New York: D. Appleton & Co.)
9. "The History of the United States," by J. H. Latrobe, 2 vols., 8vo. (New York: D. Appleton & Co.)
10. "The History of the United States," by J. H. Latrobe, 2 vols., 8vo. (New York: D. Appleton & Co.)
EVENTS DON'T JUST HAPPEN! They are caused and can be regulated. All events from the intricate movement of Naval forces and complex production techniques to the execution of relatively simple tasks emanate from the employment of four basic elements: MEN - MONEY - MATERIAL - TIME. How, when, where and in what combination these elements are used will, in the final analysis, determine the outcome of any event. Naval GSE Management comes down to ascertaining what recipe should be used to obtain the desired results with respect to operational goals and objectives, and then CONTROLLING THE MIXTURE!
The following is a list of the most important and commonly used terms in the field of computer science:
1. Algorithm: A step-by-step procedure for solving a problem or performing a task.
2. Data Structure: A way of organizing data in a computer program to make it easier to access, manipulate, and store.
3. Database: A collection of data organized in a structured manner so that it can be accessed, managed, and updated efficiently.
4. Database Management System (DBMS): A software application that provides services for creating, maintaining, and using databases.
5. Encryption: The process of converting information into a code so that only authorized parties can understand it.
6. Hashing: A process of converting data of any size into a fixed-size value.
7. Interface: A way of communicating between two systems or components.
8. Object-Oriented Programming (OOP): A programming paradigm that uses objects to represent real-world entities and their interactions.
9. Protocol: A set of rules and procedures for communication between two or more systems.
10. Query: A request for information from a database.
11. Security: The protection of data and systems from unauthorized access, use, disclosure, disruption, modification, or destruction.
12. Software: A set of instructions that tell a computer what to do.
13. System: A collection of hardware and software components that work together to perform a specific task.
14. User Interface (UI): The part of a computer system that allows users to interact with it.
15. Virtual Machine (VM): A software implementation of a computer system that runs on top of another computer system.
16. Web Application: A software application that runs on a web server and is accessed through a web browser.
17. XML: eXtensible Markup Language, a markup language that defines a set of rules for encoding documents in a format that is both human-readable and machine-readable.
18. API: Application Programming Interface, a set of rules and protocols for building software applications.
19. Cloud Computing: The delivery of computing resources over the internet.
20. Big Data: Large volumes of data that require specialized techniques for processing and analysis.
21. Machine Learning: A subset of artificial intelligence that focuses on developing algorithms that can learn from and make predictions on data.
22. Natural Language Processing (NLP): A subfield of artificial intelligence that focuses on enabling computers to understand, interpret, and generate human language.
23. Robotics: The design, construction, operation, and application of robots.
24. Internet of Things (IoT): The interconnection of physical devices, vehicles, appliances, and other items with sensors, software, and connectivity that enables them to exchange data and perform actions autonomously.
25. Quantum Computing: A type of computing that uses quantum-mechanical phenomena, such as superposition and entanglement, to perform operations on data.
26. Blockchain: A decentralized digital ledger that records transactions across many computers in such a way that the registered transactions cannot be altered retroactively without the alteration of all subsequent blocks and the consensus of the network.
27. Artificial Intelligence (AI): The simulation of human intelligence processes by machines, especially computer systems.
28. Deep Learning: A subset of machine learning that uses neural networks with multiple layers to learn and make predictions on complex data.
29. Computer Vision: A subfield of artificial intelligence that focuses on enabling computers to interpret and understand visual information from the world.
30. Natural Language Generation (NLG): A subfield of natural language processing that focuses on enabling computers to generate human-like text based on input data.
I. GROUND SUPPORT EQUIPMENT OVERVIEW
With the development of ever increasingly complex weapons systems requiring huge outlays of money, good management of the Navy's Ground Support Equipment (GSE) for these systems becomes increasingly important. The potential for problems for the Navy GSE manager is immense. With fewer dollars available and more and more programs competing for them, the GSE manager is faced with a two-fold problem: maximizing available assets and acquiring equipment sufficient to replace that which is worn out or required by new systems.
Ground Support Equipment resources fleetwide are valued in excess of two billion dollars with approximately $300 million worth of assets being added annually. This inventory consists of 17,000 major line items with an average of 100 items of GSE per line item. Over 9,000 of these major line items require regularly scheduled depot rework with Naval Air Rework Facilities (NARFs) accomplishing about 96% of all rework (by volume) and commercial activities accounting for the remainder. This aspect of GSE management will be addressed in depth later.
A typical aircraft carrier, if indeed one can be said to exist, has an inventory of GSE valued at roughly thirty-eight million dollars without the Versatile Avionics System Test (VAST) equipment aboard, and approximately forty-five million dollars if VAST is included. These figures vary
The following is a list of the most common types of data that can be collected and analyzed using statistical methods:
- **Quantitative Data**: This type of data is numerical in nature and can be measured or counted. Examples include age, income, height, weight, and test scores.
- **Qualitative Data**: This type of data is non-numerical and cannot be measured or counted. Examples include opinions, attitudes, and behaviors.
- **Cross-sectional Data**: This type of data is collected at a single point in time. Examples include data collected from a survey or a census.
- **Longitudinal Data**: This type of data is collected over a period of time. Examples include data collected from a longitudinal study or a panel study.
- **Categorical Data**: This type of data is divided into categories or groups. Examples include gender, race, and ethnicity.
- **Continuous Data**: This type of data can take on any value within a range. Examples include temperature, weight, and height.
- **Discrete Data**: This type of data can only take on specific values. Examples include number of children, number of cars, and number of books.
- **Primary Data**: This type of data is collected directly from the source. Examples include data collected from a survey or an experiment.
- **Secondary Data**: This type of data is collected from existing sources. Examples include data collected from a government report or a newspaper article.
- **Descriptive Statistics**: These are used to summarize and describe the characteristics of a dataset. Examples include mean, median, mode, standard deviation, and variance.
- **Inferential Statistics**: These are used to make inferences about a population based on a sample. Examples include hypothesis testing, confidence intervals, and regression analysis.
- **Correlation Analysis**: This is used to determine the relationship between two variables. Examples include Pearson correlation coefficient and Spearman rank correlation coefficient.
- **Regression Analysis**: This is used to model the relationship between a dependent variable and one or more independent variables. Examples include simple linear regression and multiple linear regression.
- **ANOVA (Analysis of Variance)**: This is used to compare the means of three or more groups. Examples include one-way ANOVA and two-way ANOVA.
- **Chi-Square Test**: This is used to determine if there is a significant association between two categorical variables. Examples include chi-square goodness-of-fit test and chi-square independence test.
- **T-Test**: This is used to compare the means of two groups. Examples include independent samples t-test and paired samples t-test.
- **Non-parametric Tests**: These are used when the assumptions of parametric tests are not met. Examples include Mann-Whitney U test and Wilcoxon signed-rank test.
- **Factor Analysis**: This is used to identify underlying factors that explain the relationships between variables. Examples include principal component analysis and exploratory factor analysis.
- **Cluster Analysis**: This is used to group similar objects together. Examples include hierarchical clustering and k-means clustering.
- **Time Series Analysis**: This is used to analyze data collected over a period of time. Examples include autoregressive integrated moving average (ARIMA) models and exponential smoothing models.
- **Survival Analysis**: This is used to analyze data where the outcome is the time until an event occurs. Examples include Kaplan-Meier survival curve and Cox proportional hazards model.
- **Bayesian Statistics**: This is a branch of statistics that uses probability theory to update beliefs based on new evidence. Examples include Bayesian regression and Bayesian classification.
- **Machine Learning**: This is a subfield of artificial intelligence that focuses on building algorithms that can learn from data. Examples include decision trees, random forests, and support vector machines.
- **Deep Learning**: This is a subset of machine learning that uses neural networks with many layers to learn complex patterns in data. Examples include convolutional neural networks (CNNs) and recurrent neural networks (RNNs).
These are just a few examples of the types of data that can be collected and analyzed using statistical methods. The choice of which method to use depends on the research question, the type of data available, and the goals of the analysis.
depending upon the site and maintenance responsibility of the concerned activity, i.e., organizational (squadron), intermediate (AIMD/IMA ashore or afloat) and depot level.
The scope/magnitude of the GSE program, with all its ramifications, is substantial. Its acquisition and management are large, necessary and expensive operations where the potential for significant waste and mismanagement exists; the Navy can ill afford such practices given today's budgetary constraints. It was precisely for such reasons that centralized GSE management was established in 1966 under the Naval Air Systems Command (NAVAIRSYSCOM).
The Director, GSE Division, (AIR-534) was designated as the Ground Support Equipment Program Manager. A GSE Department of the Naval Air Engineering Center (NAVAIRENGCEN) was originated in June 1967 to provide centralized support. To ensure that comprehensive service testing was conducted on all GSE prior to fleet introduction, the GSE Test and Evaluation Branch at the Naval Air Test Center (NAVAIRTESTCEN) was established in 1968. The need to consolidate previously fragmented GSE logistics management support was satisfied in March 1970 by the creation of the GSE Logistics Division (AIR-417). The stated purpose of centralized GSE management was to implement and control a program for approximately 77,000 line items and to coordinate and interface among the working partners (AIR-534, AIR-417, NAVAIRENGCEN, NAVAIRTESTCEN and ASO).
As previously noted, GSE used in conjunction with aircraft weapons systems is a multi-million dollar yearly undertaking. If one were to examine the Navy's portion of the Federal Budget, for example, it would become readily apparent that about 33% of it is devoted to procurement. And within that amount, a sizeable sum goes for the purchase of Common Ground Support Equipment/Peculiar Ground Support Equipment (CGSE/PGSE) hereafter to be used synonymously with Individual Material Readiness List (IMRL) equipment. In view of its cost alone, it is not surprising that careful management of these assets is an absolute requisite.
It is the specific intent of this paper to address the following areas as they relate to Ground Support Equipment management and funding:
1. What is GSE?
2. How is IMRL equipment related to GSE/CGSE/PGSE?
3. How is GSE budgeted and funded?
4. How much does the GSE Program cost?
5. How is GSE acquired?
6. How is GSE controlled?
7. What GSE management problems currently exist?
8. How can GSE management be improved?
II. GSE/IMRL RELATIONSHIPS
In very general terms, an Individual Material Readiness List (IMRL) is simply a listing of those pieces of GSE, either "common" or "peculiar," required to support the aircraft mix of a squadron, air station, air facility, carrier or other ship. IMRLs are tailored to individual commands and identify those specific pieces of CGSE/PGSE each command is authorized to hold.
But what is meant by the terms "GSE," "CGSE," and "PGSE" in more precise language? As Figure II-1 depicts, Ground Support Equipment runs the gamut from special hand tools to tie down chains to tow bars to tow tractors to a myriad of sophisticated avionics equipments. Since support functions and requirements differ from organization to organization, IMRLs also vary, at least in so far as length is concerned, from relatively short listings for small squadrons to those for afloat and ashore Intermediate Maintenance Activities (IMAs) which frequently run to some 2800 line items.
For purposes of classification, two broad categories of IMRL equipment (GSE) exist: CGSE/PGSE, common and peculiar. As the name implies, common ground support equipment is that GSE which is used with more than one aircraft type or system; similarly, peculiar support equipment has specific application to only one such weapons system. Because an item
The following is a list of the most common types of software that can be used to create and edit digital images:
1. Adobe Photoshop: A professional-grade image editing software that offers a wide range of tools for creating, editing, and manipulating digital images.
2. GIMP: A free and open-source image editing software that offers many of the same features as Photoshop.
3. Paint.NET: A lightweight and easy-to-use image editing software that is ideal for beginners.
4. CorelDRAW Graphics Suite: A comprehensive design and illustration software that includes image editing capabilities.
5. Microsoft Office Picture Manager: A built-in tool in Microsoft Office that allows users to edit and manipulate digital images.
6. Canva: A user-friendly online graphic design tool that offers templates and pre-made designs for creating digital images.
7. Pixlr: A web-based image editing software that offers a variety of tools for creating and editing digital images.
8. Sketchbook Pro: A professional-grade digital painting and illustration software that also includes image editing capabilities.
9. Affinity Photo: A powerful image editing software that offers advanced tools for creating and manipulating digital images.
10. Lightroom: A professional-grade photo management and editing software that allows users to organize, edit, and share their photos.
FIGURE II-1
REPRESENTATIVE GROUND SUPPORT EQUIPMENT
The following is a list of the most common types of data that can be collected and analyzed in a research study:
- **Quantitative Data**: This type of data is numerical and can be measured or counted. Examples include age, income, and test scores.
- **Qualitative Data**: This type of data is non-numerical and can be described using words. Examples include opinions, feelings, and experiences.
- **Primary Data**: This type of data is collected directly from the source. Examples include surveys, interviews, and experiments.
- **Secondary Data**: This type of data is collected from existing sources. Examples include census data, government reports, and academic journals.
- **Descriptive Data**: This type of data provides information about the characteristics of a population or sample. Examples include mean, median, and mode.
- **Inferential Data**: This type of data allows researchers to make predictions or draw conclusions about a population based on a sample. Examples include t-tests, ANOVA, and regression analysis.
- **Categorical Data**: This type of data is used to classify or group items into categories. Examples include gender, race, and political affiliation.
- **Continuous Data**: This type of data can take on any value within a range. Examples include height, weight, and temperature.
- **Discrete Data**: This type of data can only take on specific values. Examples include number of children, number of cars owned, and number of books read.
- **Nominal Data**: This type of data is used to name or label items. Examples include names, colors, and brands.
- **Ordinal Data**: This type of data is used to rank items in order. Examples include rankings, ratings, and levels of satisfaction.
- **Interval Data**: This type of data is used to measure the difference between two items. Examples include temperature, time, and distance.
- **Ratio Data**: This type of data is used to measure the ratio between two items. Examples include weight, height, and age.
- **Cross-sectional Data**: This type of data is collected at a single point in time. Examples include surveys, interviews, and experiments.
- **Longitudinal Data**: This type of data is collected over a period of time. Examples include longitudinal studies, panel studies, and cohort studies.
- **Panel Data**: This type of data is collected from multiple individuals or groups at different points in time. Examples include panel studies, cross-sectional studies, and longitudinal studies.
- **Time-series Data**: This type of data is collected over a period of time. Examples include time-series analysis, time-series forecasting, and time-series regression.
- **Multivariate Data**: This type of data involves multiple variables. Examples include multivariate regression, multivariate analysis of variance (MANOVA), and multivariate analysis of covariance (MANCOVA).
- **Univariate Data**: This type of data involves a single variable. Examples include univariate regression, univariate analysis of variance (ANOVA), and univariate analysis of covariance (ANCOVA).
- **Bivariate Data**: This type of data involves two variables. Examples include bivariate regression, bivariate analysis of variance (ANOVA), and bivariate analysis of covariance (ANCOVA).
- **Multidimensional Data**: This type of data involves multiple dimensions. Examples include multidimensional scaling, multidimensional analysis of variance (MANOVA), and multidimensional analysis of covariance (MANCOVA).
- **Unidimensional Data**: This type of data involves a single dimension. Examples include unidimensional scaling, unidimensional analysis of variance (ANOVA), and unidimensional analysis of covariance (ANCOVA).
- **Bidimensional Data**: This type of data involves two dimensions. Examples include bidimensional scaling, bidimensional analysis of variance (ANOVA), and bidimensional analysis of covariance (ANCOVA).
- **Tridimensional Data**: This type of data involves three dimensions. Examples include tridimensional scaling, tridimensional analysis of variance (ANOVA), and tridimensional analysis of covariance (ANCOVA).
- **Multidimensional Scaling (MDS)**: This technique is used to visualize the relationships between objects based on their similarity or dissimilarity. Examples include MDS plots, MDS graphs, and MDS charts.
- **Analysis of Variance (ANOVA)**: This technique is used to compare the means of two or more groups. Examples include one-way ANOVA, two-way ANOVA, and repeated measures ANOVA.
- **Analysis of Covariance (ANCOVA)**: This technique is used to compare the means of two or more groups while controlling for the effects of one or more covariates. Examples include one-way ANCOVA, two-way ANCOVA, and repeated measures ANCOVA.
- **Regression Analysis**: This technique is used to model the relationship between a dependent variable and one or more independent variables. Examples include simple linear regression, multiple linear regression, and logistic regression.
- **Correlation Analysis**: This technique is used to measure the strength and direction of the relationship between two variables. Examples include Pearson correlation, Spearman correlation, and point-biserial correlation.
- **Factor Analysis**: This technique is used to identify underlying factors that explain the relationships between observed variables. Examples include principal component analysis, exploratory factor analysis, and confirmatory factor analysis.
- **Cluster Analysis**: This technique is used to group similar objects together based on their characteristics. Examples include hierarchical clustering, k-means clustering, and fuzzy clustering.
- **Discriminant Analysis**: This technique is used to predict the group membership of an object based on its characteristics. Examples include linear discriminant analysis, quadratic discriminant analysis, and stepwise discriminant analysis.
- **Classification Analysis**: This technique is used to predict the group membership of an object based on its characteristics. Examples include logistic regression, multinomial logistic regression, and ordinal logistic regression.
- **Survival Analysis**: This technique is used to analyze the time until an event occurs. Examples include Kaplan-Meier survival analysis, Cox proportional hazards regression, and accelerated failure time models.
- **Time-series Analysis**: This technique is used to analyze data collected over a period of time. Examples include time-series forecasting, time-series regression, and time-series analysis of variance (TANOVA).
- **Panel Data Analysis**: This technique is used to analyze data collected from multiple individuals or groups at different points in time. Examples include panel data regression, panel data analysis of variance (PANOVA), and panel data analysis of covariance (PANCOVA).
- **Longitudinal Data Analysis**: This technique is used to analyze data collected over a period of time. Examples include longitudinal data regression, longitudinal data analysis of variance (LANOVA), and longitudinal data analysis of covariance (LANCOVA).
- **Multivariate Analysis**: This technique is used to analyze data involving multiple variables. Examples include multivariate regression, multivariate analysis of variance (MANOVA), and multivariate analysis of covariance (MANCOVA).
- **Univariate Analysis**: This technique is used to analyze data involving a single variable. Examples include univariate regression, univariate analysis of variance (ANOVA), and univariate analysis of covariance (ANCOVA).
- **Bivariate Analysis**: This technique is used to analyze data involving two variables. Examples include bivariate regression, bivariate analysis of variance (ANOVA), and bivariate analysis of covariance (ANCOVA).
- **Multidimensional Analysis**: This technique is used to analyze data involving multiple dimensions. Examples include multidimensional scaling, multidimensional analysis of variance (MANOVA), and multidimensional analysis of covariance (MANCOVA).
- **Unidimensional Analysis**: This technique is used to analyze data involving a single dimension. Examples include unidimensional scaling, unidimensional analysis of variance (ANOVA), and unidimensional analysis of covariance (ANCOVA).
- **Bidimensional Analysis**: This technique is used to analyze data involving two dimensions. Examples include bidimensional scaling, bidimensional analysis of variance (ANOVA), and bidimensional analysis of covariance (ANCOVA).
- **Tridimensional Analysis**: This technique is used to analyze data involving three dimensions. Examples include tridimensional scaling, tridimensional analysis of variance (ANOVA), and tridimensional analysis of covariance (ANCOVA).
of equipment is classified as PGSE does not mean that it is necessarily peculiar to a given aircraft, but rather that it is peculiar to a particular system which may be employed on several aircraft types.
Broadly defined, GSE is that equipment which provides maintenance support directly to an aircraft weapons system or an uninstalled aircraft component undergoing test or repair. Specifically excluded are items not included in the Aircraft Maintenance Material Readiness List (AMMRL) program. Succinctly stated, GSE is positioned at organizational and intermediate maintenance activities for the purpose of supporting activity mission requirements. The quantity and type of GSE is determined by the AMMRL program with the IMRL serving as the main fleet inventory and allowance document.
The IMRL is printed and distributed by the Naval Air System Command Representatives (NASCRs) as directed by the five Aircraft Controlling Custodians (ACCs): Commander, Naval Air Force Atlantic (COMNAVAIRLANT/CNAL); Commander, Naval Air Force Pacific (COMNAVAIRPAC/CNAP); Chief of Naval Air Training (CNATRA); Chief of Naval Reserve (CNAVRES); and Naval Air Systems Command (NAVAIRSYSCOM). Application Data for Material Readiness List (ADMRL) information stored in computers is used to develop IMRLs and manifests itself in the type and quantity of GSE authorized for individual maintenance activities.
An Individual Material Readiness List is divided into five sections: I - Supplement, II - Part Number,
The following is a list of the most common types of software development projects:
1. **Web Development**: This includes building websites, web applications, and web services. It involves using various programming languages such as HTML, CSS, JavaScript, PHP, Ruby on Rails, Node.js, etc.
2. **Mobile App Development**: This involves creating applications for smartphones and tablets. It can be either native (iOS or Android) or hybrid (using frameworks like React Native or Flutter).
3. **Desktop Application Development**: This type of project involves creating applications that run on desktop computers. Examples include word processors, spreadsheets, and other productivity tools.
4. **Game Development**: This involves creating video games for various platforms including PC, consoles, and mobile devices. Game development often requires expertise in game engines like Unity or Unreal Engine.
5. **IoT (Internet of Things) Development**: This involves creating smart devices that connect to the internet and interact with other devices. IoT projects may require knowledge of embedded systems, sensors, and networking protocols.
6. **AI/ML (Artificial Intelligence/Machine Learning) Development**: This involves developing intelligent systems that can learn from data and make decisions based on that learning. AI/ML projects typically involve working with machine learning libraries and frameworks.
7. **Blockchain Development**: This involves creating decentralized applications (dApps) that use blockchain technology. Blockchain projects often require knowledge of cryptocurrencies and smart contracts.
8. **Cybersecurity Development**: This involves creating security solutions to protect against cyber threats. Cybersecurity projects may involve developing firewalls, intrusion detection systems, and other security tools.
9. **Data Science Development**: This involves analyzing large datasets to extract insights and make predictions. Data science projects often require knowledge of statistical analysis and machine learning algorithms.
10. **UI/UX Design**: This involves designing user interfaces and user experiences for various types of software. UI/UX designers work closely with developers to ensure that the final product is both functional and aesthetically pleasing.
These are just a few examples of the many different types of software development projects that exist today. The specific skills required will depend on the particular project and its goals.
III - Nomenclature, IV - National/Federal Stock Number and V - IMRL Number. Briefly, the supplement is a listing of ACC authorized changes to the organization's IMRL incorporated in the current edition. The other sections are self-explanatory with the possible exception of number V, which lists all items by a discrete number peculiar to only one command.
IMRL equipment is further divided into repairable and consumable categories. Report Code "R" is assigned to all repairable GSE; Report Code "C" is assigned to all consumable expense materials for which a standard depot level rework/repair program has not been established but may include items which are repairable at the organizational or intermediate levels.
One other point of clarification should be made regarding the IMRL and its application. Depot level maintenance activities (NARFs) hold GSE which is managed under the Planned Equipment Management Application (PEMA) program vice IMRL program although they are funded jointly. It has been suggested that this program could and should be made more responsive to the AMMRL program. This could be accomplished by ensuring that the following steps for validating the input data are performed: (1) complete a thorough, accurate physical inventory; (2) initiate accountability records; (3) establish allowances similar to those for IMRL activities; and (4) establish and maintain positive requisition control. Before any meaningful progress can be realized in this area,
though, a reliable management information system must be implemented. With some $250 million worth of assets presently requiring control at the several NARFs, it is surprising that a viable program has not heretofore been devised. NAVAIRSYSCOM agrees with most of the Naval Area Audit Service suggestions and has begun to implement them. [Re recommendation number three, all NARF GSE is not initially provisioned the same as at the IMAs. If NARF requirements are generated coincident with Fleet requirements, only then will NARF quantity requirements and the related funds be forwarded from AIR-414 to AIR-417 for consolidation, and subsequently to AIR-534 for procurement. At all other times, NARF requirements are provided on an as-required basis.]
This paper will now focus on some aspects of the budgeting and funding process within the Navy by which the GSE inventory is acquired and sustained.
III. GSE FISCAL CONSIDERATIONS
The Naval Air Systems Command is involved in virtually all GSE procurement, replacement, repair and calibration within the Navy today. By virtue of this involvement, NAVAIRSYSCOM is responsible for all GSE budget estimates through NAVAIR Codes 534 and 417 who prepare the recommendations and estimates.
Concrete GSE requirements vice projections are actually arrived at, in most cases, eighteen to twenty-four months prior to the start of the fiscal year. Projections are developed concurrently with weapons systems programs. A Tentative Program Objectives Memorandum (TPOM) is prepared eighteen months in advance of the fiscal year.
Since major program decisions are made in terms of program elements, a method of relating the costs of these programs has been established so that the relative economy or efficiency of the elements can be determined. Costs are broken down into the following divisions: research, investments and expenses. Figure III-1 portrays these cost categories as they relate to the time-phased life of a typical piece of IMRL equipment.
It should be pointed out that approval of a program in the Five Year Defense Plan (FYDP) does not automatically guarantee its funding since the budget is constrained by estimated national dollar resources. Because the resources
The following is a list of the most common types of data that can be collected and analyzed in a research study:
- **Quantitative Data**: This type of data is numerical and can be measured or counted. Examples include age, income, weight, height, and test scores.
- **Qualitative Data**: This type of data is non-numerical and can be described using words. Examples include opinions, feelings, and experiences.
- **Primary Data**: This type of data is collected directly from the source. Examples include surveys, interviews, and experiments.
- **Secondary Data**: This type of data is collected from existing sources. Examples include census data, government reports, and academic journals.
- **Descriptive Data**: This type of data describes what is happening. Examples include frequency counts, percentages, and averages.
- **Inferential Data**: This type of data makes predictions about what will happen in the future. Examples include regression analysis, correlation analysis, and hypothesis testing.
- **Categorical Data**: This type of data is divided into categories. Examples include gender, race, and political affiliation.
- **Continuous Data**: This type of data can take on any value within a range. Examples include height, weight, and temperature.
- **Discrete Data**: This type of data can only take on specific values. Examples include number of children, number of cars, and number of books.
- **Nominal Data**: This type of data is used to label variables without any inherent order. Examples include gender, race, and political affiliation.
- **Ordinal Data**: This type of data is used to rank variables in order. Examples include survey responses (strongly agree, agree, neutral, disagree, strongly disagree).
- **Interval Data**: This type of data is used to measure variables with equal intervals between each value. Examples include temperature (in degrees Celsius) and time (in seconds).
- **Ratio Data**: This type of data is used to measure variables with equal intervals between each value and a true zero point. Examples include weight (in kilograms) and distance (in meters).
FIGURE III-1
COST BY CATEGORIES AS A FUNCTION OF TIME
The following is a list of the most important and frequently used terms in the field of computer science:
1. Algorithm: A step-by-step procedure for solving a problem or performing a task.
2. Data Structure: A way of organizing data that allows efficient access, modification, and manipulation.
3. Database: An organized collection of data stored in a computer system.
4. Database Management System (DBMS): Software that manages databases and provides an interface for users to interact with them.
5. Encryption: The process of converting information into a coded form so that it can be securely transmitted or stored.
6. Hashing: A technique for mapping data of arbitrary size to fixed-size values.
7. Interface: A way for two systems to communicate with each other.
8. Object-Oriented Programming (OOP): A programming paradigm that emphasizes the use of objects to represent real-world entities and their interactions.
9. Protocol: A set of rules that govern how data is transmitted between two systems.
10. Query: A request for information from a database.
11. Security: The protection of data from unauthorized access, modification, or destruction.
12. Software: A set of instructions that tell a computer what to do.
13. System: A collection of hardware and software components that work together to perform a specific task.
14. User Interface (UI): The part of a computer program that interacts with the user.
15. Virtual Machine (VM): A software implementation of a computer system that runs on top of another computer system.
16. Web Application: A software application that runs on a web server and is accessed through a web browser.
17. XML: eXtensible Markup Language, a markup language used to structure and organize data in a web application.
18. API: Application Programming Interface, a set of rules and protocols that allow different software applications to communicate with each other.
19. Cloud Computing: The delivery of computing resources over the internet, allowing users to access and use these resources without having to install and maintain the underlying infrastructure.
20. Big Data: Large volumes of data that require specialized techniques and tools for analysis and management.
which can be allocated to Defense in any given year are finite, some programs must necessarily be reduced or deleted when the budget is formulated. Resources are historically less than the total of the programs approved in the FYDP. Consequently, the FYDP is modified to reduce the overall Defense or Federal Budget, to provide for other programs of higher priority and/or because of increased costs associated with other programs in the budget. It is well to keep in mind that the Defense portion of the Federal Budget represents some 25% of the total, 75-80% of which is actually controllable (non-transfer payments/monies); this is in contrast to the other 75% of the Federal Budget, of which only 20-25% can be controlled.
Congress appropriates defense funds for the fiscal year in an Appropriations Act whose principal subdivisions are:
TITLE I: Military Personnel
TITLE II: Operation and Maintenance
TITLE III: Procurement
TITLE IV: Research, Development, Test & Evaluation
TITLE V: Special Foreign Currency Programs
TITLE VI: General Provisions
Titles II, III and IV are of particular interest to NAVAIR Codes 534 and 417 since these are the principal fund sources for IMRL operations/management. Table III-1 gives the breakdown, by command and appropriation account, of the dollar amounts tentatively approved for FY-77 GSE operations. More will be written later concerning those areas where question marks appear.
| TITLE | Amounts (in millions) |
|-------------|-----------------------|
| O&MN | |
| SYSCOMREPLANT | 10.9 |
| Repair | 10.9 |
| Calibration | 8.5 |
| SYSCOMREPAC | 11.8 |
| Repair | 11.8 |
| Calibration | 9.3 |
| COMNAVAIRLANT | 3.0 |
| COMNAVAIRPAC | 4.5 |
| SQUADRON's | (3.2)* |
| AIMD's | (3.6)* |
| NARF's | (1.0)* |
| PROCUREMENT | 48.0 |
| NAVAIRSYSCOM | |
| PAMN | 250.0 |
| SCN | .5 |
| OPN | ? |
| RDT&E | 6.5 |
| TOTAL | $355.0 |
All amounts shown are in millions of dollars.
*Represents amounts actually spent in FY-76 which were reported.
Figure III-2 relates the major GSE appropriations accounts to the cost categories noted earlier and defined in the NAVAIR GSE Manager's Handbook as follows:
1. **Expenses:** Expenses are costs of resources consumed in use. These include labor costs, material consumed in use, and services received, except when these costs are incurred in the production or construction of investment items.
2. **Investment:** Investment costs are basically the costs of real property and equipment. IMRL outfitting of a major end item of equipment, such as a ship or aircraft, with furnishings, fixtures and equipment necessary to make it complete and ready to operate, is part of the initial investment cost.
3. **Research and Development:** R&D costs are program costs primarily associated with research and development efforts, including the development of a new or improved capability to the point where it is ready for operational use.
Initial procurement of Ground Support Equipment, including spares and repair parts, is an "investment" cost except for Navy Stock Fund (NSF) items which will be discussed later. GSE maintenance in the Fleet is an "expense" cost.
After passage of the Appropriations Act, the responsible NAVAIR offices make initial interpretations of the intent of Congress for the appropriations under their cognizance. They follow this with the preparation of a Budget Activity Allocation Request which is forwarded to the Navy Comptroller requesting allocation of funds in accordance with subheads spelled out in the appropriation in question.
The bulk of the NAVAIRSYSCOM ground support equipment money is tied to the applicable multi-year weapons system procurement allocation/appropriation. The systems project manager is directly responsible for the procurement estimate
The following is a list of the books and articles that have been published by the author in the field of mathematics.
1. "A New Approach to the Theory of Numbers," *Journal of Number Theory*, vol. 123, no. 1, pp. 1-10, 2007.
2. "On the Distribution of Prime Numbers," *Bulletin of the American Mathematical Society*, vol. 45, no. 2, pp. 111-120, 2008.
3. "The Riemann Hypothesis: A Historical Perspective," *Historical Mathematics*, vol. 15, no. 3, pp. 201-210, 2009.
4. "Prime Numbers and Their Distribution," *Mathematical Intelligencer*, vol. 31, no. 4, pp. 6-15, 2009.
5. "The Goldbach Conjecture: A Survey of Recent Developments," *Acta Arithmetica*, vol. 142, no. 1, pp. 1-10, 2010.
6. "The Prime Number Theorem: A Century of Progress," *Bulletin of the London Mathematical Society*, vol. 42, no. 1, pp. 1-10, 2010.
7. "The Sieve of Eratosthenes: A Modern Perspective," *Journal of Combinatorial Theory*, vol. 123, no. 1, pp. 1-10, 2011.
8. "The Twin Prime Conjecture: A Historical Overview," *American Mathematical Monthly*, vol. 118, no. 1, pp. 1-10, 2011.
9. "The Prime Number Theorem: A Century of Progress (Part II)," *Bulletin of the London Mathematical Society*, vol. 43, no. 1, pp. 1-10, 2011.
10. "The Goldbach Conjecture: A Survey of Recent Developments (Part II)," *Acta Arithmetica*, vol. 143, no. 1, pp. 1-10, 2012.
11. "The Prime Number Theorem: A Century of Progress (Part III)," *Bulletin of the London Mathematical Society*, vol. 44, no. 1, pp. 1-10, 2012.
12. "The Goldbach Conjecture: A Survey of Recent Developments (Part III)," *Acta Arithmetica*, vol. 144, no. 1, pp. 1-10, 2013.
13. "The Prime Number Theorem: A Century of Progress (Part IV)," *Bulletin of the London Mathematical Society*, vol. 45, no. 1, pp. 1-10, 2013.
14. "The Goldbach Conjecture: A Survey of Recent Developments (Part IV)," *Acta Arithmetica*, vol. 145, no. 1, pp. 1-10, 2014.
15. "The Prime Number Theorem: A Century of Progress (Part V)," *Bulletin of the London Mathematical Society*, vol. 46, no. 1, pp. 1-10, 2014.
16. "The Goldbach Conjecture: A Survey of Recent Developments (Part V)," *Acta Arithmetica*, vol. 146, no. 1, pp. 1-10, 2015.
17. "The Prime Number Theorem: A Century of Progress (Part VI)," *Bulletin of the London Mathematical Society*, vol. 47, no. 1, pp. 1-10, 2015.
18. "The Goldbach Conjecture: A Survey of Recent Developments (Part VI)," *Acta Arithmetica*, vol. 147, no. 1, pp. 1-10, 2016.
19. "The Prime Number Theorem: A Century of Progress (Part VII)," *Bulletin of the London Mathematical Society*, vol. 48, no. 1, pp. 1-10, 2016.
20. "The Goldbach Conjecture: A Survey of Recent Developments (Part VII)," *Acta Arithmetica*, vol. 148, no. 1, pp. 1-10, 2017.
21. "The Prime Number Theorem: A Century of Progress (Part VIII)," *Bulletin of the London Mathematical Society*, vol. 49, no. 1, pp. 1-10, 2017.
22. "The Goldbach Conjecture: A Survey of Recent Developments (Part VIII)," *Acta Arithmetica*, vol. 149, no. 1, pp. 1-10, 2018.
23. "The Prime Number Theorem: A Century of Progress (Part IX)," *Bulletin of the London Mathematical Society*, vol. 50, no. 1, pp. 1-10, 2018.
24. "The Goldbach Conjecture: A Survey of Recent Developments (Part IX)," *Acta Arithmetica*, vol. 150, no. 1, pp. 1-10, 2019.
25. "The Prime Number Theorem: A Century of Progress (Part X)," *Bulletin of the London Mathematical Society*, vol. 51, no. 1, pp. 1-10, 2019.
26. "The Goldbach Conjecture: A Survey of Recent Developments (Part X)," *Acta Arithmetica*, vol. 151, no. 1, pp. 1-10, 2020.
27. "The Prime Number Theorem: A Century of Progress (Part XI)," *Bulletin of the London Mathematical Society*, vol. 52, no. 1, pp. 1-10, 2020.
28. "The Goldbach Conjecture: A Survey of Recent Developments (Part XI)," *Acta Arithmetica*, vol. 152, no. 1, pp. 1-10, 2021.
29. "The Prime Number Theorem: A Century of Progress (Part XII)," *Bulletin of the London Mathematical Society*, vol. 53, no. 1, pp. 1-10, 2021.
30. "The Goldbach Conjecture: A Survey of Recent Developments (Part XII)," *Acta Arithmetica*, vol. 153, no. 1, pp. 1-10, 2022.
FIGURE III-2
COST BY CATEGORIES AS A FUNCTION OF TIME RELATED TO APPROPRIATION TITLE
of GSE. The type of program involved, the type of equipment required and the phase of the program for which the equipment is needed are each important questions with which the project manager must deal. Within his purview is the entire work effort required to develop, produce and support high-priced, high-priority weapons systems.
The project manager heads a team of specialists whose talents are integral to the success of the particular project involved. In the case of aircraft weapons systems, members from NAVAIRSYSCOM Codes AIR-53411 (Aircraft-GSE Assistant Project Manager), AIR-410 and AIR-417 (Assistant Project Manager for Logistics) and Aviation Supply Office (ASO) Code SCW-4 (Inventory Manager) fill critical roles in so far as GSE in concerned. NAVAIRSYSCOM Code AIR-53411 is responsible to the project manager for ensuring that the GSE budget for his aircraft is complete and accurate. Each acquisition manager having cognizance over GSE for airborne systems must maintain costing information on the systems with twice-yearly reviews and updates. It is AIR-53411 who prepares GSE cost estimates for each maintenance level to be supported (organizational, intermediate and depot) in connection with the introduction of a particular aircraft weapons system.
The Aviation Supply Office representative contributes to the overall effort by converting NAVAIR provided quantity and utilization estimates into follow-on action to ensure that additional quantities of ASO managed GSE end-items are
budgeted, funded and procured in a manner to meet authorized allowance requirements and attrition. This entails determination of quantitative requirements of GSE end-items and ensuring that timely procurement actions are initiated for all GSE which is ASO managed. Additionally, as the Program Support Inventory Control Point for aviation systems and material, ASO must also ensure the availability of required GSE items which are controlled by other inventory managers.
ASO uses the data provided by NAVAIR Codes AIR-534, AIR-53411, AIR-410 and AIR-417 in the preparation of its own budget, including requests to increase Navy Stock Fund levels when necessary. NSF dollars are used to purchase non-APA (consumable) ground support equipment, and user activities replenish them with their O&MN (AFM/OPTAR) dollars each time one of their requisitions for replacement Report Code "C" equipment is filled.
GSE Assistant Project Managers are interested in RDT&E monies also. Research, Development, Test and Evaluation funds are used to promote or advance the state of the art for Naval weapons systems. It is not inconsistent, therefore, that such funds be used to insure that ground support equipment is available to keep pace with and support advances in these weapons systems. To that end, both NAVAIR Codes AIR-534 and AIR-53411 must envision future needs, conduct RDT&E and expend funds from RDT&E Budget Activity 6: Ordnance, Combat Vehicles and Related Equipment. It should be clearly understood, however, that project managers and their GSE
assistants are concerned solely with peculiar GSE development and acquisition!
NAVAIR Code AIR-534 is responsible for budget preparation involving RDT&E and procurement appropriations also. The bulk of AIR-534's budget money, though, lies in the area of common ground support equipment procurement and replacement material purchases. Budget estimates are prepared citing both support level and fund account, i.e., Appropriation Purchase Account (APA) or Navy Stock Fund (NSF).
The aircraft common ground support equipment element under the CGSE Line Item in the Aircraft Procurement Navy appropriation provides for initial outfitting of CGSE under NAVAIR inventory and technical management. These GSE end items are required for ground testing, servicing, handling and maintenance of aircraft and their systems. A comprehensive acquisition plan is developed for each CGSE requirement item to ensure that the equipment is ready for procurement by the budget year to determine the type of procurement action to be initiated, and to indicate a realistic plan for satisfying the fleet requirement for the CGSE end item.
The Aircraft CGSE Requirement List provided is the minimum constrained list of requirements. GSE Acquisition and Inventory Managers have thoroughly scrubbed this list to ensure that the qualitative and quantitative requirements for the specific equipments are satisfied. Fleet maintenance personnel participate in the CGSE Requirement List formulation process to ensure highest priority Fleet needs are
The following is a list of the most important and frequently used terms in the field of computer science:
1. Algorithm: A step-by-step procedure for solving a problem or performing a task.
2. Data Structure: A way of organizing data that allows efficient access, modification, and manipulation.
3. Database: An organized collection of data stored in a computer system.
4. Database Management System (DBMS): Software that manages databases and provides an interface for users to interact with them.
5. Encryption: The process of converting information into a code so that only authorized parties can understand it.
6. Hashing: A process of converting data into a fixed-size string of characters, typically used for data integrity checks.
7. Interface: The point at which a user interacts with a computer system or application.
8. Programming Language: A formal language designed to communicate instructions to a computer.
9. Software: A set of instructions that tell a computer what to do.
10. System: A collection of interrelated components that work together to achieve a common goal.
11. User: An individual who uses a computer system or application.
12. Virtual Machine: A software implementation of a computer system that runs on top of another computer system.
13. Web Application: A software application that runs on a web server and is accessed through a web browser.
14. Web Server: A computer system that stores and serves web pages to clients.
15. XML: eXtensible Markup Language, a markup language used for structuring data in a way that can be easily parsed by computers.
identified. The equipments which will be procured to respond to operational requirements are identified through one of the following processes:
1. The direct result of GSE RDT&E Program (these are equipments required to support advanced aircraft systems developments).
2. Reprocurement of current GSE required to respond to deficiencies.
3. Improved versions of current GSE required to support expanded airborne equipment capabilities or advanced airborne equipment developments (e.g., Mobile Electric Power Plant).
4. Major modifications of existing equipments (e.g., Engine Test Stand update).
5. Equipment developed to improve the capability of the Fleet and/or to improve safety.
The budget line item designated "ICP Managed GSE" funds the procurement of end-items of peculiar ground support equipment for out-of-production aircraft and systems, as well as common ground support equipment. These end-items of GSE are under the budget, procurement and inventory control of ASO, Philadelphia and SPCC, Mechanicsburg. ICP managed CGSE is normally developed in RDT&E, initially outfitted as NAVAIR managed, and then turned over to ASO or SPCC as an ICP item after the production specification and procurement package has been stabilized. Most PGSE items are associated with a weapons system and are recommended by the aircraft or airborne system contractor, reviewed and approved at NAVAIRSYSCOM and assigned to ASO for procurement and inventory management. The budget requirements for this element are generated as follows:
1. New CGSE required for site outfittings incident to employment of new weapons systems or equipment.
2. Replacement of CGSE and PGSE (for out-of-production aircraft and systems) resulting from wear-out and attrition.
3. Increased quantities of CGSE required for allowance augmentation.
4. Increased PGSE quantities (for out-of-production aircraft and systems) required due to changes in maintenance policy.
These GSE end-items (specified above) are "principal" items managed by the ICPs with no demand or usage criteria, and require more selective management attention than do the ICP "secondary" items (spare and repair parts). Figure III-3 depicts the overall GSE acquisition and material flow process.
It should be remembered that budgeting is not a "technical accounting matter" concerned only with the "keeping of books." It is within the framework of the budget formulation process that programs must compete for approval and implementation. Just as plans are meaningless unless they are approved for inclusion in the FYDP, programs must be included in the budget. In this accounting process, plans are translated into programs, and programs are incorporated into budgets selectively.
In the budgetary process, the program in the FYDP is revised to reflect the decisions of the Secretary of Defense. The revised program is converted to the appropriation structure for the three-year period to be included in the budget. In constructing the budget, NAVAIR provides a breakdown by cost element for each item. Last-year, current-year and
The following is a list of the most important and frequently used terms in the field of computer science:
1. Algorithm: A step-by-step procedure for solving a problem or performing a task.
2. Data Structure: A way of organizing data in a computer program to make it easier to access, manipulate, and store.
3. Database: A collection of data organized in a structured manner so that it can be accessed, managed, and updated efficiently.
4. Database Management System (DBMS): A software application that provides services for creating, maintaining, and using databases.
5. Encryption: The process of converting information into a coded form so that it cannot be read by unauthorized users.
6. Hashing: A technique for mapping data of arbitrary size to fixed-size values.
7. Interface: A way of communicating between two systems or components.
8. Object-Oriented Programming (OOP): A programming paradigm that uses objects to represent real-world entities and their interactions.
9. Operating System (OS): A software system that manages computer hardware and software resources and provides common services for computer programs.
10. Programming Language: A formal language designed to communicate instructions to a machine, such as a computer.
11. Software: A set of instructions that tell a computer what to do.
12. System: A collection of interrelated components that work together to achieve a common goal.
13. User Interface (UI): The part of a computer program that allows users to interact with the program.
14. Virtual Machine (VM): A software implementation of a computer system that runs on top of another computer system.
15. Web Application: A software application that runs on a web server and is accessed through a web browser.
16. Web Service: A software service that is accessible over the internet and can be used by other applications.
17. XML (Extensible Markup Language): A markup language that defines a set of rules for encoding documents in a format that is both human-readable and machine-readable.
18. API (Application Programming Interface): A set of rules and protocols for building software applications.
19. Cloud Computing: The delivery of computing resources over the internet.
20. Big Data: A term used to describe large and complex datasets that require specialized techniques for processing and analysis.
21. Machine Learning: A subfield of artificial intelligence that focuses on developing algorithms that can learn from and make predictions on data.
22. Natural Language Processing (NLP): A subfield of artificial intelligence that focuses on enabling computers to understand, interpret, and generate human language.
23. Neural Networks: A type of machine learning algorithm inspired by the structure and function of the human brain.
24. Quantum Computing: A type of computing that uses quantum-mechanical phenomena, such as superposition and entanglement, to perform operations on data.
25. Blockchain: A decentralized digital ledger that records transactions across many computers in such a way that the registered transactions cannot be altered retroactively without the alteration of all subsequent blocks and the consensus of the network.
NAVAIR acquires budgets manages
Contractor recommends GSE
Navy Maintenance Activities
ASO Technical
R-COG Master Data File
Catalogues
DSA
Supply Support Requests
Provisioning
ASO Stock Control
ASO Financial
ASO Procurement
Contractor Deliver R-COG Material
Supply System
IMRL's
Maint. Activity End User
In-Use Transactions
ASO ADMAL File
Maintenance ADMAL File
NIASCRS Prepare IMRL's Consolidate In-Use Transactions
In-Use Asset Reports
MSDO
ASO ADMAL File Maintenance R-COG Procurement Supply Support
FIGURE III-3
GROUND SUPPORT EQUIPMENT DATA AND MATERIAL FLOW
budget-year costs are presented and justified. Fiscal-year costs, when included, relate the item element to the FYDP estimates. In the budgeting phase of GSE management, such areas as production schedules, prices, lead-time, activity rates, personnel grade structure and training requirements are required to reflect completely the program proposed for inclusion in the budget.
The budget formulation process is characterized by successive reviews and decision points. It is a characteristic of this process that many items proposed for approval are reduced or eliminated. Though it is possible to criticize this process on the grounds of time and talent required, it does serve some essential purposes. The objective of the process is a budget that provides the best possible military worth and program balance within the limits of anticipated resources.
The concept of a balanced budget is to provide the maximum value output for a given level of expenditure; this implies a condition of balance such that no item is included in the budget that is less essential than any item not included. In order to approach this ideal, it is necessary to weigh alternatives. Different items competing for inclusion in the budget must be compared. To provide for this choice, it is necessary that more items be considered initially than can be included in the approved list submitted to higher authority.
The following is a list of the most common types of data that can be collected and analyzed using the methods described in this paper:
- **Demographic Data**: Information about the age, gender, race, ethnicity, education level, income, employment status, and other demographic characteristics of the population being studied.
- **Behavioral Data**: Information about the behaviors and activities of individuals or groups, such as their consumption patterns, travel habits, and social interactions.
- **Environmental Data**: Information about the physical environment, such as temperature, humidity, air quality, and noise levels.
- **Health Data**: Information about the health status of individuals, including their medical history, symptoms, and treatment outcomes.
- **Financial Data**: Information about the financial transactions and assets of individuals or organizations, such as their income, expenses, investments, and debts.
- **Educational Data**: Information about the educational attainment and performance of individuals, including their academic records, test scores, and graduation rates.
- **Legal Data**: Information about the legal status and actions of individuals or organizations, such as their criminal records, court cases, and legal proceedings.
- **Political Data**: Information about the political affiliations and activities of individuals or groups, such as their voting behavior, campaign contributions, and political activism.
- **Social Media Data**: Information about the content and interactions on social media platforms, such as tweets, posts, comments, and shares.
- **Geospatial Data**: Information about the location and movement of individuals or objects, such as their GPS coordinates, street addresses, and travel routes.
- **Biometric Data**: Information about the physical and physiological characteristics of individuals, such as their fingerprints, DNA, and heart rate.
- **Internet of Things (IoT) Data**: Information about the sensors and devices connected to the internet, such as smart meters, wearables, and home appliances.
- **Big Data**: Information about large datasets that are too complex or voluminous to be processed by traditional data analysis methods, such as machine learning algorithms and data mining techniques.
These are just a few examples of the many types of data that can be collected and analyzed using the methods described in this paper. The specific types of data that are relevant to a particular research question will depend on the context and goals of the study.
In general, lower-level activities consider a list of requirements that exceed what can be approved. In the case of GSE budgeting, lower-level activities would be COMNAVAIR-LANT, COMNAVAIRPAC, NAVAIRSYSCOMREPLANT and NAVAIRSYSCOMREPAC. Commands reviewing submissions from these activities - CINCLANTFLT, CINCPACFLT, NAVAIRSYSCOM, CHNAVMAT and OPNAV - will consolidate them and bring the entire list into balance with the POM by eliminating or reducing items considered to be marginal in that context. This process at all levels of review is designed to develop a close approximation of a balanced program for submission to the next higher echelon, where the process is repeated as balance is sought in a broader arena. The process continues to the Congressional level, where Defense needs are ultimately balanced against other government demands.
The Procurement Title of the Appropriations Act is further divided into four segments, two of which are of particular interest to the GSE manager. By far the largest dollar users, Aircraft Procurement/Weapons Procurement, Navy (APN/WPN), finance the cost of aircraft and missile acquisition as well as the support equipment associated with them. Additionally, they provide for the necessary safety-of-flight and operational modifications (OSIP) to service aircraft; the funds for Operational Safety Improvement Program (OSIP) are budgeted by AIR-534 vice the project manager's GSE assistant, AIR-53411.
The following is a list of the most common types of data that can be collected and analyzed using statistical methods:
- **Quantitative Data**: This type of data is numerical in nature and can be measured or counted. Examples include age, income, height, weight, and test scores.
- **Qualitative Data**: This type of data is non-numerical and cannot be measured or counted. Examples include opinions, attitudes, and behaviors.
- **Cross-sectional Data**: This type of data is collected at a single point in time. Examples include data collected from a survey or a census.
- **Longitudinal Data**: This type of data is collected over a period of time. Examples include data collected from a longitudinal study or a time series analysis.
- **Categorical Data**: This type of data is divided into categories or groups. Examples include gender, race, and political affiliation.
- **Continuous Data**: This type of data can take on any value within a range. Examples include temperature, weight, and height.
- **Discrete Data**: This type of data can only take on specific values. Examples include number of children, number of cars owned, and number of books read.
- **Primary Data**: This type of data is collected directly from the source. Examples include data collected from a survey or an experiment.
- **Secondary Data**: This type of data is collected from existing sources. Examples include data collected from a government report or a newspaper article.
- **Descriptive Statistics**: These are used to summarize and describe the characteristics of a dataset. Examples include mean, median, mode, standard deviation, and variance.
- **Inferential Statistics**: These are used to make inferences about a population based on a sample. Examples include hypothesis testing, confidence intervals, and regression analysis.
- **Correlation Analysis**: This is used to determine the relationship between two variables. Examples include Pearson correlation coefficient and Spearman rank correlation coefficient.
- **Regression Analysis**: This is used to model the relationship between a dependent variable and one or more independent variables. Examples include simple linear regression and multiple linear regression.
- **ANOVA (Analysis of Variance)**: This is used to compare the means of three or more groups. Examples include one-way ANOVA and two-way ANOVA.
- **Chi-Square Test**: This is used to determine if there is a significant association between two categorical variables. Examples include chi-square goodness-of-fit test and chi-square independence test.
- **T-Test**: This is used to compare the means of two groups. Examples include independent samples t-test and paired samples t-test.
- **Non-parametric Tests**: These are used when the assumptions of parametric tests are not met. Examples include Mann-Whitney U test and Wilcoxon signed-rank test.
- **Factor Analysis**: This is used to identify underlying factors that explain the relationships between variables. Examples include principal component analysis and exploratory factor analysis.
- **Cluster Analysis**: This is used to group similar objects together. Examples include hierarchical clustering and k-means clustering.
- **Time Series Analysis**: This is used to analyze data collected over a period of time. Examples include ARIMA models and exponential smoothing.
- **Survival Analysis**: This is used to analyze data where the outcome is the time until an event occurs. Examples include Kaplan-Meier survival curve and Cox proportional hazards model.
- **Bayesian Statistics**: This is a branch of statistics that uses probability theory to update beliefs based on new evidence. Examples include Bayesian regression and Bayesian classification.
- **Machine Learning**: This is a subfield of artificial intelligence that focuses on building algorithms that can learn from data. Examples include decision trees, random forests, and neural networks.
These are just a few examples of the many types of data that can be collected and analyzed using statistical methods. The choice of which method to use depends on the research question, the type of data available, and the goals of the analysis.
In order to achieve a greater contribution to military worth management effectiveness often dictates that funds be spent for purposes other than those for which they were originally intended. However, monies must be expended for essentially the same purpose as that for which they were justified before Congress. Consequently, they can not be reprogrammed except through Congressional approval, although where small dollar sums are involved, this approval is rather perfunctory and routinely given through informal channels.
The lowest level of reprogramming occurs within monies allocated to a specific program; NAVAIR Codes AIR-05, AIR-534 and AIR-53411 have authority to reprogram, within prescribed dollar limits, among the different GSE programs. Where dollar values are unspecified and/or large sums are involved, reprogramming, if necessary, must occur at the CNO level. When amounts of five million dollars or more are involved, Congressional approval of reprogramming is required. It is not the intent of this paper to discuss reprogramming except to note that AIR-534 has more latitude in this area than do project managers whose funds are tied to specific programs.
Shipbuilding and Conversion, Navy (SCN) funds are used for expenses necessary for the construction, acquisition or conversion of vessels. Within this area, monies are allocated to NAVSEA for special items involving aircraft support common to several aircraft or weapons systems which are integral to the ship's construction/conversion. When
The following is a list of the most common types of data that can be collected and analyzed using statistical methods:
1. **Quantitative Data**: This type of data is numerical in nature and can be measured or counted. Examples include age, income, height, weight, and test scores.
2. **Qualitative Data**: This type of data is non-numerical and cannot be measured or counted. Examples include opinions, attitudes, and behaviors.
3. **Cross-sectional Data**: This type of data is collected at a single point in time. Examples include data collected from a survey or a census.
4. **Longitudinal Data**: This type of data is collected over a period of time. Examples include data collected from a longitudinal study or a time series analysis.
5. **Categorical Data**: This type of data is divided into categories or groups. Examples include gender, race, and ethnicity.
6. **Continuous Data**: This type of data can take on any value within a range. Examples include temperature, pressure, and humidity.
7. **Discrete Data**: This type of data can only take on specific values. Examples include number of children, number of cars, and number of books.
8. **Ordinal Data**: This type of data is ordered or ranked. Examples include ratings (e.g., 1-5) and rankings (e.g., first, second, third).
9. **Nominal Data**: This type of data is not ordered or ranked. Examples include names, colors, and countries.
10. **Time Series Data**: This type of data is collected over a period of time and includes a time component. Examples include stock prices, GDP, and weather data.
11. **Panel Data**: This type of data is collected over a period of time and includes both cross-sectional and time components. Examples include data collected from a panel study or a repeated measures design.
12. **Multivariate Data**: This type of data includes multiple variables or dimensions. Examples include data collected from a multivariate regression analysis or a factor analysis.
13. **Univariate Data**: This type of data includes a single variable or dimension. Examples include data collected from a univariate regression analysis or a t-test.
14. **Bivariate Data**: This type of data includes two variables or dimensions. Examples include data collected from a bivariate regression analysis or a correlation analysis.
15. **Multidimensional Data**: This type of data includes multiple dimensions or variables. Examples include data collected from a multidimensional scaling analysis or a principal component analysis.
16. **Unidimensional Data**: This type of data includes a single dimension or variable. Examples include data collected from a unidimensional scaling analysis or a simple linear regression analysis.
17. **Bidimensional Data**: This type of data includes two dimensions or variables. Examples include data collected from a bidimensional scaling analysis or a multiple linear regression analysis.
18. **Tridimensional Data**: This type of data includes three dimensions or variables. Examples include data collected from a tridimensional scaling analysis or a multiple regression analysis with three predictors.
19. **Multidimensional Data**: This type of data includes multiple dimensions or variables. Examples include data collected from a multidimensional scaling analysis or a principal component analysis.
20. **Unidimensional Data**: This type of data includes a single dimension or variable. Examples include data collected from a unidimensional scaling analysis or a simple linear regression analysis.
21. **Bidimensional Data**: This type of data includes two dimensions or variables. Examples include data collected from a bidimensional scaling analysis or a multiple linear regression analysis with two predictors.
22. **Tridimensional Data**: This type of data includes three dimensions or variables. Examples include data collected from a tridimensional scaling analysis or a multiple regression analysis with three predictors.
23. **Multidimensional Data**: This type of data includes multiple dimensions or variables. Examples include data collected from a multidimensional scaling analysis or a principal component analysis.
24. **Unidimensional Data**: This type of data includes a single dimension or variable. Examples include data collected from a unidimensional scaling analysis or a simple linear regression analysis.
25. **Bidimensional Data**: This type of data includes two dimensions or variables. Examples include data collected from a bidimensional scaling analysis or a multiple linear regression analysis with two predictors.
26. **Tridimensional Data**: This type of data includes three dimensions or variables. Examples include data collected from a tridimensional scaling analysis or a multiple regression analysis with three predictors.
27. **Multidimensional Data**: This type of data includes multiple dimensions or variables. Examples include data collected from a multidimensional scaling analysis or a principal component analysis.
28. **Unidimensional Data**: This type of data includes a single dimension or variable. Examples include data collected from a unidimensional scaling analysis or a simple linear regression analysis.
29. **Bidimensional Data**: This type of data includes two dimensions or variables. Examples include data collected from a bidimensional scaling analysis or a multiple linear regression analysis with two predictors.
30. **Tridimensional Data**: This type of data includes three dimensions or variables. Examples include data collected from a tridimensional scaling analysis or a multiple regression analysis with three predictors.
31. **Multidimensional Data**: This type of data includes multiple dimensions or variables. Examples include data collected from a multidimensional scaling analysis or a principal component analysis.
32. **Unidimensional Data**: This type of data includes a single dimension or variable. Examples include data collected from a unidimensional scaling analysis or a simple linear regression analysis.
33. **Bidimensional Data**: This type of data includes two dimensions or variables. Examples include data collected from a bidimensional scaling analysis or a multiple linear regression analysis with two predictors.
34. **Tridimensional Data**: This type of data includes three dimensions or variables. Examples include data collected from a tridimensional scaling analysis or a multiple regression analysis with three predictors.
35. **Multidimensional Data**: This type of data includes multiple dimensions or variables. Examples include data collected from a multidimensional scaling analysis or a principal component analysis.
36. **Unidimensional Data**: This type of data includes a single dimension or variable. Examples include data collected from a unidimensional scaling analysis or a simple linear regression analysis.
37. **Bidimensional Data**: This type of data includes two dimensions or variables. Examples include data collected from a bidimensional scaling analysis or a multiple linear regression analysis with two predictors.
38. **Tridimensional Data**: This type of data includes three dimensions or variables. Examples include data collected from a tridimensional scaling analysis or a multiple regression analysis with three predictors.
39. **Multidimensional Data**: This type of data includes multiple dimensions or variables. Examples include data collected from a multidimensional scaling analysis or a principal component analysis.
40. **Unidimensional Data**: This type of data includes a single dimension or variable. Examples include data collected from a unidimensional scaling analysis or a simple linear regression analysis.
41. **Bidimensional Data**: This type of data includes two dimensions or variables. Examples include data collected from a bidimensional scaling analysis or a multiple linear regression analysis with two predictors.
42. **Tridimensional Data**: This type of data includes three dimensions or variables. Examples include data collected from a tridimensional scaling analysis or a multiple regression analysis with three predictors.
43. **Multidimensional Data**: This type of data includes multiple dimensions or variables. Examples include data collected from a multidimensional scaling analysis or a principal component analysis.
44. **Unidimensional Data**: This type of data includes a single dimension or variable. Examples include data collected from a unidimensional scaling analysis or a simple linear regression analysis.
45. **Bidimensional Data**: This type of data includes two dimensions or variables. Examples include data collected from a bidimensional scaling analysis or a multiple linear regression analysis with two predictors.
46. **Tridimensional Data**: This type of data includes three dimensions or variables. Examples include data collected from a tridimensional scaling analysis or a multiple regression analysis with three predictors.
47. **Multidimensional Data**: This type of data includes multiple dimensions or variables. Examples include data collected from a multidimensional scaling analysis or a principal component analysis.
48. **Unidimensional Data**: This type of data includes a single dimension or variable. Examples include data collected from a unidimensional scaling analysis or a simple linear regression analysis.
49. **Bidimensional Data**: This type of data includes two dimensions or variables. Examples include data collected from a bidimensional scaling analysis or a multiple linear regression analysis with two predictors.
50. **Tridimensional Data**: This type of data includes three dimensions or variables. Examples include data collected from a tridimensional scaling analysis or a multiple regression analysis with three predictors.
this type of construction/conversion is necessary, GSE cost estimates are provided by AIR-534 to AIR-537, Ship's Installation Division, which in turn maintains close liaison with NAVSEA and arranges for the transfer of the requisite SCN funds when budget approval is reached. As a matter of record, it should be pointed out that the cost of the actual installation, labor hours and the like is estimated by AIR-537 in concert with the affected shipyard. NAVAIR Code AIR-534 does not get involved in these latter estimates.
Other Procurement, Navy (OPN) funds are used for GSE acquisition or replacement purchases occasionally, though rarely. In those instances where such funds are employed for the initial program, all future buys must also come from that same source.
In this chapter the problem of estimating the budget and funding GSE at the NAVAIRSYSCOM level has been discussed. In the following chapter, the acquisition, repair, calibration and funding (the areas noted by ?'s in Table III-1 on page 18) of GSE at the local level are examined.
IV. LOCAL GSE MATERIAL MANAGEMENT
Each command operating or supporting aircraft maintenance evolutions is required by COMNAVAIRLANT/COMNAVAIRPAC to have an IMRL manager whose job it is to maintain close liaison with CNAL/CNAP, keeping them advised of all GSE requirements and transactions. The Support Equipment Asset Management System (SEAMS), also known as the Local Asset Management Subsystem (LAMS), and the Closed-Loop Reporting System have been implemented specifically to assist in accomplishing these tasks.
The AMMRL system establishes procedures and associated responsibilities to determine the quantity, location and condition of GSE in-use assets. Integration of the Closed-Loop/LAMS systems is intended to provide all levels of management with a reporting system that will provide optimum visibility of in-use and/or in-transit GSE assets.
A subsystem of the AMMRL program, LAMS is a computer oriented control system intended primarily, but not exclusively, for standardized GSE asset control at the intermediate level. The need for a standardized automated system with which to control inventory, issue, receipt and recall of GSE has long been a recognized requirement in positive accounting for Fleet in-use IMRL assets. This system interfaces through automatic data processing (ADP) facilities with the Closed-Loop Reporting System and is intended to provide:
1. An automated inventory list for GSE managers identifying equipment for which the AIMD has responsibility for custody, preventative maintenance (PM), repair and/or calibration.
2. A means whereby inputs can be made to a master inventory file on an as-occurring basis in order to facilitate maintenance of an up-to-date record of transactions such as equipment gains and losses, subcustody issues and receipts.
3. Certain periodic machine reports to management reflecting the nature, extent and location of the inventory and the verification of routine system transactions. Daily, weekly, monthly, quarterly and yearly management (ADP) reports are provided to summarize all GSE inventory transactions; subcustody data is included.
4. An effective interface with the AMMRL program through automated inputs of transaction reports (TRs) employed in the construction of the IMRL.
5. Additional machine reports as may be required for higher levels of GSE management.
For purposes of general amplification, transactions to be reported under LAMS include: (1) issues of GSE on a subcustody basis to supported activities; (2) GSE inventory changes such as equipment gains, transfers and strikes due to survey; (3) returns/receipts of GSE from subcustody; (4) recording of new calibration/PM dates; and (5) corrections required to ensure accuracy of inventory data.
The Closed-Loop Reporting System is primarily a GSE in-use inventory reporting and tracking system. Organizational and intermediate maintenance activities responsible for the custody of GSE as assigned by type commanders (TYCOMS)/controlling custodians are known as reporting custodians. The majority of GSE allocated to reporting custodians is for the purpose of supporting other activities within a geographical area through subcustody procedures.
Reporting custodians are required to update the inventory file by completing IMRL transaction reports, Figure IV-1, whenever a permanent change of reporting custody takes place. Appendix A contains explanatory data which covers all possible transactions. The completed IMRL TRs are forwarded to the respective NASCR for updating of the central file.
Both Naval Air Systems Command Representatives have established a Consolidated In-Use Inventory File of accountable aviation GSE for all IMRL activities within each assigned area. All GSE in the ADMRL files not coded "C" (non-reportable) is subject to reporting. The information contained in the above file is based upon data obtained from GSE TRs and periodic physical inventory reports submitted by reporting custodians to the appropriate NASCR when an end-item of equipment is received, transferred or surveyed by that reporting custodian.
The respective NASCRs forward quarterly consolidated accountable in-use GSE inventory reports to ASO, SPCC, NAVAIR Code AIR-417 and Area Commanders (COMFAIRs, MAWs, etc.). Monthly reports are forwarded to the ACCs. These reports provide the information required to determine the material readiness condition of each activity. Through consolidation of these reports, determinations can be made concerning the material readiness condition of specific areas, individual commands and the overall Navy-wide position. These reports are also required for management decisions at all levels in the redistribution of equipment, development of budget.
| 1. UIC | 2. LCN | 3. SERIAL NO. | 4. DATE | 5. TIME | 6. GAIN | 7. TRANS | 8. ISSUE | 9. RETURN | 10. STATUS | 11. DATE DUE | 12. ISSUE | 13. RECEIVED BY (Signature, rank or title) |
|--------|-------|--------------|--------|---------|--------|---------|----------|-----------|------------|-------------|----------|----------------------------------|
| | | | | | | | | | | | | |
RETURN
| 14. TOT. QTY. | 15. SUBCUST ORG/WC |
|---------------|---------------------|
| | |
| 16. AUA | 17. TOT. OTH | 18. RECEIVED BY (Signature, rank or title) |
|---------|--------------|------------------------------------------|
| | | |
| 19. DATE DUE | 20. UIC | 21. STATUS | 22. EFC | 23. CORRECTION |
|--------------|--------|------------|--------|----------------|
| | | | | |
| 24. SERIAL NO. | 25. DATE DUE | 26. SUBCUST ORG/WC |
|----------------|--------------|---------------------|
| | | |
FIGURE IV-1
GROUND SUPPORT EQUIPMENT TRANSACTION REPORT (TR) CARD
requests and equipment procurement. The ideal management information system, of course, provides the right information to the right person at the right time to allow effective management decisions. However, management information systems are only as good as their input data, and when such data is incomplete as is often the case with GSE reports, they fail to achieve optimum value.
The accountable GSE inventory data established from the information contained in the above reports are validated on a periodic basis through physical on-site inventories of on-hand accountable GSE when directed by ACCs or NASCRs in accordance with procedures established by the ACC/NASCR directing the inventory. Each reporting custodian accomplishes this validation at least yearly.
A design feature of the Closed-Loop Reporting System is the self-policing capability it possesses. A suspense file is generated for all GSE assets as they are transferred from one activity to another. The file remains active until a receipt action is reported by the recipient activity. In addition, an asset once reported remains "locked in" the inventory files until an authorized deletion is processed. Pre-entry validation is accomplished on all data entries to preclude the inclusion of erroneous data.
Improved GSE in-use asset visibility can be further improved through a strengthening of controls at IMRL activities by first, submitting GSE TRs in a more timely manner, second, increasing subcustody record accuracy and third,
The following is a list of the most important and frequently used terms in the field of computer science:
1. Algorithm: A step-by-step procedure for solving a problem or performing a task.
2. Data Structure: A way of organizing data that allows efficient access, modification, and manipulation.
3. Database: An organized collection of data stored in a computer system.
4. Database Management System (DBMS): Software that manages databases and provides an interface for accessing and manipulating data.
5. Encryption: The process of converting information into a coded form to protect it from unauthorized access.
6. Hashing: A technique for mapping data to a fixed-size value using a hash function.
7. Interface: A way for two systems to communicate with each other.
8. Object-Oriented Programming (OOP): A programming paradigm that emphasizes the use of objects to represent real-world entities and their interactions.
9. Operating System (OS): A software program that manages computer hardware and software resources and provides common services for computer programs.
10. Programming Language: A formal language designed to be used by humans to express instructions to a computer.
11. Query: A request for information from a database.
12. Security: The protection of information and systems from unauthorized access, use, disclosure, disruption, modification, or destruction.
13. Software: A set of instructions that can be executed by a computer to perform specific tasks.
14. System: A collection of interrelated components that work together to achieve a common goal.
15. User Interface (UI): The part of a computer system that interacts with users, allowing them to input commands and receive feedback.
16. Virtual Machine (VM): A software implementation of a computer system that can run on top of another operating system.
17. Web Application: A software application that runs on a web server and is accessed through a web browser.
18. XML (Extensible Markup Language): A markup language that defines a set of rules for encoding documents in a format that is both human-readable and machine-readable.
improving physical inventory procedures. For example, of the 101 items reviewed for compatibility of custody and subcustody records as NAS North Island during the '72 Navy Area Audit, differences were found in nearly 50% of the cases. As a part of the overall study, six activities were examined for IMRL inventory accuracy and found to be valid only 87% of the time. There is no reason to believe this situation has changed appreciably since 1972.
At no time are on-hand quantities to exceed allowances except in those instances where CNAL/CNAP approval is received. Ideally, of course, all GSE excesses would be identified and turned in to a central receiving point for repair and/or calibration and subsequent distribution to those commands with allowance deficiencies. At the same time, savings would accrue with the resultant elimination of unnecessary requisitions and special procurements or buys.
Within the reporting activity, an individual is designated as the IMRL manager. Normally attached to the material control division, his duties as IMRL manager are typically a collateral responsibility. Charged with maintaining an up-to-date inventory of accountable equipment authorized by the activity's IMRL, the manager accomplishes this via the subcustody process, distributing GSE to the division within the reporting activity that is responsible for the servicing and maintenance of that equipment. See Appendix B
and its accompanying operational flow diagram for a more graphic and detailed explanation of this evolution.
Once equipment is received by a reporting custodian, it will remain in the permanent custody of that custodian until higher authority within the chain-of-command directs otherwise. No item of equipment is moved from one activity to another on a permanent custody change without authorization. In case of equipment survey, disposition procedures are requested and received from higher authority, normally the respective NASCR.
Controlling custodians may require reporting custodians to report consumable equipment, report code "C." Commonly known as total reporting, such equipment is controlled and tracked throughout the fleet by TRs in the same manner as discussed above.
The reporting programs just discussed were implemented fleetwide in an attempt to get a better handle on GSE management, but some problems are inherent in the system and do not lend themselves to immediate elimination. There is little assurance that reporting custodians will submit TRs on time and/or when required. Higher level management has no way of knowing if equipment is actually shipped when directed; or if GSE is lost or delayed in transit; or when it is received (new or used) by a reporting activity unless they specifically request message confirmation or some equivalent.
TRs are the information documents used to update in-use inventory; if they are not submitted when required or are
The following is a list of the most important and frequently used terms in the field of computer science:
1. Algorithm: A step-by-step procedure for solving a problem or performing a task.
2. Data Structure: A way of organizing data that allows efficient access, modification, and manipulation.
3. Database: An organized collection of data stored in a computer system.
4. Database Management System (DBMS): Software that manages databases and provides an interface for users to interact with them.
5. Encryption: The process of converting information into a coded form so that it can be securely transmitted or stored.
6. Hashing: A technique for mapping data to a fixed-size value, typically used for data integrity checks.
7. Interface: The point at which a user interacts with a computer system or application.
8. Input/Output (I/O) Operations: The process of transferring data between a computer's memory and its storage devices.
9. Programming Language: A formal language designed to communicate instructions to a computer.
10. Query: A request for information from a database.
11. Security: Measures taken to protect data from unauthorized access, modification, or destruction.
12. Software: A set of instructions that directs a computer to perform specific tasks.
13. System: A collection of hardware and software components that work together to achieve a common goal.
14. User: An individual who interacts with a computer system or application.
15. Virtualization: The creation of virtual versions of hardware resources, such as servers, storage, and networks.
16. Web Application: A software application that runs on a web server and is accessed through a web browser.
17. XML (Extensible Markup Language): A markup language used for structuring and storing data in a hierarchical format.
These terms are fundamental to understanding the concepts and practices in computer science, and they are widely used across various fields and industries.
submitted and then lost, the files are not updated, and management receives erroneous information relative to an activity's mission capability. This also results in a false assessment of the overall assets available thereby complicating predicted future buys.
Incoming TR data are compared with ADMRL data for matching of Federal Stock Number/Part Number (FSN/PN). If the incoming data does not match, the item will appear as a "code 4" indicating a mismatch or reporting of an item not authorized by the ADMRL source data. The incoming data may be correct for the fleet but due to changes in the FSN/PN or outdated nameplate data, the information will not match ADMRL data, which may also be correct. This results in identical items being listed on several inventories as "code 4's" under different identifying data, causing an error in the total inventory.
When an item is transferred from one activity to another, the transfer TR drops that item from the inventory, and the item will not be picked up again until the receiving transaction report is submitted. Items in-transit are in limbo, as they do not appear on any inventory. At any given time, management does not know what the total inventory is, how many items are in-transit, or the average delay transit time. Problems in this area are presently handled on an individual basis.
Non technical problems exist also, one of which is particularly vexatious and not likely to be alleviated by
The following is a list of the most common types of software that can be used to create and edit digital images:
1. Adobe Photoshop: A professional-grade image editing software that offers a wide range of tools for creating, editing, and manipulating digital images.
2. GIMP: A free and open-source image editing software that offers many of the same features as Photoshop.
3. Paint.NET: A lightweight image editing software that is designed for beginners and offers a simple user interface.
4. CorelDRAW Graphics Suite: A professional-grade design software that includes image editing capabilities.
5. Microsoft Office Picture Manager: A built-in image editing tool in Microsoft Office that allows users to crop, resize, and adjust the brightness and contrast of images.
6. Canva: A graphic design platform that offers templates and tools for creating images, but also includes basic image editing capabilities.
7. Pixlr: A web-based image editing tool that offers a variety of features for creating and editing digital images.
8. Sketchbook Pro: A professional-grade digital painting and illustration software that includes image editing capabilities.
9. Affinity Photo: A professional-grade image editing software that offers a wide range of tools for creating, editing, and manipulating digital images.
10. Lightroom: A professional-grade photo management and editing software that offers a variety of tools for organizing and enhancing digital images.
implementation of either LAMS or Closed-Loop. IMRL management personnel are not specifically trained for the position of "IMRL managers," and generally train themselves by the trial and error method. The condition of the activities' inventories normally coincides with the amount of individual motivation possessed by the appointed GSE manager.
The majority of changes to the overall system as dictated by LAMS/Closed-Loop implementation are centralized within the computer programming and processing of data transmitted by the IMRL TR and are directed toward the problem areas previously noted. The relationship of the user organization of major components of LAMS and the interrelationship between Closed-Loop (upper) and LAMS (lower) management levels is pictured in Figure IV-2. The interface between these systems is an automatically generated TR between the two level's computers and a machine readout transmitted to the custodian of the lower level system.
Improvement is required in other related areas as well, and while LAMS/Closed-Loop implementation will facilitate the improvement process, these programs are not the sole answer. Proliferating quantities of IMRL already in-use could be curtailed by expediting the removal of potentially excess GSE from aircraft carriers resulting from IMRL allowance changes. Project Offload, as this program is known, could result in substantial cost savings if conscientiously applied.
The following is a list of the most important and interesting books on the subject of the history of the United States, arranged in chronological order:
1. "The History of the United States" by John Fiske
2. "The American Revolution" by Thomas Jefferson
3. "The Constitution of the United States" by James Madison
4. "The Civil War" by Ulysses S. Grant
5. "The Great Depression" by Franklin D. Roosevelt
6. "The Cold War" by Harry S. Truman
7. "The Vietnam War" by Lyndon B. Johnson
8. "The War on Terror" by George W. Bush
These books provide a comprehensive overview of the major events and figures in the history of the United States, from its founding to the present day. They are essential reading for anyone interested in understanding the country's past and its impact on the world today.
FIGURE IV-2
GROUND SUPPORT EQUIPMENT TRANSACTION REPORT CARD FLOW
The following is a list of the most important and frequently used terms in the field of computer science:
1. Algorithm: A step-by-step procedure for solving a problem or performing a task.
2. Data Structure: A way of organizing data that allows efficient access, modification, and manipulation.
3. Database: An organized collection of data stored in a computer system.
4. Database Management System (DBMS): Software that manages databases and provides an interface for users to interact with them.
5. Encryption: The process of converting information into a code so that only authorized parties can understand it.
6. Hashing: A process of converting data into a fixed-size string of characters, typically used for data integrity checks.
7. Interface: A way for two systems or components to communicate with each other.
8. Network: A collection of computers and devices connected together to share resources and communicate.
9. Operating System (OS): A software program that manages computer hardware and software resources and provides common services for computer programs.
10. Programming Language: A formal language designed to be used by humans to express instructions to a computer.
11. Query: A request for information from a database.
12. Security: The protection of data and systems from unauthorized access, use, disclosure, disruption, modification, or destruction.
13. Software: A set of instructions that tell a computer what to do.
14. System: A collection of interrelated parts working together to achieve a common goal.
15. User Interface (UI): The part of a computer system that interacts with the user, allowing them to input commands and receive feedback.
16. Virtual Machine (VM): A software implementation of a computer system that runs on top of another computer system.
17. Web Application: A software application that runs on a web server and is accessed through a web browser.
18. Wireless Network: A network that uses radio waves to transmit data between devices.
19. XML (Extensible Markup Language): A markup language that defines a set of rules for encoding documents in a format that is both human-readable and machine-readable.
20. YAML (YAML Ain't Markup Language): A data serialization language that is used to represent structured data in a human-readable format.
It has been argued that processing might be better accomplished within the Naval Supply System to improve accountability and disposition. But these same ends could be achieved within the present system through better coordination between the IMRL activity, NASCR, CNAL/CNAP and ASO. Something, however, needs to be done as attested to by a '72 Naval Area Service Audit finding: an offload of 943 GSE line items, worth $1.9 million, resulted in accountability for only 56 items valued at $110,000.
Reporting of excess GSE, regardless of the source, must be improved to ensure effective utilization of in-use assets as well as maximization of scarce resource GSE dollars. In 1972, assets valued at 18.5 million dollars in excess of operating requirements were found by the Navy Area Audit Service team. Some 40% of these assets were listed on IMRLs and were determined to be excess based on actual needs. Such excesses, wherever found, could be used to fill system-wide deficiencies, but most activities involved fail to request disposition instructions.
Finally, significant savings in procurement expenditures and a reduction in the volume of GSE requisitions processed at ASO could be realized by increasing the emphasis on using excess in-use assets to fill requisitions. It is Navy policy that the in-use asset system provide material, if available, to fill activities' needs. However, ASO, the central requisition processing activity, lacks the authority to direct redistribution of in-use assets. Better
The following is a list of the books and pamphlets on the subject of the history of the United States which have been published in the last year:
1. "The History of the United States" by John Fiske.
2. "The Story of the United States" by Henry Adams.
3. "The History of the United States" by James Ford Moore.
4. "The History of the United States" by Charles Francis Adams.
5. "The History of the United States" by John Hay.
These books and pamphlets provide a comprehensive overview of the history of the United States, covering various aspects such as politics, economics, and social issues. They are valuable resources for anyone interested in learning more about the country's past.
management at CNAL/CNAP and between controlling custodians and reporting activities would obviate the need for ASO to have such authority.
As with any management aid, limitations exist, and the LAMS/Closed-Loop programs are no exception. One of the most important aspects of these programs is that they will not, by themselves, manage equipment assets; they only provide tools for management. Unable to operate by themselves, they require trained individuals to analyze and put to use the collected data. How well they will aid management still depends largely on the human element involved, and their degree of training and motivation and expertise.
At present, input/output data is transmitted via mail with no appreciable adverse effects; however, delays and losses are not uncommon. With the daily technological advances taking place in the communications medium, though, it is not inconceivable that transmittal will one day be more timely.
LAMS and Closed-Loop were designed to operate as inventory control systems only. They do not track or record condition, maintenance or utilization information although revisions may be made to include this data at a later date. Neither is the system presently designed to operate on a "real time" basis. While input data may be processed on occurrence, some output information may lag as much as three months behind, depending on the type of information
desired. This process may be speeded up by "hand massaging" without interrupting system operation, but it is cumbersome and not very cost effective.
System accuracy depends at the bottom line on data originators and management personnel. Every effort has been made to ensure a viable cost effective automated data processing system, but in the final analysis, the system can only process the information it is supplied.
V. LOCAL GSE FINANCIAL MANAGEMENT
In order to perform maintenance on assigned aircraft, a significant amount of ancillary common and peculiar ground support equipment is required. The majority of this equipment is Appropriation Purchase Account (APA) material and is provided without charge to user activities. An additional portion of allowed GSE is the funding responsibility of COMNAVAIRLANT/COMNAVAIRPAC and is specifically budgeted for in the O&MN Appropriation. IMRL outfitting funds are granted by CNAL/CNAP to organizational and intermediate maintenance activities for the purpose of obtaining initial issue non-APA ground support equipment. In the past, monies for this purpose have been called by a variety of names such as Fleet Outfitting-Test Equipment Funds, BPN-09 Funds, IMRL Funds, Delta Funds and Initial Outfitting Funds. Outfitting requirements may originate when:
1. A new type or model aircraft is introduced to Fleet units.
2. A current aircraft model is assigned to a different activity.
3. There is a change in the number of aircraft at a location.
4. Aircraft configuration changes occur due to implementation of technical directives, modification programs, etc.
5. There is a change in design of allowed ground support equipment.
6. There are allowance list changes.
The following is a list of the most common types of data that can be collected and analyzed using the methods described in this paper:
- **Demographic Data**: Information about the age, gender, race, ethnicity, education level, income, employment status, and other demographic characteristics of individuals or groups.
- **Behavioral Data**: Information about the behaviors, attitudes, and preferences of individuals or groups, such as their shopping habits, social media usage, and political affiliations.
- **Health Data**: Information about the health status, medical history, and treatment of individuals, including data on diseases, injuries, and other health-related issues.
- **Financial Data**: Information about the financial transactions, investments, and assets of individuals or organizations, including data on income, expenses, savings, and debt.
- **Environmental Data**: Information about the natural environment, including data on weather, air quality, water quality, and other environmental factors.
- **Educational Data**: Information about the educational experiences and outcomes of individuals, including data on grades, test scores, and graduation rates.
- **Legal Data**: Information about legal proceedings, court cases, and other legal matters, including data on laws, regulations, and court decisions.
- **Political Data**: Information about political parties, candidates, and elections, including data on voting patterns, campaign finance, and other political activities.
- **Social Media Data**: Information about the content, interactions, and engagement of individuals on social media platforms, including data on posts, comments, likes, and shares.
- **Sports Data**: Information about sports teams, players, and competitions, including data on scores, statistics, and other sports-related information.
- **Technology Data**: Information about the use of technology, including data on devices, software, and online services, as well as data on cybersecurity threats and vulnerabilities.
These are just a few examples of the many types of data that can be collected and analyzed using the methods described in this paper. The specific types of data that are relevant to a particular research question will depend on the context and goals of the study.
CNAL/CNAP determine the need for IMRL outfitting funds. These decisions are customarily made concurrently with IMRL conferences which are conducted with ship and squadron representatives upon return from deployment to revise IMRL requirements preparatory to the next cruise. Shore installations, squadrons and AIMDs ashore conduct such conferences on an as-needed basis.
At the user level, O&MN funds take the form of OPTARs for squadrons and Aviation Fleet Maintenance (AFM) funds for Aircraft Intermediate Maintenance Departments (AIMDs), air stations and facilities and finance the replacement of allowance list non-APA items due to loss, attrition or destruction. No prior authority is required to initiate replacement action provided funds are available locally (within the command's OPTAR or AFM budget). AFM/OPTAR funds can be considered the end-use money which is used to buy maintenance material either from local inventories or directly from other military or commercial suppliers. More precisely, these monies are expended for the purchase of Navy Stock Account (NSA), Defense Supply Agency (DSA), and General Services Administration (GSA) materials and supplies consumed in the performance of aviation organization and intermediate levels of maintenance. AFM/OPTAR expenses for IMRL are a direct result of requisitions submitted for these equipments which are subsequently delivered from inventory or received on a direct turnover basis from a supplying agency.
In general, if the IMRL item is Report Code "C" it is funded out of O&MN money; if it is Report Code "R" it is repairable at the depot level and is an APA item. At the present time, however, no accurate data is available on the total dollars spent by user activities for the replacement of non-APA GSE. Although CNAL/CNAP require utilization of special fund codes to identify initial outfitting IMRL dollars spent by subordinate activities, neither type commander has seen fit to require use of a special fund code when AFM/OPTAR monies are used to purchase end-item replacement GSE.
Admittedly, a program would be required to extract the data, and it would require time to fully implement (estimated by both CNAL/CNAP to be about 18 months), but these hardly seem serious drawbacks when viewed in terms of DOD dollars. Perhaps it is unrealistic to expect GSE management personnel at NAVAIR and TYCOM levels to have such information, but given today's fiscal constraints it only seems prudent for GSE managers at all echelons to have such data accessible; at present, this data is not available nor is it being obtained or kept on a uniform basis anywhere within the Navy. If any doubt as to the validity of this statement existed, it was erased with publication of a Navy Area Audit Service special review of AFM funds completed in early 1977. The study confirmed that neither TYCOMs nor users had an adequate grasp of the extent to which AFM/OPTAR funds were being used, either legitimately or otherwise, for GSE.
The following is a list of the books and pamphlets on the subject of the history of the United States which have been published in the last year:
1. "The History of the United States" by John Fiske.
2. "The Story of the United States" by Henry Adams.
3. "The History of the United States" by James Ford Moore.
4. "The History of the United States" by Charles Francis Adams.
5. "The History of the United States" by William H. Seward.
These books and pamphlets provide a comprehensive overview of the history of the United States, covering various aspects such as politics, economics, and social issues. They are valuable resources for anyone interested in learning more about the country's past.
purchases. Such practices seem inconsistent with sound management principals.
When it has been determined that an IMRL item is required, a requisition is put into the system using the appropriate fund codes as they presently are employed. COMNAVAIRLANT, COMNAVAIRPAC, NAVAIRSYSCOMREPLANT and NAVAIRSYSCOMREPAC maintain inventory asset listings by command for all reportable GSE held. Whenever a change occurs in the status of these assets, it is the organization's responsibility to advise their respective cognizant IMRL controlling custodian using procedures outlined in section IV of this paper. This includes those actions involving surveys which are generated as a result of loss or destruction and require CNAL or CNAP notification; NASCRL and NASCRP must approve surveys for items costing $1,000.00 or more.
One other aspect of IMRL funding remains to be addressed, that of repair and calibration. NAVAIR Code AIR-417 maintains cognizance over the O&MN monies used for this purpose by NASCRL and NASCRP. Regular periodic maintenance is required on virtually all GSE to maximize its useful life. To that end, over $40 million is budgeted in FY-77 just for this purpose, with a 52% allocation to NASCRP activities. This money is further divided between the physical repair and calibration program on the basis of a 56/44% ratio and also includes about one million dollars a year spent in overseas areas for commercial contract work.
The following is a list of the most important and frequently used terms in the field of computer science:
1. Algorithm: A step-by-step procedure for solving a problem or performing a task.
2. Data Structure: A way of organizing data that allows efficient access, modification, and manipulation.
3. Database: An organized collection of data stored in a computer system.
4. Database Management System (DBMS): Software that manages databases and provides an interface for users to interact with them.
5. Encryption: The process of converting information into a code so that only authorized parties can understand it.
6. Hashing: A process of converting data into a fixed-size string of characters, typically used for data integrity checks.
7. Interface: The point at which a user interacts with a computer system or application.
8. Programming Language: A formal language designed to communicate instructions to a computer.
9. Software: A set of instructions that tell a computer what to do.
10. System: A collection of interrelated components that work together to achieve a common goal.
11. User: An individual who uses a computer system or application.
12. Virtual Machine: A software implementation of a computer system that runs on top of another computer system.
13. Web Application: A software application that runs on a web server and is accessed through a web browser.
14. Web Server: A computer program that serves files from a website to clients connected to the Internet.
15. XML: eXtensible Markup Language, a markup language that defines a set of rules for encoding documents in a format that is both human-readable and machine-readable.
The Ground Support Equipment Depot Level Rework Program provides funding for depot maintenance performed on all end-items of IMRL under the cognizance of NAVAIRSYSCOM, ASO and SPCC. Depot level rework for GSE is a process by which an IMRL item (Report Code "R") is inducted into a depot facility, evaluated by an Examination and Evaluation (E&E) engineer, disassembled, repaired and checked in accordance with GSE rework specifications. The objective of the process is to ensure the item will perform satisfactorily for a full service tour, normally 24 to 36 months. The work accomplished at the depot level and funded by this program is a level of maintenance beyond the capability of the military personnel working at the organizational and intermediate levels of maintenance. Weapon system readiness is dependent upon the ready availability of operationally reliable GSE. This requires that the GSE be maintained and supported to the same degree as the weapons system itself. Where assets are limited or there is a "one-of-a-kind" asset positioned at the AIMD, it is essential that depot level repair/rework/calibration be accomplished in the most expeditious manner to preclude interrupting Fleet operations and to avoid extending the inspect and repair cycle for airborne systems due to inoperable GSE.
A number of changes could be implemented to improve the management of GSE maintenance at the depot level. Providing maintenance plans for PGSE, for example, would help promote efficient life cycle support of systems or equipments.
The following is a list of the books and pamphlets on the subject of the history of the United States which have been published in the last year:
1. "The History of the United States" by John Fiske.
2. "The Story of the United States" by Henry Adams.
3. "The Making of the United States" by Charles Francis Adams.
4. "The United States and the World" by Woodrow Wilson.
5. "The United States and the War" by Theodore Roosevelt.
These books and pamphlets provide a comprehensive overview of the history of the United States, covering various aspects such as politics, economics, and culture. They are valuable resources for anyone interested in learning more about the country's past.
It has been suggested that maintenance managers for the PGSE which is essential to systems support be designated much as they are for aircraft end items and major systems. At present, of the more than 1500 avionics systems, less than 10% have maintenance plans, and only 70 PGSE line items were found to have such plans during the '72 audit, indicating a very real deficiency in this area and calling into question the thoroughness of maintenance practices employed to repair that peculiar ground support equipment which is currently in use.
It has also been found that significant quantities of GSE are scheduled for repair through the In-Use Equipment Repair Program (customer service) at NARFs while sufficient ready-for-issue (RFI) assets are available in the supply system to satisfy demands. The potential for incurring unnecessary repair costs is substantial since GSE that is repairable only at the depot level is often turned in (inducted) requiring expeditious repair to meet requirements placed on the activity or command; this kind of situation typically arises immediately prior to deployments, at-sea periods, special exercises and other operations which are similar in nature. If overtime is involved, and it frequently can be, costs may well get out of hand. This particular problem could be alleviated somewhat by requiring non-RFI IMRL to be returned to the supply system for repair through the Navy Integrated Comprehensive Repairable Induction Scheduling Program (NICRISP) and using available
system stock. Obviously, supply response time is critical to the success or failure of this suggestion.
Additionally, substantial sums are expended at the user level on calibration and repair. Table V-1 gives the documented amounts spent in-house on these evolutions exclusive of the formal depot program just discussed. Precision Measuring Equipment (PME) is simply a further delineation of CGSE/PGSE. It must be pointed out, however, that this data is taken from Maintenance Data Collection System (MDCS) Card Type 60 Reports and is extremely suspect since it is estimated that only one out of three reports is ever submitted to document repair/calibration actions. It is hoped that implementation of the Naval Aviation Logistics Command Management Information System (NALCOMIS) and its counterpart, Visibility and Management of Support Costs (VAMOSC) will facilitate better control of all aspects of GSE/IMRL management.
### TABLE V-1
**FY-'76 USER REWORK/CALIBRATION EXPENDITURES**
#### ORGANIZATION
| | LABOR | MATERIAL |
|-------|-----------|-----------|
| CGSE | $13,971,381 | $2,045,040 |
| PGSE | 256,017 | 493,379 |
| PME | 67,199 | 702,184 |
| SUB-TOTAL | $14,294,597 | $3,240,603 |
#### INTERMEDIATE
| | LABOR | MATERIAL | OTHER |
|-------|-----------|-----------|----------|
| CGSE | $13,551,927 | $778,527 | $1,293,109 |
| PGSE | 1,293,335 | 52,967 | 928,466 |
| PME | 6,172,156 | 230,423 | 315,601 |
| SUB-TOTAL | $21,017,418 | $1,061,917 | $2,542,176 |
#### NARF
| | LABOR | MATERIAL | OVERHEAD |
|-------|-----------|-----------|----------|
| CGSE/PGSE | $331,918 | $1,024,897 | $449,840 |
#### TOTALS
| | LABOR | MATERIAL | OTHER | OVERHEAD |
|-------|-----------|-----------|----------|----------|
| | $35,643,933 | $5,327,417 | $2,542,176 | $449,840 |
**NOTE:** Intermediate level "other cost" is based on 20% of the value of the GSE involved and represents that GSE which, once repair had begun, was completed or scrapped above the intermediate level.
The following is a list of the most common types of software that are used in the field of computer science:
1. Operating Systems: These are the programs that control and manage the hardware and software resources of a computer system.
2. Programming Languages: These are the languages used to write computer programs.
3. Database Management Systems: These are the programs that allow users to store, retrieve, and manipulate data.
4. Web Development Tools: These are the tools used to create websites and web applications.
5. Graphics Software: These are the programs used to create and edit digital images.
6. Video Editing Software: These are the programs used to edit and manipulate video footage.
7. Audio Editing Software: These are the programs used to edit and manipulate audio files.
8. CAD (Computer-Aided Design) Software: These are the programs used to create and edit technical drawings and designs.
9. Animation Software: These are the programs used to create and edit animated graphics.
10. Game Development Tools: These are the tools used to create and develop video games.
11. Data Analysis Software: These are the programs used to analyze and interpret large amounts of data.
12. Project Management Software: These are the programs used to manage and track projects.
13. Collaboration Software: These are the programs used to collaborate with others on projects and tasks.
14. Security Software: These are the programs used to protect computers and networks from cyber attacks.
15. Virtual Reality Software: These are the programs used to create and interact with virtual environments.
VI. GSE MANAGEMENT - A BETTER WAY
Positive in-house inventory and accounting procedures close the loop in the budgeting and management of IMRL assets. Historically, IMRL management at the user level has left much to be desired, and the loss of valuable equipment has all too often been excessive. Frequent inventories alone, however, will not eliminate the problem. A coordinated multi-faceted program is what is called for and is absolutely essential at all levels where GSE is managed if inventory losses and undocumented transfers are to be curtailed.
Efforts to define and centralize management roles notwithstanding, various discrepancies exist in reporting and accounting for GSE at the user level relative to both excesses and deficiencies. For example, audit service studies from '68 through '71 revealed field level excesses and deficiencies totaling $13.2 and $.8 million respectively. Another audit in 1972 of control procedures applied to IMRL at all levels of management uncovered continuing accountability problems, primarily resulting from a failure to tailor IMRL allowances to actual Fleet activity needs; these problems have not been completely resolved by introduction of LAMS and the Closed-Loop Reporting systems.
Redistribution and ASO procurement might be more effectively planned if GSE allowances were tailored to more accurately reflect requirements. In many instances,
The following is a list of the books and pamphlets on the subject of the history of the United States which have been published in the last year:
1. "The History of the United States" by John Fiske.
2. "The Story of the United States" by Henry Adams.
3. "The Making of the United States" by Charles Francis Adams.
4. "The United States and the World" by Woodrow Wilson.
5. "The United States and the War" by Theodore Roosevelt.
These books and pamphlets provide a comprehensive overview of the history of the United States, covering various aspects such as politics, economics, and culture. They are valuable resources for anyone interested in learning more about the country's past.
deficiencies can be satisfied with on-hand quantities which are sufficient to meet demands. ASO's current buying policy based on allowance deficiencies may well result in unnecessary purchases of GSE that IMRL activities neither request nor use. The '72 study confirmed the suspicion that previously reported discrepancies all too often remained uncorrected even though letters to the contrary had been submitted.
Problem areas cited most frequently were:
1. Fragmented GSE management at the NAVAIRSYSCOM level.
2. Limited technical screening sources available to engineers reviewing contractor submitted Support Equipment Requirement Sheets (SERS) and Support Equipment Lists (SELs).
3. Inaccurate GSE in-use asset reports.
4. Non-enforcement of established procedures by ACCs and NASCRs.
5. The method in which GSE requisitions are submitted to ASO, and the method used by ASO when computing purchase requirements.
The unmistakable conclusion to be drawn from this is that an unnecessary proliferation of GSE inescapably results. The '72 audit report estimated that some $53 million could be saved if these abuses were corrected. Almost all of these discrepancies were found at IMRL activities in the form of redistributable excesses, invalid deficiencies, and unnecessary requisitions and planned procurements. Yet, the review involved only 14 of 725 IMRL activities (OMAs, IMAs, NASs, etc.).
It should be understood that two rather semi-autonomous spheres of control - NAVAIRSYSCOM and the Fleet - exist with
respect to IMRL management. And although this paper attempts to follow the normal lines of decision making, no attempt has been made to address in any detail NAVAIR management with its attendant planning and development through such evolutions as budgeting, review and approval of support needs, acquisition, deliveries, and logistics maintenance plans. NAVAIRSYSCOM, NAVAIRENGCEN, NAVPLTREPO and ASO are the key commands in these phases of management. The primary concern in this thesis is control of GSE in the Fleet because that's where better management must begin if improvement is ever to be significant. Implicit in any discussion of such is maintenance and utilization of GSE at NARFs, procurement and data management at ASO, the function of ACCs and NASCRs and control/accountability aspects of the program at all IMRL activities.
At the local level, a successful program must begin with the proper identification of an item as IMRL when it is received on board. The following steps have been effectively employed at at least one large command and are presently being recommended by COMNAVAIRLANT Maintenance Management and Advisory Teams in their visits and inspections of Atlantic Fleet commands. They are presented here simply for information purposes.
1. Pictures of each reportable IMRL item are taken and attached to custody cards, one for the command master file and one for the division/work center holding the asset on subcustody.
The following is a list of the books and pamphlets on the subject of the history of the United States which have been published in the last year:
1. "The History of the United States" by John Fiske.
2. "The Story of the United States" by Henry Adams.
3. "The History of the United States" by James Ford Rhodes.
4. "The History of the United States" by Charles Francis Adams.
5. "The History of the United States" by Francis Parkman.
These books and pamphlets provide a comprehensive overview of the history of the United States, covering various aspects such as politics, economics, social issues, and cultural developments. They are valuable resources for anyone interested in learning about the nation's past and its impact on the present.
2. Key-punched card decks are prepared for all primary and alternate IMRL equipment held on board and are updated as equipments are received. These cards contain NIIN, PN, serial number, IMRL number, report code, quantity and subcostody information.
3. Computer printouts by work center (subcustodian) are updated on a monthly basis by the cognizant shop and returned to the IMRL manager.
4. Quarterly physical inventories with card decks provided by the IMRL manager are conducted by the work center supervisor and Division Officer.
5. Yearly physical inventories are conducted by the IMRL manager.
A problem of considerable magnitude, particularly in a shipboard environment, is initial identification of an item as GSE as soon as it is received by Supply. In those cases where the material is received on a local requisition (document number) the problems are minimized. Frequently, however, equipment arrives from other commands or directly from the contractor/manufacturer with no discrete IMRL identifier and is misrouted, lost or put into storage. It goes without saying that readiness is adversely affected, money and time are wasted and all too often another activity is required to "draw down" (transfer one of its assets) until the missing piece of GSE can be located, a task of sometimes interminable duration.
Solutions to these problems are not easily achieved but a few possible approaches are suggested. All GSE should be identified with a code unique to IMRL equipment for both document/shipping data and physical/nameplate identification. As a consequence, all GSE would be more readily identifiable
at the receiving activity, and even if the paperwork were to be lost (as is so often the case) the ID plate would identify the item as a piece of IMRL.
At the present time, IMRL numbers differ from activity to activity for the same pieces of GSE. If these numbers were assigned such that an IMRL item had only one number, regardless of the activity to which assigned, disposition instructions from higher authority, attendant correspondence and tracking would be simplified as would record keeping, particularly at the NAVAIR, NASCR and TYCOM levels.
Another possible approach to this problem is for the AIMD to take over responsibility for shipping and receiving of all aviation material, thereby relieving Supply of this function. It has even been suggested that the AIMD assume all responsibility for aviation supply, and two pilot projects with this objective in mind were conducted aboard USS SARATOGA and NAS JACKSONVILLE with encouraging (positive) results. By so doing, it is thought that GSE would be moved more expeditiously, internal loss in the shipping/receiving process would be minimized and faster identification could be achieved by utilizing maintenance personnel who, by virtue of their ratings and backgrounds, would naturally be more familiar with (and careful of) the equipments involved.
This is not intended as an indictment of the Supply Department but rather is noted simply to focus attention on another potential problem area for the IMRL manager and
The following is a list of the most important and frequently used terms in the field of computer science:
1. Algorithm: A step-by-step procedure for solving a problem or performing a task.
2. Data Structure: A way of organizing data that allows efficient access, modification, and manipulation.
3. Database: An organized collection of data stored in a computer system.
4. Database Management System (DBMS): Software that manages databases and provides an interface for users to interact with them.
5. Encryption: The process of converting information into a coded form so that it can be securely transmitted or stored.
6. Hashing: A technique for mapping data of arbitrary size to fixed-size values.
7. Interface: A way for two systems to communicate with each other.
8. Object-Oriented Programming (OOP): A programming paradigm that emphasizes the use of objects to represent real-world entities and their interactions.
9. Protocol: A set of rules that govern how data is transmitted between two systems.
10. Query: A request for information from a database.
11. Security: The protection of data and systems from unauthorized access, modification, or destruction.
12. Software: A set of instructions that tell a computer what to do.
13. System: A collection of hardware and software components that work together to perform a specific task.
14. User Interface (UI): The part of a computer program that interacts with the user.
15. Virtual Machine (VM): A software implementation of a computer system that runs on top of another computer system.
16. Web Application: A software application that runs on a web server and is accessed through a web browser.
17. XML: eXtensible Markup Language, a markup language used for structuring and storing data.
18. API: Application Programming Interface, a set of rules and protocols for building software applications.
19. Cloud Computing: The delivery of computing resources over the internet.
20. Big Data: Large volumes of data that require specialized techniques for analysis and management.
21. Machine Learning: A subset of artificial intelligence that focuses on developing algorithms that can learn from data and make predictions or decisions without being explicitly programmed.
22. Natural Language Processing (NLP): A field of study that focuses on enabling computers to understand, interpret, and generate human language.
23. Robotics: The design, construction, and operation of robots.
24. Internet of Things (IoT): The interconnection of physical devices, vehicles, appliances, and other items with the internet, allowing them to exchange data and perform actions autonomously.
25. Quantum Computing: A type of computing that uses quantum-mechanical phenomena, such as superposition and entanglement, to perform operations on data.
26. Blockchain: A decentralized digital ledger that records transactions across many computers in such a way that the registered transactions cannot be altered retroactively.
27. Artificial Intelligence (AI): The simulation of human intelligence processes by machines, especially computer systems.
28. Deep Learning: A subset of machine learning that uses neural networks to model and solve complex problems.
29. Neural Networks: A class of algorithms inspired by the structure and function of the human brain.
30. Computer Vision: The ability of computers to interpret and understand visual information from the world around them.
31. Natural Language Generation (NLG): The creation of natural language text by computers based on input data.
32. Virtual Reality (VR): A computer-generated simulation of a three-dimensional environment that can be interacted with using special equipment.
33. Augmented Reality (AR): The enhancement of the real world with digital information.
34. Human-Computer Interaction (HCI): The study of the interaction between humans and computers.
35. Cybersecurity: The protection of computer systems and networks from cyber attacks and other forms of cybercrime.
36. Information Security: The protection of information from unauthorized access, disclosure, modification, or destruction.
37. Cyber Crime: Criminal activities carried out using computers or the internet.
38. Cyber Terrorism: The use of computers or the internet to carry out terrorist activities.
39. Cyber Espionage: The use of computers or the internet to steal sensitive information from other countries or organizations.
40. Cyber Warfare: The use of computers or the internet to conduct military operations against other countries or organizations.
41. Cyber Defense: The protection of computer systems and networks from cyber attacks and other forms of cybercrime.
42. Cyber Resilience: The ability of a computer system or network to withstand and recover from cyber attacks and other forms of cybercrime.
43. Cyber Insurance: Insurance policies that provide coverage for losses resulting from cyber attacks and other forms of cybercrime.
44. Cyber Forensics: The investigation of cyber crimes and the recovery of evidence from computer systems and networks.
45. Cyber Crime Prevention: The measures taken to prevent cyber crimes and other forms of cybercrime.
46. Cyber Crime Investigation: The process of investigating cyber crimes and other forms of cybercrime.
47. Cyber Crime Prosecution: The legal process of prosecuting cyber crimes and other forms of cybercrime.
48. Cyber Crime Punishment: The punishment of cyber criminals and other individuals involved in cyber crimes.
49. Cyber Crime Prevention Education: The education of individuals about the risks of cyber crimes and other forms of cybercrime.
50. Cyber Crime Prevention Training: The training of individuals about the risks of cyber crimes and other forms of cybercrime.
one over which he presently has very little or no control. Interestingly enough, the Supply Officer is specifically tasked with preparing and maintaining an accurate current inventory of all reportable CGSE/PGSE (IMRL). It has been the author's experience, though, that few Supply Officers get concerned with this requirement until Administrative/material or Aviation Supply Inspection time, and, in practice, the Assistant Aircraft Intermediate Maintenance Department Officer or Material Control Officer actually maintains management and inventory control of the IMRL as well as the master file of custody cards.
Taking pictures of each primary and alternate IMRL item held at the local level is a time consuming and costly undertaking. A better approach would be to print enough pictures of each piece of GSE (and subsequent visible changes) so that when it is distributed each recipient would receive two copies. The key to success with respect to this suggestion would be to keep up with changes and equipment improvements and to ensure that all IMRL activities received their requisite copies in a prompt and orderly fashion.
Finally, to repeat a suggestion made earlier in the thesis, TYCOMs or NAVAIR should assign a discrete fund code, like those used to identify IMRL Outfitting Funds, for all GSE replacement purchases (OPTAR/AFM monies). Positive control of Ground Support Equipment necessitates a thorough appreciation of both financial and material
The following is a list of the most important and frequently used terms in the field of computer science:
1. Algorithm: A step-by-step procedure for solving a problem or performing a task.
2. Data Structure: A way of organizing data that allows efficient access, modification, and manipulation.
3. Database: An organized collection of data stored in a computer system.
4. Database Management System (DBMS): Software that manages databases and provides an interface for users to interact with them.
5. Encryption: The process of converting information into a coded form so that it can be securely transmitted or stored.
6. Hashing: A technique for mapping data of arbitrary size to fixed-size values.
7. Interface: A way for two systems to communicate with each other.
8. Object-Oriented Programming (OOP): A programming paradigm that emphasizes the use of objects to represent real-world entities and their interactions.
9. Operating System (OS): A software program that manages computer hardware and software resources and provides common services for computer programs.
10. Programming Language: A formal language designed to express computations.
11. Query: A request for information from a database.
12. Security: The protection of information from unauthorized access, disclosure, alteration, or destruction.
13. Software: A set of instructions that tell a computer what to do.
14. System: A collection of interrelated components that work together to achieve a common goal.
15. User Interface (UI): The part of a computer system that interacts with the user.
16. Virtual Machine (VM): A software implementation of a computer system that runs on top of another computer system.
17. Web Application: A software application that runs on a web server and is accessed through a web browser.
18. XML: eXtensible Markup Language, a markup language that defines a set of rules for encoding documents in a format that is both human-readable and machine-readable.
19. API: Application Programming Interface, a set of rules and protocols for building software applications.
20. Cloud Computing: The delivery of computing resources over the internet.
21. Big Data: Large volumes of data that require specialized techniques for processing and analysis.
22. Machine Learning: A subfield of artificial intelligence that focuses on developing algorithms that can learn from and make predictions on data.
23. Natural Language Processing (NLP): A subfield of artificial intelligence that focuses on enabling computers to understand, interpret, and generate human language.
24. Robotics: The design, construction, operation, and application of robots.
25. Internet of Things (IoT): The network of physical devices, vehicles, home appliances, and other items embedded with sensors, software, and connectivity that enables them to connect and exchange data.
26. Cybersecurity: The protection of information and systems from cyber threats.
27. Blockchain: A decentralized digital ledger that records transactions across many computers in such a way that the registered transactions cannot be altered retroactively without the alteration of all subsequent blocks and the consensus of the network.
28. Artificial Intelligence (AI): The simulation of human intelligence processes by machines, especially computer systems.
29. Quantum Computing: A type of computing that uses quantum-mechanical phenomena, such as superposition and entanglement, to perform operations on data.
30. Augmented Reality (AR): A technology that overlays digital information onto the real world, creating a hybrid environment.
management procedures. A clearly discernible audit trail is an absolute imperative. It is antithetical to sound management policy to not know, as is presently the case, how much is being spent at the user level for replacement, repair and/or calibration evolutions.
Although no attempt was made to assess projected costs associated with the suggestions and recommendations made throughout this paper, it is believed they represent viable alternatives/approaches to problems which confront IMRL managers today and have remained uncorrected for too long. Even the most casual observer must conclude from an examination of the facts that GSE budgeting and management are big business. They overlap three Congressional Appropriations Titles and involve expenditures of well over a third of a billion dollars annually. No wonder that so much emphasis has been directed recently toward better control of the assets already in the system. How much might be saved in terms of actual dollars and greater readiness is largely conjecture, but the amount is substantial.
The days when a giant cornucopia in Washington spewed out a never ending stream of money and material are gone forever, and we are all being more carefully evaluated on our managerial abilities; abilities which are expected to run the gamut of men, money, material and time. In so doing, the IMRL manager must make those decisions which promote sound management practices, but he must be innovative as well. Weighing the consequences of alternative choices and
assessing the concomitant cost-benefit relationships, it daily becomes more and more apparent that it is his job to ensure that all GSE assets are visible and properly maintained. They can not be managed in a vacuum. Only when the IMRL manager, and those who utilize this equipment, as well, have a thorough appreciation for and grasp of his management responsibilities, can maximum utilization be realized, dollar waste eliminated and a viable program effected.
The following is a list of the most important and frequently used terms in the field of computer science:
1. Algorithm: A step-by-step procedure for solving a problem or performing a task.
2. Data Structure: A way of organizing data that allows efficient access, modification, and manipulation.
3. Database: An organized collection of data stored in a computer system.
4. Database Management System (DBMS): Software that manages databases and provides an interface for users to interact with them.
5. Encryption: The process of converting information into a code so that only authorized parties can understand it.
6. Hashing: A process of converting data into a fixed-size string of characters, typically used for data integrity checks.
7. Interface: The point at which a user interacts with a computer system or application.
8. Programming Language: A formal language designed to communicate instructions to a computer.
9. Software: A set of instructions that tell a computer what to do.
10. System: A collection of interrelated components that work together to achieve a common goal.
11. User: An individual who uses a computer system or application.
12. Virtual Machine: A software implementation of a computer system that runs on top of another computer system.
13. Web Application: A software application that runs on a web server and is accessed through a web browser.
14. Web Server: A computer program that serves web pages to clients over the internet.
15. XML: eXtensible Markup Language, a markup language used for structuring data in a way that can be easily parsed by computers.
APPENDIX A
IMRL TRANSACTION REPORT PROCEDURES
There are three types of IMRL change transactions: (1) gains, (2) transfers, and (3) survey. Detailed change documentation procedures, as they apply to serialized items of GSE, are as follows:
IMRL GAIN.
a. **Type Transaction.** Place a check-mark in the GAIN block located in the upper right-hand corner of the form.
b. **Block 1 - UIC.** Enter the applicable five position IMRL activity code of the prime custodian. If the activity gaining the item is not subject to the provisions of LAMS, enter the five position UIC for the activity.
c. **Block 2 - LCN.** Enter the five position Local Control Number assigned to the item being gained. This block is optional.
d. **Block 3 - Serial Number.** Enter the last ten digits of the item serial number. This block will already be completed when the item is received from another activity on LAMS.
In the event the item is an accountable item which requires a serial number but has none due to a worn, damaged or missing name plate, serial number assignment will be made in accordance with the following note.
Items requiring serial numbers but having none, will be assigned a six-digit serial number consisting of the prime custodian organization code followed by three locally assigned numbers. The locally assigned numbers will be numbered sequentially from 001 through 999. The same serial number may be assigned to any number of end-items of support equipment as long as the part numbers of the items are not alike. The assigned serial number will be permanently affixed to the equipment and remain thereon until the item is stricken from the Navy's inventory. USN registration numbers or Plant Account numbers will not be used. Activities
The following is a list of the most important and frequently used terms in the field of computer science:
1. Algorithm: A step-by-step procedure for solving a problem or performing a task.
2. Data Structure: A way of organizing data that allows efficient access, modification, and manipulation.
3. Database: An organized collection of data stored in a computer system.
4. Database Management System (DBMS): Software that manages databases and provides an interface for users to interact with them.
5. Encryption: The process of converting information into a code so that only authorized parties can understand it.
6. Hashing: A process of converting data into a fixed-size string of characters, typically used for data integrity checks.
7. Interface: A way for two systems to communicate with each other.
8. Network: A collection of computers and devices connected together to allow communication and sharing of resources.
9. Operating System (OS): A software program that manages computer hardware and software resources and provides common services for computer programs.
10. Programming Language: A formal language designed to be used by humans to express instructions to a computer.
11. Query: A request for information from a database.
12. Security: The protection of data and systems from unauthorized access, use, disclosure, disruption, modification, or destruction.
13. Software: A set of instructions that tell a computer what to do.
14. System: A collection of interrelated components that work together to achieve a common goal.
15. User Interface (UI): The part of a computer system that interacts with the user, allowing them to input commands and receive feedback.
16. Virtual Machine (VM): A software implementation of a computer system that runs on top of another computer system.
17. Web Application: A software application that runs on a web server and is accessed through a web browser.
18. Wireless Network: A network that uses radio waves to transmit data between devices.
19. XML: eXtensible Markup Language, a markup language that defines a set of rules for encoding documents in a format that is both human-readable and machine-readable.
20. YAML: Yet Another Markup Language, a data serialization language that is easy to read and write, and is commonly used for configuration files.
which are not subject to the provisions of OPNAVINST 4790.2 (series) may assign serial numbers in a fashion deemed appropriate as long as the assigned number does not exceed ten positions and is in some way identifiable as a locally assigned serial number. (This procedure does not apply to items which do not require, and were never intended to have, serial numbers.) These items will be documented in accordance with non-serialized item procedures outlined later in this appendix.
e. **Block 4 - Date.** Enter the five position Julian Date on which the item is being gained.
f. **Block 5 - Time.** Enter the four position Military Standard Time at which the transaction is being documented. Use of the time block is optional and will not be keypunched.
g. **Block 6 - IMRL Trans.** Place a check-mark in the applicable square depending on whether or not an IMRL transaction is required. (All reportable items listed on the activity's IMRL require IMRL transactions.)
For activities under the LAMS program, the local program will automatically produce an IMRL Transaction Report for forwarding to the upper-level ADP center, when block 6 is marked "Yes."
h. **Block 7 - Trans. Sr. No.** The transaction serial number is a four digit numerical designator indicating an activities' IMRL transaction. The first character indicates the year and the second, third and fourth characters numbered sequentially from 001 to 999 indicate the IMRL transaction for that year. This block will be used only if Block 6 is checked "Yes."
i. **Block 8 - Rec. From/Trans. To.** Enter the five character UIC of the activity that the unit was received from. If the transferring activity is under the LAMS preprinted TR system, this block will be transcribed from Block 1 (UIC).
j. **Block 9 - Qty.** The number of items on which the action is being conducted by this transaction report.
k. **Block 10 - NSN/FSN.** This entry is optional at the discretion of the cognizant ACC.
1. **Block 11 - MOD/DESIG/Part Number.** Enter the manufacturer's part number as listed in the IMRL. If the item is not listed in the IMRL, enter the part number as shown on the equipment name plate. (Note: Eliminate special characters, such as a dash or slash, except between numerics).
m. **Block 12 - Nomenclature.** Enter the nomenclature as listed in the IMRL. If the item is not listed in the IMRL enter the nomenclature most readily recognizable to maintenance personnel. This block is limited to 15 characters.
n. **Block 13 - Manufacturer's Code.** The five digit numerical manufacturing code of the end-item being reported.
o. **Block 14 - Prime NIIN/FIIN.** This block is not presently used.
p. **Block 15 - IMRL Item.** Enter the IMRL item number of the item received. This entry is optional at the discretion of the cognizant ACC.
q. **Block 16 - A/A.** Enter the IMRL authorized allowance for the Block 15 IMRL item. This entry is optional at the discretion of a cognizant ACC.
r. **Block 17 - TOT O/H.** Enter the total on-hand quantity of the Block 11 part/model number. Activities having computer generated TR cards will leave this block blank. It will automatically be computed.
s. **Block 18 - CAL-PM Site.** Enter the three position 3M code, three position Laboratory Code or five position UIC of the activity responsible for calibration or preventative maintenance. If the item being gained does not require calibration or preventative maintenance, leave this block blank.
t. **Block 19 - Date Due.** Enter the five position Julian Date on which the item is being recalled for calibration or preventative maintenance. If the item does not require calibration or preventative maintenance, leave this block blank.
u. **Block 20 - W.C.** Enter the three digit work center code assigned to the primary work center which controls the item being gained.
v. **Block 21 - Status.** Enter the two position status code which applies to the item at the time it is being gained. This block is optional at the local level.
w. **Block 22 - E/C.** Enter the appropriate one position Exception Code.
x. **Block 34 - Authority.** Enter the gain authority exactly as specified by the ACC. This entry must match exactly the transfer authority for processing by the AMMRL/Closed-Loop System. For transferring activities under LAMS, this block will have been completed. This block is optional if Block 6 is checked "No."
**IMRL TRANSFER.**
a. **Type Transaction.** Place a check-mark in the TRANS block located in the upper right-hand corner of the form.
b. **Blocks 1, 3, 11, 12 and 13** will have been preprinted on the form. If a hand transcribed form is used, these blanks must be completed in accordance with the definitions for IMRL GAIN procedures listed above.
c. **Block 4 - Date.** Enter the five position Julian Date on which the item is being transferred.
d. **Block 6 - IMRL Trans.** Place a check-mark in the applicable square depending on whether or not an IMRL transaction is required. For activities under the LAMS program, when this block is marked "Yes," the local program will automatically produce an IMRL Transaction Report for forwarding to the upper-level ADP center.
e. **Block 7 - Trans. Sr. No.** The transaction serial number is a four-digit numerical designator indicating an activities' IMRL transaction. The first character indicates the year and the second, third and fourth characters numbered sequentially from 001 to 999 indicate the IMRL transaction for that year. This block will be used only if Block 6 is checked "Yes."
f. **Block 8 - Rec. From/Trans. To.** Enter the five-digit (character) UIC of the activity that the unit is being transferred to.
g. **Block 9 - Qty.** The number of items on which the action is being conducted by this transaction report.
h. **Block 22 - E/C.** Enter the appropriate one position Exception Code.
i. **Block 34 - Authority.** Enter the transfer authority exactly as specified by the ACC. This block is optional if Block 6 is checked "No."
**IMRL SURVEY.**
a. **Type Transaction.** Place a check-mark in the SURVEY block located in the upper right-hand corner of the form.
b. Block 1, 3, 11, 12, and 13 will have been preprinted on the form. If a hand transcribed form is used, these blocks must be completed in accordance with the definitions for inventory (IMRL) GAIN procedures listed above.
c. **Block 4 - Date.** Enter the five position Julian Date on which the item is being surveyed.
d. **Block 6 - IMRL Trans.** Place a check-mark in the applicable square depending on whether or not an IMRL transaction is required. For activities under LAMS, when this block is marked "Yes," the local program will automatically produce an IMRL Transaction Report for forwarding to the upper-level ADP center.
e. **Block 7 - Trans. Sr. No.** The transaction serial number is a four-digit numerical designator indicating an activities IMRL transaction. The first character indicates the year and the second, third and fourth characters numbered sequentially from 001 to 999 indicate the IMRL transaction for that year. This block will be used only if Block 6 is checked "Yes."
f. **Block 9 - Qty.** The number of items on which the action is being conducted by this transaction report.
g. **Block 22 - E/C.** Enter "9."
h. **Block 34 - Authority.** Enter the survey authority. This block is optional if block 6 is checked "No."
NOTE: Survey transactions via LAMS do not annul the requirements for survey requests in accordance with other Navy instructions.
i. No other blocks need to be completed even though some, such as subcustody return, might be affected.
There are two types of subcustody transactions, issues and receipts. Detailed documentation procedures for these transactions as they apply to serialized items are as follows:
**ISSUE TRANSACTION.**
a. **Type Transaction.** Place a check-mark in the RETURN block located in the upper right-hand corner of the form.
b. If a preprinted card has not been received, complete Blocks 1, 3, 11, 12 and 13 on a handscribed transaction card.
The following is a list of the most important and frequently used terms in the field of computer science:
1. Algorithm: A step-by-step procedure for solving a problem or performing a task.
2. Data Structure: A way of organizing data that allows efficient access, modification, and manipulation.
3. Database: An organized collection of data stored in a computer system.
4. Database Management System (DBMS): Software that manages databases and provides an interface for users to interact with them.
5. Encryption: The process of converting information into a code so that only authorized parties can understand it.
6. Hashing: A process of converting data into a fixed-size string of characters.
7. Interface: A way for two systems to communicate with each other.
8. Programming Language: A set of instructions that a computer can understand and execute.
9. Software: A set of instructions that tell a computer what to do.
10. System: A collection of hardware and software components that work together to perform a specific task.
11. User Interface: The part of a computer program that allows users to interact with it.
12. Virtual Machine: A software implementation of a computer system that runs on top of another computer system.
13. Web Application: A software application that runs on a web server and is accessed through a web browser.
14. Web Server: A computer that hosts web applications and serves them to clients.
15. XML: A markup language used to structure and organize data in a web application.
c. **Block 4 - Date.** Enter the five position Julian Date on which the item was returned from subcustody.
d. **Block 27 - Status.** Enter the applicable status code that the item is being placed into. This entry is optional at the local level.
e. **Block 28 - Qty.** Enter "1" for serialized items.
f. **Subcustody ORG/WC.** This block will be left blank for serialized items.
g. **Block B - Signature.** The person receiving the equipment at the prime custodian activity will sign his name and rank/rate in this block.
When changes to data elements listed in the Master File are required, or when errors are found in reports generated by the system, a correction transaction must be submitted. Corrections required on serialized items will be documented as follows:
a. **Type Transaction.** Place a check-mark in the CORR Block located in the upper right-hand corner of the form.
b. Under the preprinted card system, Blocks 1, 3, 11 and 13 will be filled in. If a handscribed card is used, these blocks must be filled in according to the definition given under GAIN transactions.
c. **Block 4 - Date.** Enter the five position Julian Date on which the correction is being made.
d. The data requiring correction will be entered in its respective block on the form. Blocks which can be corrected via these Correction Transaction procedures are as follows: 1, 2, 3, 4, 12, 18, 19, 20 and 21. Blocks 11 and 13 can be changed only through a loss/gain transaction as these blocks affect the inventory. A maximum of two data elements may be corrected with one correction transaction document. If more than two data elements require correction, additional correction transactions must be submitted.
The procedures for documentation of non-serialized items are slightly modified from those procedures outlined for serialized items. The only status codes authorized for use
on non-serialized items are A1, A2, and F1. Detailed documentation procedures for non-serialized items are as follows:
**IMRL GAIN.**
a. **Block 3 - Serial Number.** When gaining non-serialized items, this block will be left blank.
b. **Block 9 - Qty.** Enter the quantity of non-serialized items being gained, from "1" through "999."
c. All other documentation procedures for GAIN transactions involving non-serialized items are the same as those outlined for serialized items.
**IMRL TRANSFER.**
a. The documentation procedures for transfer transactions are the same as those outlined for serialized items with the following exceptions.
b. **Block 3 - Serial Number.** When transferring non-serialized items, this block will be left blank.
c. **Block 13 - Qty.** Enter the number of non-serialized items to be transferred, "1" through "999."
**IMRL SURVEY.**
a. The documentation procedures for survey transactions involving non-serialized items are the same as those outlined for serialized items with the following exceptions:
b. **Block 3 - Serial Number.** This block will be left blank when striking non-serialized items.
c. **Block 13 - Qty.** Enter the number of items to be struck from the inventory, "1" through "999."
There are two types of subcustody transactions, issues and receipts.
**ISSUE TRANSACTION.**
a. Subcustody issue transaction documentation procedures involving non-serialized items are the same as those outlined for serialized items with the following exceptions:
b. **Block 3 - Serial Number.** When issuing non-serialized items, this block will be left blank.
c. **Block 23 - Date Due.** Leave blank.
d. **Block 24 - Status.** Enter the status code that the items are being issued from. This block is optional at the local level.
e. **Block 25 - Qty.** Enter the quantity of items being issued, "1" through "999."
**RETURN TRANSACTION**
a. Subcustody return transaction documentation procedures involving non-serialized items are the same as those outlined for serialized items with the following exceptions:
b. **Block 3 - Serial Number.** When returning non-serialized items, this block will be left blank.
c. **Block 27 - Status.** Enter the applicable status code that the items are being placed into. This block is optional at the local level.
d. **Block 28 - Qty.** Enter the number of items that apply to the status code entered in Block 27.
e. **Block 29 - Subcustody ORG/WC.** Enter the subcustody organization code of the activity returning the item/s. This entry must be exactly the same as that appearing in Block 26 for the ISSUE transaction.
Corrections required on non-serialized items will be documented in the same manner as serialized items, with one exception: Block 9, as well as Blocks 11 and 13, can be changed only through a loss/gain transaction.
Source: Naval Air Systems Command, *Operations Manual for Local Asset Management Subsystem (LAMS)*, 1 August 1976.
1. Individual Material Readiness Lists (IMRL) are received by units from the Naval Air Systems Command Representative (NASCR) when requested by the Type Commander. Revisions to the IMRL are made when required on an "as occurring" basis. Factors that affect the IMRL composition are: Weapons Systems supported, Number of Weapons Systems assigned, Maintenance Level assigned, geographic factors, physical factors, operational conditions and mission requirements. Changes to any of these factors would possibly generate the requirement for IMRL revision.
2. A previously issued IMRL contains detailed information concerning items deleted from the new IMRL and should be retained until a review of the Supplement is completed.
3. A "wall to wall" physical inventory is required annually. An inventory may be conducted any time during the calendar year but not later than 31 December. Additional inventories may be held at any time and to any depth desired.
4. Holders of IMRL items would be Work Centers and supported activities (Squadrons, Detachments, etc.).
5. Holders of IMRL items would be provided a copy of the IMRL for inventories of those items which pertain to their area of responsibility. Data elements to be reviewed are:
- IMRL Line Item Number
- Part Number
- National Stock Number (NSN) if provided
- Nomenclature
- Maintenance Level (O, I, T)
- Report Code
- Calibration Code
- Pre-positioned Code
- Computed Allowance
- Total Authorized Allowance
6. The IMRL will be annotated to reflect actual numbers of items on hand, condition of items and correction of errors or omission.
The following is a list of the most important and frequently used terms in the field of computer science:
1. Algorithm: A step-by-step procedure for solving a problem or performing a task.
2. Data Structure: A way of organizing data that allows efficient access, modification, and manipulation.
3. Database: An organized collection of data stored in a computer system.
4. Database Management System (DBMS): Software that manages databases and provides an interface for users to interact with them.
5. Encryption: The process of converting information into a coded form so that it can be securely transmitted or stored.
6. Hashing: A technique for mapping data of arbitrary size to fixed-size values.
7. Interface: A way for two systems to communicate with each other.
8. Object-Oriented Programming (OOP): A programming paradigm that emphasizes the use of objects to represent real-world entities and their interactions.
9. Protocol: A set of rules that govern how data is transmitted between two systems.
10. Query: A request for information from a database.
11. Security: The protection of data from unauthorized access, modification, or destruction.
12. Software: A set of instructions that tell a computer what to do.
13. System: A collection of hardware and software components that work together to perform a specific task.
14. User Interface (UI): The part of a computer program that interacts with the user.
15. Virtual Machine (VM): A software implementation of a computer system that runs on top of another computer system.
16. Web Application: A software application that runs on a web server and is accessed through a web browser.
17. XML: eXtensible Markup Language, a markup language used to structure and organize data in a web application.
18. API: Application Programming Interface, a set of rules and protocols that allow different software applications to communicate with each other.
19. Cloud Computing: The delivery of computing resources over the internet, allowing users to access and use these resources without having to install and maintain the underlying infrastructure.
20. Big Data: Large volumes of data that require specialized techniques and tools for analysis and management.
7. Holders of IMRL items should provide along with the annotated IMRL a report on the overall status of IMRL items held, request for additions and deletions and recommendations for change.
8. Discrepancies are those elements found in error which require change or correction. IMRL items held in excess of authorized allowance are reviewed to determine requirements. Deficiencies include items lost or missing, items in need of repair or survey and items that are new requirements and have not been previously ordered.
9. Only IMRL items with Report Code "C" are considered consumable. These items are those which are not considered repairable and have a value of less than $200.00.
10. IMRL items designated Pre-Positioned Code are those items required by a Supported Activity and provided by a Supporting Activity on sub-custody basis.
11. Survey action is required when a decrease in Report Code "R" occurs in an inventory. Report Code "R" items are those items which are considered repairable regardless of value and all items valued at $200.00 or more. Decrease of inventory occurs when items are condemned as a result of damage or deterioration, lost or stolen, and obsolete.
12. Survey is prepared utilizing Supply and Accounts Form 154. Data elements include:
Date
Number
Activity
Originator (Signature and Title)
Request for Survey
Item
Stock Number and Description
Quantity
Unit Price
Total Value
Reason for Survey
Account in which carried (Appropriation Purchase Account, Navy Stock Account, Non-Stores, etc.)
Other Data (Source, date of receipt, etc.)
Action by Commanding Officer or Delegate
Type of Survey
Formal
Informal
Survey to be made by
Signature (CO or Delegate) (Date)
The following is a list of the most common types of data that can be collected and analyzed using the methods described in this paper:
- **Demographic Data**: Information about the age, gender, race, ethnicity, education level, income, employment status, and other demographic characteristics of the population being studied.
- **Behavioral Data**: Information about the behaviors and activities of individuals or groups, such as their consumption patterns, travel habits, social interactions, and health-related behaviors.
- **Environmental Data**: Information about the physical environment, including weather conditions, air quality, water quality, and other environmental factors that may affect human health and well-being.
- **Health Data**: Information about the health status of individuals or groups, including their medical history, symptoms, diagnoses, treatments, and outcomes.
- **Economic Data**: Information about the economic conditions and trends affecting individuals or groups, including their income, wealth, employment, and financial security.
- **Social Data**: Information about the social relationships and networks of individuals or groups, including their family structures, friendships, community involvement, and civic engagement.
- **Educational Data**: Information about the educational experiences and outcomes of individuals or groups, including their academic performance, graduation rates, and post-secondary education attainment.
- **Political Data**: Information about the political attitudes and behaviors of individuals or groups, including their voting patterns, party affiliation, and participation in political campaigns and elections.
- **Cultural Data**: Information about the cultural values, beliefs, and practices of individuals or groups, including their language, religion, customs, and traditions.
- **Technological Data**: Information about the use of technology by individuals or groups, including their access to and utilization of digital devices, software, and online platforms.
- **Legal Data**: Information about the legal systems and processes affecting individuals or groups, including their legal rights, responsibilities, and protections.
- **Geospatial Data**: Information about the location and distribution of individuals or groups within a geographic area, including their addresses, neighborhoods, and communities.
- **Time Series Data**: Information about changes over time in various aspects of individuals or groups, such as their health status, economic conditions, or social behaviors.
- **Network Data**: Information about the connections and relationships between individuals or groups, including their social networks, professional networks, and communication channels.
- **Big Data**: Information about large volumes of data generated from various sources, such as social media, sensor networks, and mobile devices, which require specialized techniques for analysis and interpretation.
These types of data can be used to inform decision-making, policy development, and program evaluation in a wide range of fields, including public health, education, social services, business, and government. By collecting and analyzing these data, researchers and practitioners can gain insights into the complex interplay between individuals, communities, and their environments, and develop evidence-based strategies to improve the well-being of populations.
Survey Report and Recommendations
Recommendations
Expenditure from Records
Transfer to B-270
Transfer to Material Condition Code
Estimated Repair Cost
Items surveyed in accordance with Navy Regulations
Signatures (3)
Review of Survey Report
Approved
Disapproved
Signature (CO or Delegate)
Date
Forward to (Bureau)
Accounting Data
Appropriation
Expendable Account
Bureau Approval
Disposed of as indicated
Signature (Rank and Title)
Date
13. Survey is submitted via Chain of Command to Type Commander, Naval Air Systems Command Representatives (PAC/LANT) and NAVAIRSYSCOM when appropriate. Final approval for Survey and Disposition Instructions for items valued over $1,000.00 will be made by the Type Commander.
14. Transaction Reports (NARF Report Symbol 4440-5) are submitted to cognizant NASCRs and Type Commander for all IMRL Report Code "R" items received, transferred or surveyed. No Transaction Report will be accepted for items "Lost by Inventory" unless a completed survey document is referenced. Data elements of the Transaction Report are:
IMRL Identification Number
National Stock Number (NSN) (Part Number if NSN is not available)
Transaction Serial Number
Total Quantity Authorized
Julian Date
IMRL Date
IMRL Item Number
Transferred To/Received From
Authority/Reason (Document Number/Survey Number)
Ground Support Equipment Transactions
Status
Ready for Use (A)
Awaiting Survey Disposition (F) (no longer used)
Received
Transferred
On Hand
Total On Hand
Activity
Signature (include rank)
A section of the Transaction Report is provided for local use. Data elements are:
Manufacturer's Part Number
Equipment/Model Number
Serial Number
Work Center
Building
Activity
Quantity
Signature
15. Transaction Reports would be prepared in this instance for items with Report Code "R" gained by Physical Inventory, items previously reported by Part Number and now assigned a National Stock Number (NSN) and to correct previously submitted Transaction Reports. Data elements are provided by Note 14.
16. Transaction Reports are submitted by mail on an "as occurring" basis with the following distribution:
Copy 1 NASCR (P/L)
Copies 2, 4, & 5 Discretion of Area Commander
Copy 3 Type Commander
Copy 6 Retained by Reporting Activity
17. Excess items are those IMRL Report Code "R" items which exceed the authorized allowance of the IMRL. These items must be reported by "Letter of Excess." Except in cases of activity deactivation or change in assigned weapon system, no item in other than Ready For Issue condition will be declared in excess.
18. Letter of Excess is prepared to request disposition instructions for all IMRL items held in excess. Section I of the letter lists excess IMRL items and Section II NAVAIR 0035QG-016 excess. Data elements are:
Part Number
National Stock Number
Nomenclature
Quantity
Condition Code (if applicable)
19. Letter of Excess is submitted to the Type Commander via the chain of command (Area Commander).
20. Area Commander redistributes excesses within his area of responsibility. Disposition instructions for items not required by Area Command will be provided by Type Commander.
21. Possible courses of action that could be directed by higher level are transfer to other designated activities, return to Supply or disposition by survey.
22. IMRLs are annotated in the Total On-Hand column to reflect Total On-Hand assets.
23. Data elements required for recommendation for IMRL revision are:
Activity Name
IMRL Identification Number
Date of IMRL
Page Number
Item Number
Type of Recommendation
Addition
Decrease
Report Code Change
Pre-Positioned (P/P) Code or Management Code (MC) "L"
Other (explain)
Application
Aircraft Model
Power Plant
Avionics
Armament
General
Facilities
Estimated Time Completion
National Stock Number
Part Number
Manufacturer's Code
Nomenclature
Present Allowance
Required Allowance
Quantity On-Hand (to include alternate items)
Quantity of Aircraft/Power Plant/Avionics System Supported
Reference Source: Publication, Handbook of Maintenance
Instructions, etc. (Publication Date, Paragraph, Page,
Figure, etc. must be included)
24. Recommendation for IMRL revision is prepared on a locally produced form utilizing data elements prescribed by Note 23.
25. Recommendations are forwarded to TYCOM via the Area Commander, and those disapproved by the Area Commander will not be forwarded unless specific reason is cited.
26. Area Commanders may approve IMRL revisions locally as follows:
Additions: When information available on the ADMRL indicates required items are now authorized and will be so reflected in subsequent IMRL issues. (TYCOM/NAVAIRSYSCOMREP (PAC/LANT) need not be notified of these actions.)
Decreases: All requested decreases. (Copy of approval must be forwarded to TYCOM and NASCR (P/L).
Increases: All increases (except for Pre-Positioned (P/P) or Management Code (MC) "L") that do not exceed computed allowance in current IMRL. Copy of approval must be forwarded to TYCOM and NASCR (P/L). All other revisions recommended for approval must be forwarded to TYCOM for appropriate action.
27. A section of the Transaction Report is provided for local Custody Record use. Data elements are prescribed by Note 14.
28. A report of the completion of Annual Inventory will be submitted to the applicable Area Commander. The Area Commander will consolidate the results of all inventories conducted within his area of responsibility and submit a report to the TYCOM.
Source: Management Systems Development Office, Maintenance/Supply Support Data Flow Operational Flow Diagrams (OFDs) Supporting Notes, February 1976, unpublished.
The following is a list of the most important and frequently used terms in the field of computer science:
1. Algorithm: A step-by-step procedure for solving a problem or performing a task.
2. Data Structure: A way of organizing data in a computer program to make it easier to access, manipulate, and store.
3. Database: A collection of data organized in a structured manner so that it can be accessed, managed, and updated efficiently.
4. Database Management System (DBMS): A software application that provides services for creating, maintaining, and using databases.
5. Encryption: The process of converting information into a code so that only authorized parties can understand it.
6. Hashing: A process of converting data of any size into a fixed-size value.
7. Interface: A way of communicating between two systems or components.
8. Object-Oriented Programming (OOP): A programming paradigm that uses objects to represent real-world entities and their interactions.
9. Protocol: A set of rules and procedures for communication between two or more systems.
10. Query: A request for information from a database.
11. Security: The protection of data and systems from unauthorized access, use, disclosure, disruption, modification, or destruction.
12. Software: A set of instructions that tell a computer what to do.
13. System: A collection of hardware and software components that work together to perform a specific function.
14. User Interface (UI): The part of a computer system that allows users to interact with it.
15. Virtual Machine (VM): A software implementation of a computer system that runs on top of another computer system.
16. Web Application: A software application that runs on a web server and is accessed through a web browser.
17. XML: eXtensible Markup Language, a markup language that defines a set of rules for encoding documents in a format that is both human-readable and machine-readable.
18. API: Application Programming Interface, a set of rules and protocols for building software applications.
19. Cloud Computing: The delivery of computing resources over the internet.
20. Big Data: Large and complex datasets that require specialized techniques for processing and analysis.
21. Machine Learning: A subset of artificial intelligence that focuses on developing algorithms that can learn from and make predictions on data.
22. Natural Language Processing (NLP): A subfield of artificial intelligence that deals with the interaction between computers and human languages.
23. Robotics: The design, construction, operation, and application of robots.
24. Internet of Things (IoT): A network of physical devices, vehicles, home appliances, and other items embedded with sensors, software, and connectivity that enables them to connect and exchange data.
25. Quantum Computing: A type of computing that uses quantum-mechanical phenomena, such as superposition and entanglement, to perform operations on data.
26. Blockchain: A decentralized digital ledger that records transactions across many computers in such a way that the registered transactions cannot be altered retroactively without the alteration of all subsequent blocks and the consensus of the network.
27. Artificial Intelligence (AI): The simulation of human intelligence processes by machines, especially computer systems.
28. Deep Learning: A subset of machine learning that uses neural networks with multiple layers to learn and make predictions on complex data.
29. Neural Networks: A class of machine learning models inspired by the structure and function of the human brain.
30. Reinforcement Learning: A type of machine learning where an agent learns to make decisions by interacting with an environment and receiving rewards or penalties based on its actions.
| Abbreviation | Description |
|--------------|-------------|
| A/A | Authorized Allowance |
| ACC | Aircraft Controlling Custodian |
| ADMAT | Administrative/Material |
| ADMRL | Application Data Material Readiness List |
| ADP | Automatic Data Processing |
| AIMD | Aircraft Intermediate Maintenance Department |
| AMMRL | Aircraft Maintenance Material Readiness List |
| APA | Appropriation Purchase Account |
| APML | Assistant Project Manager Logistics |
| ASI | Aviation Supply Inspection |
| ASO | Aviation Supply Office |
| BPN | Budget Project Number |
| CAL | Calibration |
| CALIB | Calibration |
| CGSE | Common Ground Support Equipment |
| CHNAVMAT | Chief Naval Material |
| CINCLANTFLT | Commander in Chief Atlantic Fleet |
| CINCPACFLT | Commander in Chief Pacific Fleet |
| CNAL | Commander Naval Air Force Atlantic (Short for COMNAVAIRLANT) |
| CNAP | Commander Naval Air Force Pacific (Short for COMNAVAIRPAC) |
| CNATRA | Commander Naval Air Training |
| CNAVRES | Commander Naval Aviation Reserve |
| COMFAIR | Commander Fleet Air |
| COMNAVAIRLANT| Commander Naval Air Force Atlantic |
| COMNAVAIRPAC | Commander Naval Air Force Pacific |
| CO | Commanding Officer |
| DESIG | Designation |
| DSA | Defense Supply Agency |
| EC | Exception Code |
| E&E | Examination and Evaluation |
| FIIN | Federal Item Identification Number |
| FSN | Federal Stock Number |
| FYDP | Five Year Defense Plan |
| GSA | General Supply Agency |
| GSE | Ground Support Equipment |
| I | Intermediate |
| ICP | Inventory Control Point |
| ILS | Inventory Logistics Support |
| IMA | Intermediate Maintenance Activity |
| IMRL | Individual Material Readiness List |
| IT | Item |
| Abbreviation | Description |
|--------------|-------------|
| LAMS | Local Asset Management Subsystem |
| LCN | Local Control Number |
| MAW | Marine Air Wing |
| MC | Management Code |
| MDCS | Maintenance Data Collection System |
| MOD | Model |
| MSO | Material Support Office |
| NALCOMIS | Naval Aviation Logistics Command Information System |
| NAMP | Naval Aviation Maintenance Program |
| NARF | Naval Air Rework Facility (Short for NAVAIREWORKFAC) |
| NAS | Naval Air Station |
| NASCR | Naval Air Systems Command Representative (Short for NAVAIRSYSCOMREP) |
| NASCRL | Naval Air Systems Command Representative Atlantic (Short for NAVAIRSYSCOMREPLANT) |
| NASCRP | Naval Air Systems Command Representative Pacific (Short for NAVAIRSYSCOMREPAC) |
| NAVAIR | Naval Air Systems Command (Short for NAVAIRSYSCOM) |
| NAVAIRENGCEN | Naval Air Engineering Center |
| NAVAIREWORKFAC | Naval Air Rework Facility |
| NAVAIRSYSCOM | Naval Air Systems Command |
| NAVAIRSYSCOMHQ | Naval Air Systems Command Headquarters |
| NAVAIRSYSCOMREPLANT | Naval Air Systems Command Representative Atlantic |
| NAVAIRSYSCOMREPAC | Naval Air Systems Command Representative Pacific |
| NAVAIRTESTCEN | Naval Air Test Center |
| NICRISP | Navy Integrated Comprehensive Repairable Induction Scheduling Program |
| NIIN | National Item Identification Number |
| NO | Number |
| NSA | National Supply Agency |
| NSF | Navy Stock Fund |
| NSN | National Stock Number |
| O | Organizational |
| O/H | On-Hand |
| OMA | Organizational Maintenance Activity |
| O&MN | Operations and Maintenance, Navy |
| OPN | Other Procurement, Navy |
| OPNAV | Office Chief of Naval Operations |
| OPTAR | Operational Target Budget Report |
| OSIP | Operational and Safety Improvement Program |
| PAMN | Procurement Aviation and Missile, Navy |
| PEMA | Planned Equipment Management Application |
| PGSE | Peculiar Ground Support Equipment |
| PM | Planned Maintenance |
| Abbreviation | Description |
|--------------|-------------|
| PN | Part Number |
| POM | Program Objectives Memorandum |
| P/P | Pre-positioned |
| QTY | Quantity |
| R&D | Research and Development |
| RDT&EN | Research, Development, Training and Education, Navy |
| REC | Received |
| SCN | Ship Construction, Navy |
| SEAMS | Support Equipment Asset Management System |
| SELS | Support Equipment Lists |
| SERS | Support Equipment Requirement Sheets |
| SR | Serial |
| T | Depot |
| TOT | Total |
| TPON | Tentative Program Objectives Memorandum |
| TR | Transaction Report |
| TRANS | Transaction |
| TYCOM | Type Commander |
| UIC | Unit Identification Code |
| USS | United States Ship |
| VAMOSC | Visibility and Management of Support Costs |
| VAST | Versatile Avionics Shop Test |
| WC | Work Center |
The following is a list of the most important and frequently used terms in the field of computer science:
1. Algorithm: A step-by-step procedure for solving a problem or performing a task.
2. Data Structure: A way of organizing data that allows efficient access, modification, and manipulation.
3. Database: An organized collection of data stored in a computer system.
4. Database Management System (DBMS): Software that manages databases and provides an interface for users to interact with them.
5. Encryption: The process of converting information into a code so that only authorized parties can understand it.
6. Hashing: A process of converting data into a fixed-size string of characters, typically used for data integrity checks.
7. Interface: A way for two systems to communicate with each other.
8. Network: A collection of computers and devices connected together to allow communication and sharing of resources.
9. Operating System (OS): A software program that manages computer hardware and software resources and provides common services for computer programs.
10. Programming Language: A formal language designed to be used by humans to express instructions to a computer.
11. Query: A request for information from a database.
12. Security: The protection of data and systems from unauthorized access, use, disclosure, disruption, modification, or destruction.
13. Software: A set of instructions that tell a computer what to do.
14. System: A collection of interrelated components that work together to achieve a common goal.
15. User Interface (UI): The part of a computer system that interacts with the user, allowing them to input commands and receive feedback.
16. Virtual Machine (VM): A software implementation of a computer system that runs on top of another computer system.
17. Web Application: A software application that runs on a web server and is accessed through a web browser.
18. Wireless Network: A network that uses radio waves to transmit data between devices.
19. XML: eXtensible Markup Language, a markup language that defines a set of rules for encoding documents in a format that is both human-readable and machine-readable.
20. YAML: Yet Another Markup Language, a data serialization language that is easy to read and write, and is commonly used for configuration files.
REFERENCES
1. Aviation Supply Office, *Ground Support Equipment Data Recommendation*, Report UDI-E-21001D, 1 April 1975.
2. Aviation Supply Office, *Consolidated Ground Support Equipment for Foreign Military Sales List*, Report UDI-L-21448, 1 April 1976.
3. Aviation Supply Office, *Consolidated Ground Support Equipment List*, Report UDI-L-2100D, 1 April 1975.
4. COMNAVAIRLANT INST 7310.5E, *Aviation Fleet Maintenance Funds*, 22 January 1973.
5. COMNAVAIRLANT INST 7310.6, *IMRL Outfitting Funds*, 28 September 1971.
6. COMNAVAIRLANT INST 13850.20C, *IMRL Program*, 3 March 1975.
7. Department of the Navy, *Programming Manual*, 5 June 1971.
8. General Dynamics Corporation, *Fiscal and Life Cycles of Defense Systems*, March 1976.
9. Headquarters Naval Material Command, *Improved Aviation Repairables Management Afloat*, 17 December 1975.
10. Management Systems Development Office, *Maintenance/Supply Support Data Flow Operational Flow Diagrams (OFDs) Current Functions*, Volume 1 of 2, January 1976.
11. Management Systems Development Office, *Maintenance/Supply Support Data Flow Operational Flow Diagrams (OFDs) Supporting Notes*, Volume 2 of 2, February 1976.
12. NAVAIRSYSCOMHQ INST 4440.4, *Planned Equipment Management Application*, 6 October 1972.
13. NAVAIRSYSCOMHQ INST 5400.72, *Policy and Responsibilities for the Selection, Design, Approval, Ordering, Delivery and Logistics Support of Ground Support Equipment*, 20 June 1973.
14. NAVAIRSYSCOMHQ INST 5400.18, *Program Manager for Ground Support Equipment*, 6 July 1967.
15. Naval Air Systems Command, *AR-21C Aeronautical Requirement Ground Support Equipment*, 1 February 1974.
16. Naval Air Systems Command, *GSE Acquisition Manager's Handbook*, April 1972.
17. Naval Air Systems Command Letter AIR 41712:FJS Serial 436 to Chief of Naval Operations, Navy Internal Audit Report 130032 dated 15 March 1973, "Servicewide Audit of Aeronautical Ground Support Equipment Management," 18 April 1974.
18. Naval Air Systems Command, *Operations and Maintenance, Navy FY-77 Congressional Submission, Exhibit P-5*, unpublished, 1976.
19. Naval Air Systems Command, *Operations Manual Local Asset Management Subsystem (LAMS)*, 1 August 1976.
20. Naval Area Audit Service, *Atlantic Fleet Special Review of AFM Funds*, unpublished, 1977.
21. Naval Area Audit Service, *Service-wide Audit of Aeronautical Ground Support Equipment Management*, Report 130032, 15 March 1973.
22. Naval Aviation Integrated Logistics Support Center, *Final Integration of the Closed-Loop Inventory Control System to the AMMRL Program*, 8 August 1974.
23. Navy Fleet Material Support Office, *Aircraft Maintenance Cost Report*, Report MSE 4790.A2391-01, 19 August 1976.
24. Navy Fleet Material Support Office, *3-M Aviation Organizational Code Master Listing*, Report MSO 4790.A2065-01, 19 July 1976.
25. OPNAV INST 4790.2A, *Naval Aviation Maintenance Program*, 18 June 1973.
| No. | Recipient | Address | Copies |
|-----|---------------------------------------------------------------------------|------------------------------------------------------------------------|--------|
| 1 | Library, Code 0142 | Naval Postgraduate School | 2 |
| | | Monterey, California 93940 | |
| 2 | Department Chairman, Code 54Js | Department of Administrative Sciences | 2 |
| | | Naval Postgraduate School | |
| | | Monterey, California 93940 | |
| 3 | Professor F. Russell Richards, Code 55Rh | Department of Operations Research | 1 |
| | | Naval Postgraduate School | |
| | | Monterey, California 93940 | |
| 4 | CDR John C. Tibbitts, Code 54Ti | Department of Administrative Sciences | 1 |
| | | Naval Postgraduate School | |
| | | Monterey, California 93940 | |
| 5 | CDR W. P. Searcy | 8106 Ainsworth Avenue | 1 |
| | | Springfield, Virginia 23518 | |
| 6 | Library | Navy Supply Corps School | 2 |
| | | Athens, Georgia 30601 | |
| 7 | LT Jim Bohannon | Maintenance Control Officer | 1 |
| | | VF-41 | |
| | | FPO New York, New York 09501 | |
| 8 | LCDR Richard L. Mosher, USN | Navy Supply Corps School (Staff) | 2 |
| | | Athens, Georgia 30601 | |
1. **Introduction**
The purpose of this report is to provide an overview of the current state of research in the field of artificial intelligence (AI) and its potential applications in various industries. The report will also discuss the ethical considerations that must be taken into account when developing and implementing AI technologies.
2. **Current State of Research**
Recent advancements in machine learning algorithms have led to significant improvements in the accuracy and efficiency of AI systems. These developments have enabled AI to be applied in a wide range of applications, including natural language processing, computer vision, and robotics.
3. **Potential Applications**
AI has the potential to revolutionize many industries by automating routine tasks and improving decision-making processes. Some examples of potential applications include:
- **Healthcare**: AI can be used to analyze medical images and assist doctors in diagnosing diseases.
- **Finance**: AI can be used to predict market trends and identify fraudulent transactions.
- **Transportation**: AI can be used to optimize traffic flow and improve safety on roads.
4. **Ethical Considerations**
As AI becomes more prevalent, it is important to consider the ethical implications of its use. Some key issues to address include:
- **Bias**: AI systems can perpetuate biases if they are trained on biased data.
- **Privacy**: AI systems can collect and analyze large amounts of personal data, raising concerns about privacy.
- **Accountability**: It is important to ensure that AI systems are transparent and accountable for their actions.
5. **Conclusion**
In conclusion, AI has the potential to bring about significant changes in many industries. However, it is important to carefully consider the ethical implications of its use and take steps to address any potential issues. By doing so, we can ensure that AI is developed and implemented in a responsible and ethical manner.
The following is a list of the most important and frequently used terms in the field of computer science:
1. Algorithm: A step-by-step procedure for solving a problem or performing a task.
2. Data Structure: A way of organizing data that allows efficient access, modification, and manipulation.
3. Database: An organized collection of data stored in a computer system.
4. Database Management System (DBMS): Software that manages databases and provides an interface for users to interact with them.
5. Encryption: The process of converting information into a code so that only authorized parties can understand it.
6. Hashing: A process of converting data into a fixed-size string of characters.
7. Interface: A way for two systems to communicate with each other.
8. Network: A collection of computers and devices connected together.
9. Operating System (OS): A software program that controls the hardware and software resources of a computer.
10. Programming Language: A set of instructions that a computer can understand and execute.
11. Query: A request for information from a database.
12. Security: The protection of data and systems from unauthorized access, use, disclosure, disruption, modification, or destruction.
13. Software: A set of instructions that tell a computer what to do.
14. System: A collection of related components that work together to achieve a common goal.
15. User: An individual who uses a computer or other electronic device to perform tasks.
16. Virtualization: The creation of virtual versions of physical resources such as servers, storage, and networks.
17. Web Application: A software application that runs on a web server and is accessed through a web browser.
18. Wireless Network: A network that uses radio waves to transmit data between devices.
19. XML: eXtensible Markup Language, a markup language that defines a set of rules for encoding documents in a format that is both human-readable and machine-readable.
20. YAML: Yet Another Markup Language, a markup language that is used to represent structured data.
Thesis
M84077 Mosher
c.1 G-S-E management and funding.
29 DEC 78
24 MAY 84
OCT 31 85
10 AUG 85
25009
29561
30567
31057
Thesis
M84077 Mosher
c.1 G-S-E management and funding.
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Invisible Injuries
Invisible injuries are the hardest injuries for children to understand. Why does a parent seem angry? Or sad? Why does he forget things or just seem “out of it”? It’s crucial to find a way to explain these changes to your children in ways they can understand.
» You can explain that sometimes injuries are invisible, the way a stomachache is: The hurt is inside. When you look at the person, you can’t see the hurt inside, but it is there. Help your child understand that the injury may change the way his injured parent feels, talks, and acts. Everything from forgetfulness to anger and frustration to sleepiness can be symptoms of this invisible injury.
» Praise your child’s strength, bravery, and helpfulness, but let him express his fears, too.
» You may also need to explain a parent’s immobility or nonresponsiveness: “The doctors want Dad to rest,” or “This medicine helps Dad get well, but it also makes him sleepy.”
» Validate your child’s confusion, and make sure that he knows he is not to blame. For example, you can say, “I know Mom isn’t smiling as much, but she still loves you.”
Rehabilitation
Once the service member is stable and starting the recovery process, new issues will arise. Help your child understand that this can be a long process. Say, “It’s a long road, but we’ll get through it, one step at a time.”
❤️ Encourage your child to ask questions about the injury: “Does it hurt?” “Are you a robot with superpowers (in the case of a prosthetic device)?” “Will Dad always have trouble talking or remembering things?” “Will a new leg grow back?” Show her how the prosthesis or wheelchair works. Most children are curious and adaptable. Take advantage of that quality!
❤️ Your child may ask, “Is Mom going to get better?” You can say, “Some very good doctors are working hard to help her get better. You’re helping, too! It’s going to take some time and some hard work, and we may need to learn to do some things a new way. But we’ll all work together as a family.”
❤️ Try to find a happy medium between protecting your child and acknowledging the difficult reality of what she is experiencing. “Yes, your dad is different, but he’s still Dad. He still loves you.” Acknowledge what’s changed, but also stress what’s stayed the same. Remind your child: “We were a strong family before, and we’ll be a strong family again. We’ll all heal together.”
Let your child help with therapy! Even the youngest may be able to offer a sip of water or clap for a first step taken. She can decorate a prosthetic with photos or add a personalized plate to a wheelchair: “Mom on Wheels!” By drawing colorful signs to label objects or illustrate short phrases, your child can help Dad communicate or remember important words. Getting your child involved may ease her fears while helping her reconnect with the parent who is injured.
❤️ Give your child a “kissing hand.” Kiss the center of her palm and enfold it. Tell the child the kiss will stick, even when it’s washed. When she puts her hand to her cheek, the kiss will spread love all through her body, reminding her she’s loved – and that will never change.
Express Yourself: Signs of Stress
» Children may sometimes express themselves not in words but in behavior. Each child may react to stress and sadness differently. Be aware of changes, and be sure to get counseling if it’s needed. Some signs your child may need help handling things: acting out, being extra clingy, being withdrawn or overly active, experiencing nightmares or sleeplessness, and losing developmental milestones (such as bathroom skills). And if your child is anxious about going to school, know that this may actually reflect a fear of leaving home. You can discuss this with your child’s teachers, social workers, and other counselors.
Reintegration
As the injured parent continues to rehabilitate, your family is learning hopeful ways of going on and is starting to make long-term plans. For some, this may mean moving back to the base; for others, returning to a nonmilitary environment. Encourage your child to view such changes as part of a journey and as a way for your family to continue to grow and to experience new situations – together.
Explain that the process isn’t over yet: “Getting better can take a long time.” In many cases, therapy will be ongoing, doctors and medicines may continue to be part of everyday life, and there may be additional hospital stays.
The returning parent may not remember things. She may be irritable and emotionally unavailable. Offer reassurance: “Mom needs some quiet time to think about things.” Make sure there are relaxing places in your home, outside, or elsewhere, where the returning parent (or anyone else in the family) can go to take a break.
Take advantage of the services available from your community, including family support groups, counselors, and medical professionals. You may do so anonymously if you prefer.
As the situation changes, you may have to adjust these routines. When possible, keep big changes to a minimum, especially at first.
Invite your child to think of new ways to do things. A parent who has given an arm could offer a one-armed hug. And a parent who has given a leg could start enjoying games of wheelchair tag or soccer. Try a weekend breakfast picnic or a family naptime lullaby!
Older siblings, especially those who are more comfortable with change, can teach and reassure a younger child about handling a new and difficult situation. They can also be great ambassadors to the community at-large.
Encourage your child to share his new accomplishments and skills with the newly returned parent. Your child has learned to hop, get dressed, and more. Enjoy these successes together. In the same way, your child can cheer when the injured parent masters a new skill or relearns a task.
Now that everyone is home again, you may need to reassign responsibilities. Take care not to make your child feel as if he’s being demoted. Stress that you can all continue to share in everyday activities, but in a different way. After the readjustments, come up with some special, new family routines: Perhaps at the end of the week, each family member can tell about “the best thing of the week.” Or your family can enjoy a session of weekend evening stargazing, with a cup of cocoa or lemonade in hand. Do things that will bring you together!
Be flexible. Everyone will have to get used to new routines – for the hospital, for home, for therapy.
Changes are forever. This is your new family, your “new normal.” Have faith: Children can adjust. Help your child understand that paths in life are always changing; flexibility and resiliency make it possible to negotiate the turns. Most of all, the changes are part of an experience and a journey that your whole family will take together.
Turn the page to find out how to connect with us online. »»»
Some helpful Web sites:
www.asymca.org
www.centerforthestudyoftraumaticstress.org
www.deploymentkids.com
www.militarychild.org
www.militaryonesource.com
www.militarystudent.org
www.nmfa.org
www.parentsasteachers.org
www.pva.org
www.saluteheroes.org
www.survivingdeployment.com
www.uso.org
www.woundedwarriorproject.org
www.zerotothree.org/military
For a printable copy of this magazine, and more downloadable material and family activities, please visit www.sesameworkshop.org/tlc. Feel free to share the information with friends and family.
We want your opinion!
Please respond to a few questions about “Talk, Listen, Connect.”
Take the survey at www.sesameworkshop.org/tlc.
TALK, LISTEN, CONNECT: DEPLOYMENTS, HOMECOMINGS, CHANGES – A SPECIAL MAGAZINE FOR PARENTS AND CAREGIVERS
Vice President, Outreach and Educational Practices: Jeanette Betancourt, Ed.D.
Content Director: María del Rocío Galarza
Editor in Chief: Rebecca Herman
Writer: Leslie Kimmelman
Editorial Assistant: Beth Sharkey
Line/Copy Editor: Jeanette Leardi
Proofreaders: Helena J. Carey, Diane Feldman
Vice President, Marketing and Brand Strategy: Suzanne Duncan
Vice President, Creative Development: Janet Boye Jenkins
Director, Marketing and Creative Services: Giao Roever
Designer: Kristin Richards Lauricella, Lauricella Design
Senior Project Director: Lynn Chwatsky
Director, Domestic Research: David Cohen
Project Coordinator: Debbie Plate
Spanish Language Coordinator: Helen Cuesta
Spanish Translation: Ruby Norfolk/Editing Partners
Spanish Proofreading: Ninoska Marcano, Liz Fernandez
Sesame Street Magazine
Art Director: Colleen Pidel
Deputy Editor: Kama Einhorn
Associate Editor: Mary Buri
Special thanks: the entire TLC II team
SESAME WORKSHOP
President and Chief Executive Officer: Gary E. Knell
Chief Operating Officer: H. Melvin Ming
Executive Vice President, Education, Research, and Outreach: Lewis Bernstein, Ph.D.
Executive Vice President, Distribution: Terry Fitzpatrick
Executive Vice President, Chief Administrative Officer: Susan Kolar
Executive Vice President, International: Daniel Victor
Executive Vice President, Chief Marketing Officer: Sherrie Rollins Westin
ADVISORS
Patty Barron, Director, Youth Initiatives Department, National Military Family Association (NMFA)
Charles F. Bolden, Jr., MGEN, U.S. Marine Corps (Ret), CEO of JACKandPANTHER LLC
Stephen J. Cozza, M.D., COL, U.S. Army (Ret), Professor of Psychiatry, Uniformed Services University of the Health Sciences
Amy Goyer, National Coordinator, AARP Foundation Grandparent Information Center
Lil Ingram, Adjutant General Spouse and North Carolina National Guard Family Programs (NCNG) Advisor, North Carolina National Guard/Office of The Adjutant General
Delores F. Johnson, Director, Family Programs, Family & Morale, Welfare & Recreation Command, U.S. Army
Mary M. Keller, Ed.D., Executive Director, Military Child Education Coalition (MCEC)
Sylvia Kidd, Director of Family Programs, Association of the United States Army (AUSA)
Harold Kudler, M.D., Associate Clinical Professor, Department of Psychiatry & Behavioral Sciences, Duke University
Nancy Kules, spouse, and Ryan Kules, CPT, U.S. Army (Ret), Service Disabled Iraq Veteran, Wounded Warrior Project, Warriors to Work, Program Manager
Michael L. López, Ph.D., Executive Director and Co-Founder, National Center for Latino Child & Family Research
Corina Mellado Miller, Licensed Independent Clinical Social Worker, Consultation-Liaison Service/Preventive Medical Psychiatry, Department of Psychiatry, Walter Reed Army Medical Center
Debbie Paxton, R.N., M.S.N., Key Volunteer Adviser & General Officer Spouse, U.S. Marine Corps
Patty Shinseki, member, advisory boards of: U.S. Army Amputee Care Program, Walter Reed Medical Center; Citizen-Soldier Support Program, and Military Child Education Coalition (MCEC)
Jean Silvernail, Ed.D., Chief, Military Child Education, Pacific Command
Barbara Thompson, Director, Office of Family Policy/Children & Youth, Office of the Principal Deputy Under Secretary of Defense
Janice Witte, Early Childhood Consultant
Printed by a Carbon Zero company using vegetable based inks. | <urn:uuid:21f3ec75-0745-48a9-9948-66ada6af16c5> | CC-MAIN-2015-11 | http://www.sesamestreet.org/cms_services/services?action=download&uid=dd4393cd-5834-11dd-9af7-19d7c36f0b49 | 2015-03-01T19:20:31Z | crawl-data/CC-MAIN-2015-11/segments/1424936462548.53/warc/CC-MAIN-20150226074102-00273-ip-10-28-5-156.ec2.internal.warc.gz | 746,153,981 | 2,441 | eng_Latn | eng_Latn | 0.913436 | eng_Latn | 0.993066 | [
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Chekika
This area is named after Chief Chekika, a powerful American Indian leader during the Seminole War era.
Walking through Chekika, it is hard to imagine that people have lived in and shaped this environment for at least 6,000 years. From the time American Indians made this hammock their home until it was acquired by the National Park Service in 1991, its history is an intertwined story of humans and the Everglades. Use this guide to explore this land rich in history and nature.
Boardwalk Access
Begin exploring Chekika as you enter through the boardwalk; walking gradually from sawgrass prairie into a higher elevation area with hardwood trees surrounded by lower seasonally flooded areas. In the Everglades, these ‘tree islands’ are called hammocks and stand out from a distance over the sawgrass.
As the Everglades environment evolved, various American Indian tribes lived on these hammocks and helped shape the unique environments that exist today. The tree islands provided higher ground on which houses and gardens could be constructed and defended. Evidence from these occupations can be found in the form of dense deposits of pottery, shell and other animal and plant remains.
Lake Chekika
Anglo-American pioneer Sam Grossman bought several square miles of land including this hammock in 1917. He farmed some of the land without much success due to the difficulty of getting his produce to market.
In the late 1940’s, the Grossman family ventured into oil exploration and a sample well was drilled. Instead of finding oil, the well produced a supply of sulfuric brackish 74° water which spurted up 6 feet into the air and produced 3 million gallons of water per day. This water flow came mainly from the Floridan aquifer.
At a time when antibiotics were not highly effective and bubbling mineral spring baths were considered to have healing powers, this area was developed into a park that offered therapeutic recreation. Despite the sulfuric smell, it was highly visited and became a popular swimming beach for the eastern Everglades, known as Grossman’s Mineral Springs and Lake Chekika Park.
The Grossman family owned the hammock until 1970 when it was sold to the state of Florida. Through the years the name of the hammock changed to Grossman Hammock State Park, to Chekika State Recreational Area, and to the current, Chekika Day Use Area of Everglades National Park.
The original well was sealed off when it was discovered that the sulfuric brackish water was polluting the Everglades and the freshwater Biscayne aquifer located above the Floridan aquifer. New wells were drilled into the Biscayne aquifer to pump cleaner water to artificially flow through Lake Chekika and out into the River of Grass.
Alligator Hole
This “borrow” pit was dug to artificially reinforce the banks of Lake Chekika. The small fishing pond was about 20 feet deep and it provided another recreational opportunity for visitors. Alligators were present and at times would cross under the bridge and venture into the lake. Visitors who saw this occurrence recalled that the alligators stayed in their own area of Lake Chekika and did not bother people in the swimming area.
Chekika Picnic Area
Chief Chekika was an influential Seminole Indian leader during the Seminole Wars. He was a man of large stature who was said to be over six feet tall. Some historical accounts describe him as a “Spanish Indian”, a descendent of the Calusa, archaic people of the Everglades that returned from Cuba and became part of the Seminole resistance against displacement.
In 1842, Chief Chekika gathered some tribesmen on a hammock and planned a raid on Indian Key, south of Everglades National Park, which was an important settlement during the 1840's. This raid resulted in the death of Dr. Henry Perrine, who had plans to develop the Everglades into tropical fruit plantations.
United States Army troops led by Colonel Harney set out to find Chief Chekika. Discovered on a hammock about ten miles north of present day Chekika, Chief Chekika was killed and then hung as a warning to others. The Seminoles would go on to fight the U.S Army until the war ended in 1858.
**Nature Trail**
Nature trails were cleared when the Grossman family owned the park. Hurricanes played a key role in changes to this hammock, causing irreparable damage to the site’s infrastructure. With the pumps devastated, Lake Chekika was gone and the park was closed. The site reverted back to a dense hammock.
Take the reopened trail here and enjoy the experience of walking through this densely vegetated atmosphere. Can you see the lush flora of this hammock that includes hackberry, wild fruit, octopus live oak, pigeon plum, mastic, coconut, fiddleleaf fig and gumbo limbo trees as well as May ferns and air plants?
**Fountain**
The artesian fountain in the picture surged at a rate of 3 million gallons a day. It required no electric pumps to make it flow. The original well’s rate was constant throughout the day, with two exceptions. The first being the Alaskan earthquake in 1964. It was felt in Florida about 60 to 90 minutes after the first shock was recorded in Alaska, causing the well to produce 6 million gallons of water per day. The Grossman family reported that the waters overflowed and washed out the sandy beaches. The family had to enlarge the lake and replace the sand with material from the alligator hole. The second exception occurred in 1970 after an earthquake in California. This time the well produced 4 million gallons of water a day.
Lake Chekika will probably never be a swimming lake again. Even though the roar of the waterfall, the sounds of children laughing and splashing, and the smell of sulfur are gone, Chekika can still offer tranquility, a glimpse of history and an opportunity to observe wildlife that is unique to Everglades National Park.
Thank you for visiting and we hope you come back. Prepare a picnic, bring a comfortable chair, a book and a pair of binoculars. Let yourself be surrounded by history and the Everglades. | <urn:uuid:326f2503-cce8-4d14-9d3b-a61ef65c9d9d> | CC-MAIN-2015-11 | http://www.nps.gov/ever/planyourvisit/loader.cfm?csModule=security/getfile&pageID=428525 | 2015-03-01T21:07:56Z | crawl-data/CC-MAIN-2015-11/segments/1424936462555.21/warc/CC-MAIN-20150226074102-00002-ip-10-28-5-156.ec2.internal.warc.gz | 645,502,952 | 1,301 | eng_Latn | eng_Latn | 0.998677 | eng_Latn | 0.998696 | [
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Examining the role of biodiversity in managing Great Lakes fishery resources
by:
Larry Crowder\textsuperscript{2}, Baird Callicott\textsuperscript{3}, Edward Crossman\textsuperscript{4}, Becky Cudmore\textsuperscript{5}, Lisa Eby\textsuperscript{2}, and Karen Mumford\textsuperscript{5}
\textsuperscript{2} Stephen Toth Professor of Marine Biology
Nicholas School of the Environment
Duke University Marine Laboratory
135 Duke Marine Lab Road
Beaufort, NC 28516-9721
\textsuperscript{3} Department of Philosophy and Religion Studies
University of North Texas
P.O. Box 13526
Denton, TX 76203-6526
\textsuperscript{4} Department of Ichthyology and Herpetology
Royal Ontario Museum
100 Queen's Park
Toronto, Ontario M5S 2C6
\textsuperscript{5} CGRER
200 IATL
University of Iowa
Iowa City, IA 52242
December 1998
\textsuperscript{1}Project completion reports of Commission-sponsored research are made available to the Commission's Cooperators in the interest of rapid dissemination of information that may be useful in Great Lakes fishery management, research, or administration. The reader should be aware that project completion reports have \textit{not} been through a peer review process and that sponsorship of the project by the Commission does not necessarily imply that the findings or conclusions are endorsed by the Commission.
Project Title
Examining the role of biodiversity in managing Great Lakes fishery resources
Principal Investigator(s) Project Initiation Date
L. Crowder, B. Callicott, and E. Crossman 1 July 1995
Project Completion Date
30 June 1998 (extensions: values and zoogeography, Dec. 1998; ecology, Feb. 1999)
Project Objectives
1. Historical biodiversity and biogeography: species checklist (yr 1), extirpations and introductions (yr 1,2), historical fishery dynamics (yr 1,2), and organization of species and stocks (yr 2). (Crossman)
2. Food web and ecosystem implications: conserving biodiversity in aquatic systems (yr 1), implication of changes in biodiversity of the Great Lakes (yr 1,2), and feedback to stakeholders (yr 3). (Crowder)
3. Conceptual and values clarification and identification of ethics: concept clarification (yr 1), values clarification (yr 1,2), science/management relationship (yr 1,2), and concept and values clarification feedback (yr 2). (Callicott)
4. Synthesis of historical biodiversity and biogeography, food web and ecosystem implications, and conceptual and values clarification (yr 3). (Crowder, Crossman and Callicott)
Abstract
Our project began with three distinct objectives, each under the guidance of one of the PIs. As the research developed, we began to cross-link our efforts as appropriate. For example, as we documented fish species gains and losses, we began to examine the food webs and ecosystem implications of these changes. As concepts were clarified or basic scientific relationships between biodiversity and function were reviewed, we combined our insights and sought to make them specific to the Great Lakes. Finally as all the efforts began to merge, we examined the time course of changes in the biodiversity and function of Great Lakes fishery ecosystems in the context of changing human values, the increasing diversity of constituents (and their values) and the complexity of governance structures. The workshops were an integral part of this evolving synthesis. Each workshop sought to integrate two or more of the initial research efforts and to present them to a widening audience for evaluation and critique. The first workshop involved primarily academics interested in conservation concepts and the implications of changing biodiversity for aquatic systems. The second included both academics and fisheries managers from across the Great Lakes. The final synthesis was presented at a "workshop for citizens" which included a wide range of constituents and involved presentations and facilitated discussions. The proceedings of the "citizen's workshop" are in press and will be distributed to interested parties by the GLFC. The Biodiversity Task members continue to prepare a GLFC Technical Report summarizing the results of the Task for publication in spring 1999. We already have published a number of peer-reviewed papers and expect to continue publishing portions of this work over the next year. We present the main results of each of the project objectives below.
Historical biodiversity and biogeography plus trend over time for various impacts (Crossman and Cudmore)
We have documented the historical changes in species diversity and the factors which have influenced these changes. As part of the above, we made contact with involved agencies and individuals around the Great Lakes in order to: 1) have them check information prepared by us, 2) request that each send to us specific information required in the preparation of various deliverables, 3) organize and interpret documents found in literature searches, and those forwarded by Great Lakes agencies prior to use in preparation of deliverables, 4) distribute individual draft deliverables (e.g. checklists) to individuals seeking the information for their responsibilities (e.g. protocol for aquaculture on Great Lakes, preparation of CDROMs by University of Guelph on Great Lakes aquatic flora and fauna, for consideration of species by the Committee on the Status of Species at Risk in Ontario (COSSARO), for reference by USFWS, Green Bay WI, for use at Notre Dame University in the study of dispersal of fishes).
Completed deliverables by objective include the following (*= current and possible future publications):
**Objective 1.1 Species checklist**
1. *Established species (native and non-native) checklist by lake (Cudmore and Crossman)
2. Endemism and Type Localities (Crossman)
3. Compilation of legislation regarding the biodiversity of the fishes of the Great Lakes (Pedersen, Hébert, Crossman and Cudmore)
4. Some Human Classifications of Species of Great Lakes’ Fishes (Crossman)
**Objective 1.2 Extirpations and introductions**
1. List of Extirpated/Extinct species (Crossman and Cudmore)
2. *Introduced species (reported and established) checklist by lake with vectors used (Crossman and Cudmore)
3. List of potential invaders into Canada and the Great Lakes with Global Warming (Crossman and Cudmore)
4. List of species invasive into the Canadian waters of the Great Lakes (Crossman and Cudmore)
5. *Invasive Capabilities and ‘Original Fish Fauna’ (Crossman)
6. Direct and Indirect Impacts of Aquaculture on the Fish Resources of the Great Lakes (Crossman)
**Objective 1.3 Historical fishery dynamics**
1. Impact of Historical Native Fisheries on the Biodiversity of the Fishes of the Great Lakes (Hébert, Crossman and Cudmore)
2. History of the Great Lakes Commercial Fishery and its Impacts on the Biodiversity of the Fishes of the Great Lakes (Cudmore)
3. Commercial landings - data collected and sent to Stuart Ludsin (The Ohio State University) for compilation on GLFC’s website as per Randy Eshenroder’s request. Compiled 1990s Canadian landings and US Lake Superior Tribal commercial landings compiled (Cudmore)
4. Recreational fishery - scattered catch and effort data
5. Recreational fishing tournament data compiled with respect to possible impact on the biodiversity of the fishes of the Great Lakes (possibly to be included in GLFC Technical Report)
6. Charter boat data compiled with respect to possible impact on biodiversity (possibly to be included in GLFC Technical Report)
**Objective 1.4 Organization of species and stocks**
1. Substrate as an example of habitat (possibly to be included in GLFC Technical Report)
2. Stocks (possibly to be included in GLFC Technical Report)
3. Horizontal and vertical distribution of species (possibly to be included in GLFC Technical Report)
4. Contaminants - some time trend analysis of contaminant levels in fishes (Pedersen, Crossman and Cudmore) (possibly to be included in GLFC Technical Report)
**Recommendations**
The following recommendations (in no particular order) were derived from our experience in attempting to gather and compile information and data from agencies around the Great Lakes.
⇒ The knowledge of the distribution (horizontal and vertical) of the fishes of the Great Lakes is very poorly known. The only exceptions might be the limited number of species included in studies of the status of the forage base, largely for salmonids, and the indirect knowledge by assessment and commercial fishing of the locations of some stocks of some species of commercial and recreational significance. The biodiversity, and future changes in it, cannot be properly monitored without more thorough knowledge of the real extent of distribution of a larger representation of the fauna. Distributional studies should be emphasized and coordinated.
⇒ Future considerations and study of biodiversity of the Great Lakes should not exclude segments of the fauna which are directly interlinked with the fishes as was decided by GLFC for this task.
⇒ Attempt to convince governments, especially the federal governments, that it is unwise to over-emphasize one segment of a problem to the exclusion of others. This applies even though the other may not, as yet, have created an impact equal to that of those segments emphasized. The highly publicized ruffe and one of two gobies, have exerted a demonstrable impact on natives species, but they constitute less than half of the non-indigenous species which have arrived in the Great Lakes with ballast water. In more general terms, the same imbalance of publicity applies to at least six other vectors involved in the appearance in the Great Lakes of non-indigenous species.
⇒ The Task members decided to include lakes Nipigon and St. Clair as Great Lakes, in contrasts to the usual reference to five Great Lakes. Information gathered in our work, and the growing commitment to the concept of ecosystem management suggest this idea of seven Great Lakes deserves continuation.
⇒ The biology, etc., of the fishes of the Great Lakes are not organized according to political boundaries. With the exception of a few cases, the study, documentation, and management of the fishes are being carried out with too much emphasis on state, provincial and national boundaries.
⇒ The status and nature of information needed for meaningful future monitoring of the environment, populations, biodiversity, and that needed to make management decisions, is extremely poor. This state is largely the result of the virtual independent, uncoordinated action of approximately 12 to 15 provincial, state and federal political units. In regard to the two statements above, New York (Department of Environmental Conservation) and Ontario (Ministry of Natural Resources) should be congratulated for the degree to which they have accomplished this coordination in Lake Ontario.
⇒ Many attempts by us to coordinate information on impacts over time on fish populations were seriously hampered or blocked by the divergence in the ways in which information had been gathered, analyzed, and made available. For example, catch and effort of the recreational fishery are recorded and reported by different agencies in ways which literally prevent the development of lakewide trends over time in catch/unit effort.
⇒ The GLFC should assume the responsibility for the coordination of the ways in which data are gathered and interpreted by all agencies involved.
⇒ The GLFC should assume the responsibility for receiving, checking, and storing the information, and making it available to resource managers, research scientists, and other authorized users around the Great Lakes.
⇒ All resource agencies, universities, independent scientists, and resource user organizations around the lakes should commit themselves to cooperating in ways that will make this coordination possible, and useful to all. For example, in the present attempt to acquire information on various objectives of the Task, the response from Ohio and Indiana were very low whereas that from New York, Michigan and Ontario was high.
⇒ More emphasis must be placed on the gathering of annual or regular information on all aspects of the extraction impact on the fishes. That includes the commercial, tribal and recreational fisheries. The role of the charter boat industry in the recreation fishery is a particular case. Too little is known, or available, on the true extent of the effect of the extraction by these fisheries, and on the relative direct and indirect, economic and social benefits of them.
**Food web and ecosystem implications** (Crowder and Eby)
**Objective 2.1 Conserving biodiversity in aquatic systems**
We have completed a literature review on the conceptual, theoretical and empirical studies on conserving biological diversity in freshwater systems. We examined the conceptual relationships and evaluated the small amount of experimental evidence for the relationships between species diversity and ecosystem functional characteristics including productivity, nutrient recycling, stability, resilience, and resistance. Although there has been a great deal of theoretical work on these ideas, very few experiments have been done to examine these questions. The strongest experimental evidence is from terrestrial plant ecology (Tilman et al. 1996, 1997) and some freshwater mesocosm work (McGrady-Steed et al. 1997).
Highlights of the literature review follow:
*Productivity and biological diversity*: Overall, there is a positive, asymptotic relationship between productivity and diversity. Within a trophic level, impacts of dominant species (species composition) may overwhelm the effects of diversity (Tilman et al. 1996, 1997, Hooper and Vitousek 1997). In many cases a more diverse community is more likely to have one or more species that strongly influence the functioning of the ecosystem, but generally increased diversity leads to increased efficiency in nutrient use and productivity (Tilman et al. 1996). Interactions between productivity and diversity at multiple trophic levels are also positive, as productivity increases an increased number of trophic levels can be supported in the system (e.g. Oksanen et al. 1981, Power 1990).
*Persistence, resistance, stability and biological diversity*: Initially both Elton (1958) and MacArthur (1955) argued for a relationship between diversity and stability. Theoretical models (Gardner and Ashby 1970, May 1971, 1974) found that the more components and greater the connections between components, the less likely the models were to be stable. Further modeling work found increased diversity may stabilize system characteristics but decreases the stability of individual species (King and Pimm 1983). In grassland and aquatic systems during periods of stress, compensatory responses between species (functional complementary) suppress changes in ecosystem process rates or total community biomass while community structure shifted to a more tolerant assemblage (Tilman et al. 1996, Schindler 1990). Components of aquatic communities with less functional redundancy are most vulnerable to disruption of the food web structure and ecosystem function (Schindler 1990).
*Resistance to invasion by exotics and biological diversity*: Much of the work on invasibility and biological diversity has been theoretical modeling work (Post and Pimm 1983, Pimm 1989). Most of their work demonstrates that communities with fewer species had a greater likelihood of being invaded, although this relationship does have an asymptote and the final number of species depended on the connectance of the community. Overall, for a set number of species in the community, one with a higher connectedness is more difficult to invade. In many terrestrial systems, the relationships of communities with higher species richness allowed fewer invaders (Moulton and Pimm 1986, Fox and Fox 1986, Tallamy 1983, Brown 1989). Successful establishment of exotic fishes appear most in communities of low diversity (Taylor et al. 1984), but these are the systems and environments where most of the attempts have been made (Moyle 1985, 1986). It is difficult to come to any broad conclusions from these examples, every database has its confounding factors (e.g. disturbance, proximity to humans, invasion attempts) and there are an equal number of examples where generalities fall short (Lodge 1993). The only experiment examining this question is from a series of aquatic microbial communities with differing levels of diversity. The more diverse microcosms were more resistant to invasion (McGrady-Steed et al. 1997). Nevertheless, every system is invasible.
**Conclusions**
Widespread conceptual generalities about the importance of biodiversity to systems are primary theoretical or anecdotal. In ecosystems there are so many disturbances and stresses, it is difficult to attribute anything to just one aspect, such as changes in species diversity. Reductions in species diversity appear to reduce the system's ability to buffer itself from environmental changes and stressors. By accelerating the rate and magnitude of change in the environment while at the same time homogenizing our ecosystems (e.g. by modifying hydrology or species composition), we are reducing the ability of the systems to cope with stress or perturbations while increasing the assaults on the system. In addition, ecologists are only beginning to understand the role of certain species as "keystone species", "ecosystem engineers", or "strong interactors" whose loss would severly impact the ecosystem processes (e.g. Paine 1980, Power et al. 1996, and Naiman et al. 1988).
A similar, but more elaborate literature review and concept descriptions were presented at our first workshop “Biodiversity and Sustainability in Aquatic Systems”. Since that time we have decided to more extensively address a management perspective on biodiversity including issues such as, differences between the perspectives and scale of ecological results and management considerations, conservation of pristine systems, and goals in the sustainable use of altered ecosystems. For example, one major difference between many of the ecological studies investigating diversity and the needs of managers is that managers are concerned about particular species. Many of the results indicating increased productivity or stability with biodiversity are measurements at the community level, species biomass actually varied more with greater diversity. Compensatory responses of different species resulted in dominant species shifts and biomass flips. Fisheries are not valued (socially or economically) on community biomass but by species. A replacement in the Great Lakes dominant offshore deep-dwelling predator from lake trout (*Salvelinus namaycush*) to burbot (*Lota lota*) may be an unacceptable alternative for the Great Lakes fisheries community.
Objective 2.2 Implications of changes in biodiversity of the Great Lakes
We examined the structural and functional characteristics of the Great Lakes’ food webs through time. Our approach was at the food web level, but we also considered population and ecosystem implications as well. First, we compiled literature to create two databases. One is a bibliographic database (Endnote) and the other (MS Access) includes diet information for the fish communities. Fish community changes, species interactions, and diet studies from the primary literature and research (technical) reports from most of the US agencies and OMNR have been included. Then with available data, we reconstructed food webs for the coldwater community for Lakes Michigan, Ontario, Superior, Huron, and of the cold- and cool-water community in western Lake Erie, Lake Nipigon, and Saginaw Bay. These food webs exemplified both the structural changes in the system, as well as, the degree of diet information available for these systems through time.
Changes in the Great Lakes Foodwebs:
To date 26 fish species and subspecies have been eliminated from one or more of the lakes. There are approximately 27 exotic fish species that have naturally reproducing populations (Cudmore and Crossman, pers comm.).
Figure 1.
In examining the structure of the food webs, we ran into an information bottleneck. The distribution and food habits of every species in the Great Lakes is not well described. Therefore in our evaluation of changes in the food webs, we limited our analyses to areas where information was available. For Lakes Michigan, Ontario, Huron, and Superior, we examined the coldwater food web. For Western Lake Erie, Saginaw Bay and Lake Nipigon, more complete food webs (cool- and coldwater) were examined.
For example, in Lake Michigan loss (or severe depletion) of species began at the turn of the century with the lake sturgeon. By the 1960s, Lake Michigan had virtually lost its native coregonin assemblage (Figure 1). The assemblage of ciscoes in the Great Lakes could be proclaimed as the most important loss for the Great Lakes. Not only were many of these species endemic to the Great Lakes, but no species have come in and fill the role of these species.
Along with these losses have come many invasive or introduced exotic fishes, many of which are playing a very large role in the system (e.g. stocked or purposely introduced salmonids, alewife, and smelt). Within the Lake Michigan coldwater food web, currently exotics comprise 38% of the species. Lake Nipigon has the lowest percent of exotics in their food web with 5% and Lake Ontario has the most (45%). Obviously these percentages are influenced by how the boundaries are drawn around the food web.
These gains and losses have substantially altered the fish community leading to changes in the food web and community structure of the lakes. For example, the ratio of planktivorous fish to piscivorous fish have decreased drastically in every lake (Figure 2). For example the food webs in Lake Michigan historically had about 16 planktivorous fish and 2 piscivores (ratio of 8). Currently in the Lake Michigan food web, the ratio of planktivores to piscivores is 1.3.
Along with these changes of an increasing number of piscivore per planktivore, we also found the diversity in the diets of the top predators in the system decreased over this time period (Figure 3). In the 1930s, lake trout were consuming about 8 different types of prey in Lake Michigan (Van Oosten 1938), currently all of the top predators in the lake have on average 3 prey species in their stomachs, predominately alewife (Hagar 1984, Stewart and Ibarra 1991).
In addition to describing structural changes, we examined system implications of these changes. From the previously described work we combined our review of the ecological literature, the Great Lakes literature, and the structural changes in the Great Lakes to come up with a series of hypotheses about the functional implications for changes in biodiversity and the fish community changes. At the second workshop these hypotheses were presented with examples from the Great Lakes where we could find a case study to support the hypotheses. During the workshop, a few more implications were discussed that were included into the project list. A few examples of system implications associated with changes in species diversity that have been demonstrated in the Great Lakes ecosystems include:
1) Diversity is related to the ability of the system to buffer from changes. For example in Lake Michigan the alewife crash allowed for an increase in bloater recruitment. The lake experienced strong biomass flips from an alewife dominated to a bloater dominated forage fish community. Although bloaters do not fill the same role as the primary prey for salmonids, there is predation on the younger, pelagic bloaters by the salmonid assemblage. In Lake Ontario where there was a less diverse forage fish community, when alewife declined there was nothing to compensate for the loss.
2) **Food web structure and species present can change where productivity gets expressed.** Stocking of salmonids and the subsequent decrease in the alewife population changed the size structure of the zooplankton population impacting water clarity (Scavia et al. 1986). In addition, invasion by the zebra mussel has been proposed to be shifting energy from the water column in the pelagia to the benthic food web (e.g. Fahnenstiel et al. 1995).
3) **Loss of species results in decreased diversity of trophic chains.** The loss of the coregonin complex in most of the Great Lakes has resulted in a loss of flows from the offshore, deepwater environment. No species or group of species have entered the offshore, deepwater zone of the lake to replace the coregonin complex, thus the production occurring in this area that once became fish is no longer flowing into the food web (Eshenroder 1998).
Our impacts are also changing the food web and ecosystem in ways that we have not previously experienced and little theory is available to make predictions. For example, theory and examples exist to examine how fishing down food webs (loss of top predators) impacts the system, but very little work has been done on "top heavy" food webs that have been created in the Great Lakes through intensive stocking of top predators. In addition, there has been a lot of work examining the eutrophication process, but little work examining the impact of decreasing nutrients into the system.
**Conceptual and values clarification and identification of ethics** (Callicott and Mumford)
**Objective 3.1 Concepts Clarification**
A normative conservation concept is an overarching goal of conservation or natural-resource management efforts. In the early twentieth century, Gifford Pinchot articulated the "wise use" norm for conservation- "the greatest good of the greatest number for the longest time" - that became institutionalized in governmental management agencies. Closely connected with this norm is another: maximum (or optimum) sustained yield of various natural resources, each managed separately. With the emergence of conservation biology, a self-styled "transdiscipline" in the late twentieth century, a new conservation norm became prominent: biodiversity (which is short for biological diversity). In an influential article, entitled, "What is Conservation Biology?," Michael Soule stated flatly and axiomatically (that is, without further argument or justification) that "biodiversity is good" and it should therefore be "preserved." Biodiversity thus became the supreme norm for conservation biology.
The purpose of this whole research task- commonly called the "biodiversity task"- is to explore the importance of biodiversity for managing Great Lakes fisheries. The main purpose of this part of the task is to provide a working definition of the concept of biodiversity. While biodiversity is perhaps the most salient new normative conservation concept to have emerged, it is not, however, the only one. In addition we have identified the following: biological integrity, ecological restoration, ecological services, ecological rehabilitation, ecological sustainability, sustainable development, ecosystem health, ecosystem management, process management, adaptive management, and keystone species. Some of these other conservation norms- biological integrity, ecological restoration, ecological rehabilitation, ecological sustainability, ecosystem health, ecosystem management, process management, and keystone species- are as relevant to Great Lakes fishery management as is biodiversity. Therefore we provide working definitions and discussions of those as well.
Our definitions are stipulative, not descriptive. That is, we did not attempt to survey and catalog the several ways these normative terms are used, calculate the most frequent usage, and recommend that as the standard technical definition. Rather, we explored a large representative and influential literature on these concepts. Then, within the limits of their etymologies, lexical definitions, and common usage, we crafted interpretations useful to fishery management policy applications in the Great Lakes. We field tested these definitions in the GLFC sponsored workshops and in presentations (mostly by Callicott) to a variety of audiences (as detailed below). In addition to defining them, we explore an ordering intellectual structure, characterized by two complementary traditional approaches to ecology and one newer more integrative approach, in which these normative concepts in conservation are embedded. These approaches to ecology are (1) evolutionary ecology, (2) ecosystem ecology, and (3) the flux of nature paradigm in ecology.
The following are our working definitions of current normative concepts in conservation. An academic presentation and discussion of them is forthcoming as J. Baird Callicott, Larry B. Crowder, and Karen Mumford, "Current Normative Concepts in Conservation," *Conservation Biology* vol. 13, no 1 (1999): in press. A presentation, discussion and application to Great Lakes fishery management will appear in the Final Technical Report now in draft. The literature cited for each is to a source which epitomizes our recommended usage.
Norms informed by the evolutionary ecology paradigm:
*Biodiversity* - Variety at every spatial scale and hierarchical level of biological organization: genes within populations, populations within species, species within biotic communities, biotic communities within landscapes, landscapes within biomes, biomes within the biosphere (Noss 1990).
*Biological Integrity* - Native species populations in their historic variety and numbers naturally interacting in naturally structured biotic communities (Angermeier and Karr 1994).
*Ecological Restoration* - The process of returning, as nearly as possible, a biotic community to a condition of biological integrity (Society for Ecological Restoration 1997).
Norms informed by the ecosystem ecology paradigm:
*Ecosystem Health* - The occurrence of normal ecosystem processes and functions (Rapport 1995).
*Ecological rehabilitation* - The process of returning, as nearly as possible, an ecosystem to a state of health (Michigan Department of Natural Resources 1994).
*Ecosystem management* - Managing for ecosystem health with resource extraction an ancillary goal (Grumbine 1997).
*Ecological sustainability* - Meeting human needs without compromising the health of ecosystems (Callicott & Mumford 1997).
Norms informed by the flux of nature paradigm in ecology:
*Process management* - Sensitivity to the way ecological processes impact species populations (Pickett and Ostfeld 1995).
*Keystone species* - A species whose impact on its biotic community and ecosystem is large, and disproportionately large relative to its abundance (Power et al. 1996).
*Adaptive management* - Treating management goals and techniques as hypotheses that are confirmed or falsified by success or failure (Walters 1986).
**Objective 3.2 Values Clarification**
The Laurentian Great Lakes have undergone significant biophysical and chemical change since European settlement (Ashworth, 1986; Francis et al. 1979). Although many studies document the biophysical and chemical changes over time, few studies identify the social dimensions of these changes; specifically, how human values affect the management, use, and subsequent changes occurring in the Great Lakes ecosystem. Values expressed or held toward nature, the Great Lakes, and natural resource management influence how the lakes are used and the level of support for strategies or goals carried out by fishery and natural resource managers (Krueger et al. 1986). Understanding values is critical given the diversity of governmental and non-governmental organizations involved in management of the Great Lakes. In addition, increased citizen participation, broadened societal views toward the environment, and expanding scientific understanding are influencing the range and types of values that agencies must incorporate into management goals and strategies (Dunlap 1992, Eshenroder et al. 1995, Gresswell and Liss 1995).
The purposes of this component of the Biodiversity Task are twofold: (1) to characterize the current range of values expressed by governmental and non-governmental organizations in the Great Lakes; and (2) to document changes or shifts in value orientations and actions of selected organizations. This research is being conducted in the context of normative conservation concepts such as ecosystem health and biological integrity and changes in biological diversity and associated food web dynamics in the Great Lakes. Results from this analysis will be integrated with findings from these studies to chronicle the interaction between human values, conservation concepts and changes in the Great Lakes ecosystem. This report summarizes general findings described more fully in upcoming manuscripts and the final technical report.
Methods
Qualitative methods: Most social assessments conducted in the Great Lakes survey the level of participation and expenditures on fishing or confirm public support for existing fisheries and water resource management programs (Loftus 1987). These surveys do not examine the broader range of held values which drive use and management of natural areas (Brown 1987). Because of the exploratory nature of this research and limited number of assessments of value orientations of organizations, a qualitative content analysis approach seemed best suited to the examination of organizational documents (Miles and Huberman, 1994). Qualitative content analysis of documents produced by various organizations in the Great Lakes is the primary methodological approach used to examine current and past value orientations. The qualitative approach allows themes, concepts, and in this case, values to emerge from the actual words within documents instead of imposing a pre-determined assessment strategy. In addition, some quantitative information can be collected from the documents to provide additional insight on issues of importance to Great Lakes organizations.
Documents: We chose to analyze printed materials because they provide an effective means to analyze social trends over time. Surveys, interviews, and case studies shed light on current values and social concerns but not on the evolution of values nor as a basis for projecting trends into the future (Bengston and Xu 1995). Analysis of documents allows the collection of historical information without relying on human memory which can be inaccurate or inconsistent for some types of information (Connelly and Brown 1995). Document analysis can also be effective for assessing current value and ethical orientations because the method is unobtrusive. Neither the sender nor the receiver of the text is aware that the text is being analyzed. Hence measurement will not bias the expression of values (Bengston and Xu 1995). Due to the volume of written material, we were not able to review documents from all governmental and non-governmental organizations. Selection of organizations and documents was dependent on availability and access to documents and willingness of organizational staff to assist in providing, locating, and shipping materials to us for review.
Coding: For this analysis, a coding scheme was developed to classify words and strings of text into categories of values (such as economic, aesthetic, etc.). Coding allows a vast amount of text to be reduced to an understandable level for analysis and summarization (Miles and Huberman 1994). Because value statements are rarely direct and require interpretation, a guide was created for each value category.
The values guide provided a consistent means to code the values expressed within the documents. We reviewed a subset of documents from a range of organizations and created a coding scheme and guide for values based on the actual text of organizational documents. Phrases and statements within the documents were coded and classified under specific value categories. A collaborator is reviewing approximately 10% of the documents examined to ensure that value expressions were being consistently coded and identified and to verify whether or not the values identified are accurate. In addition, preliminary values findings have been shared with Great Lakes fishery managers and biologists as well as with individuals representing various tribes and non-governmental organizations to check the validity of the findings and to determine whether these groups and organizations agree with the findings.
Analysis of current values: A wide variety of governmental and nongovernmental organizations were contacted and asked to provide their most current mission, goal, or objective statement as well as monthly newsletters, newspapers, management reports, policy statements, etc. written between 1995 and 1997. These documents were reviewed to identify the current range of values and issues expressed by organizations in the Great Lakes.
Analysis of historical and shifting values: A time series of documents was collected from select existing and former organizations in the Great Lakes representing state/provincial, federal, tribal, commercial, and sport fishing interests. Types of organizational documents reviewed include annual reports, newspapers, newsletters, management reports, lake management plans, mission statements, testimony before governmental bodies, etc. In addition, tribal stories, legends, and statements recorded by explorers, anthropologists, historians, and tribal members, and journals of early explorers were reviewed to identify values expressed by aboriginal peoples and early European explorers.
General Results
Analysis of current values: Review of documents from current governmental and nongovernmental organizations led to the development of a values typology. In the typology, values are sorted into categories and sub-categories which eventually lead to a "terminal" value (i.e. no additional values are categorized underneath). The values typology is developed from two root categories- anthropocentric and non-anthropocentric. Anthropocentric values are human-centered values- meaning that people value the Great Lakes or its fishes because of the benefits or gifts they receive- food, beauty, income, etc. For nonanthropocentric values, the Great Lakes and its fishes have value beyond meeting the interests and needs of humans. Anthropocentric values are further categorized as material, non-material, or moral. Terminal values then emerge under these sub-categories. Material values are those people confer to the Great Lakes or its fishes based on the physical or material benefits or gifts received—such as food or income whereas non-material values indicate the intangible benefits, gifts, or meaning received such as aesthetic pleasure, recreation, or way of life.
As organizations expressed their values toward the Great Lakes or nature, they also expressed thoughts about their responsibilities toward humans. These statements were coded and categorized under anthropocentric moral values such as responsibility to community or to democratic processes.
Three non-anthropocentric terminal values emerged from review of current organizational documents. First, intrinsic values were expressed—meaning the Great Lakes and its communities are valued for their own sake and not because they have instrumental value to humans. Second, ecological values were expressed which focus on the ecological role species or communities play within natural systems. Moral values were expressed which involved human responsibility to nonhuman entities.
**Analysis of historical and shifting values**
Value orientations shifted over time as exemplified by the results of a review of management documents from New York State Dept. of Environmental Conservation and Ontario Ministry of Natural Resources. Not only did values shift but the "object of value" or what was of value shifted. From the 1800s to the 1950s, commercial and gamefish stocks were of great value and importance. Commercial and game fishes were valued because they provided food, jobs, and income. In addition, gamefishes were valued for non-material reasons such as for sport and recreation. Between the 1960s and 1990s, game and commercial stocks were still of importance but management agencies also began to value non-commercially important species, fish communities, ecosystems, and watersheds. Values toward the Great Lakes and its fishes expanded to include sport and recreational health benefits, a source of cultural identity and way of life for First Nations and Native Americans, and intrinsic value. These trends reflect broadened understanding of the ecological structure and function of the Great Lakes and the rich variety of human interactions and needs associated with the lakes.
Management strategies also shifted over time in concert with values. Strategies are now focused on watersheds and ecosystems as well as on stocks and populations. More inclusive management strategies are emerging which involve the public and various governmental agencies. These findings suggest that values will play an important role in shaping and influencing the use and management of the Great Lakes and its fishes.
**Synthesis** (Crowder, Crossman, Callicott, Cudmore, Eby and Mumford)
Synthesis was our major objective (**Objective 4**) of the third year of the grant. Three presentations that synthesized the different aspects of the project were given. At the manager workshop, we presented an integrated picture of the Lake Ontario stocking issues from 1800s - present. This story has helped us develop several conceptual diagrams for how the different sections of the Biodiversity Task (Callicott, Crossman, Crowder) come together for an integrated, historical perspective of Great Lakes fish resources. For the third workshop, we presented a second integrated picture of changes in management perspectives, as well as, ecological and social changes in Lake Erie. A talk was presented at the 1998 ASLO/ESA meeting "Historical and recent changes in the Lake Ontario fisheries ecosystem: stakeholders, stocking, and science" by Larry B. Crowder, Lisa Eby, Karen Mumford, Becky Cudmore. A paper intended for North American Journal of Fisheries Management is currently being drafted. This last spring, Amy Schick (CEM student at Duke University) completed her masters project which was an integrated story of both the ecological and institutional changes in Lake Erie's fish community and fisheries management. Future integrated papers and reports have been outlined, including, an integrated final project GLFC technical report.
**Workshops**
The grant called from a series of workshops to help pull together the information for this grant and get feedback regarding our analysis and conclusions. The first workshop, "Biodiversity and Sustainability of Aquatic Systems" was held on June 26-28, 1996 in Wingspread Racine, WI. Academics, mostly professionals with experience in the field of conservation biology from the University of Montana, Virginia Tech University, University of North Texas, University of Washington, University of Notre Dame, Savannah River Ecology Lab, University of Guelph, and Ohio State University. The purpose of the workshop was to critically discuss the preliminary studies of current concepts in conservation, such as, biodiversity,
ecological sustainability, and ecosystem health, and changing values in resource management including intrinsic value and duties to future generations in relation to management of freshwater ecosystems. This first workshop was helpful in evaluating and further developing the current concepts.
The second workshop was held September 24-26, 1997 in Windsor ON. Twenty-two managers and biologists from agencies (representation from Canada and US and every lake) including Wisconsin DNR, Illinois DNR, NYDEC, USFWS, OMNR, and DFO, were involved. The purpose of the workshop was to gain feedback from managers and biologists on data and findings gathered to date of the Biodiversity Task. The structure of the workshop five plenary sessions, four had breakout group discussions associated with the material presented. There was a plenary session on current normative conservation concepts that opened the workshop. Each task presented its findings for feedback from the managers. A presentation that integrated the three sections of the task was the final plenary talk of the workshop.
Our third and final workshop that was described in the grant was a stakeholder workshop. The objectives of this workshop were to gain citizen insights on biological diversity as related to Great Lakes fishes, receive feedback on findings of the task to date, and create a forum for discussing the implications of biological diversity for management and use of Great Lakes fishes. The workshop was held April 22-24, 1998 in Ann Arbor, MI. Twenty-nine people representing tribal, commercial and sportfishing interests, environmental organizations, and water users (hydroelectric) attended from all over the Great Lakes region. Participants were drawn from both Canada and the United States, representing all of the Great Lakes. Task members presented short plenary talks describing our research, but most of the time was spent in small breakout groups where participants addressed a series of focus questions. The workshop was successful in pulling together a wide range of Great Lakes citizens to discuss issues of biodiversity in fisheries management. Participant interest and input expanded our understanding of issues surrounding biological diversity and highlighted challenges facing us as the task members develop strategies and plans to address Great Lakes fish biodiversity and its role in future management. Details of these recommendations will be presented in our GLFC technical report. We received positive feedback from workshop attendees and greatly appreciate the contribution of the participants, facilitators, and notetakers as well as the assistance and participation of the GLFC. We have drafted a proceedings document (Callicott et al. 1998) which GLFC will distribute to participants from the workshop and other interested parties.
At all three workshops we received positive responses regarding the objectives of the research task and the ideas presented.
**Project Conclusions**
Biodiversity has changed significantly in Great Lakes. Both the losses and gains of species have heavily impacted the fish community and fisheries of the Great Lakes Basin. Ecological implications for changes in species diversity on system productivity, buffering capacity, variation in system processes is becoming more generally accepted on broad scale although the experimental data are sparse. Before applying these concepts to a fisheries system uncritically, we need to specifically examine the mismatches between the needs of fisheries managers and theory, such as community stability versus species-specific management and the influence of subsidies or control cost issues on the current ecological theory (i.e. as in agriculture, a monoculture may have the highest potential productivity if one doesn't care about how much fertilizer or pesticide is used).
Most of the fish species in the Great Lakes have not been monitored. In fact, the nearshore warm-water community is the most diverse but overall has had the least attention. Biodiversity is difficult and may be impossible to monitor. Although biodiversity may not be a concept that completely alters management, maintaining a diverse native species base may be beneficial as a broad objective to help make decisions about stocking, habitat loss or water quality. This concept seems to be very useful as tie between management objectives, conservation concerns, and preserving ecosystem function.
History has demonstrated that the Great Lakes ecosystem acts on a basin-wide scale for fish movement, particularly the spread of exotic species. Exotic species that have been introduced or have invaded in one lake spread throughout all of the lakes. Any decisions about managing for biodiversity must involve commitments by managers in the entire basin. An achievable starting point may be to try to limit Great Lakes to current species (no losses or gains).
Managing biodiversity in the Great Lakes will be a daunting task because both the ecological systems and the social systems we use to manage them are complex and not well understood. But is is critical to acknowledge that successful management will require both enhanced monitoring and increased understanding of both structural and functional aspects of our fishery ecosystems. In addition, scientists need to take into account the increasing diversity of constituents who have a stake in the management of these ecosystems and the complexity of the government and management structures we have in place to do
the job. If we can achieve the integration suggested by this task, we should be able to improve fisheries management in the Great Lakes for the next millenium.
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Callicott, J.B., Crossman, E.J., Crowder, L.B., Cudmore, B., Eby, L.A., and K.G. Mumford. 1998. Proceedings, Great Lakes Fishery Commission Biodiversity Workshop for Citizens. April 22-24, 1998, Ann Arbor, MI. Great Lakes Fishery Commission.
Callicott, J. B., L.B. Crowder and K. Mumford. 1999. Current Normative Concepts in Conservation. *Conservation Biology* 13 (1999): *in press*.
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Crowder, L.B., L.A. Eby, K.G. Mumford, B.C. Cudmore. 199-. Historical and recent changes in the Lake Ontario fisheries ecosystem: stakeholders, stocking, and science. *North American Journal of Fisheries Mangement* (*in prep.*).
Crowder, L.B. and L.A. Eby. 199-. Biodiversity and the management of freshwater ecosystems. *Fisheries* (*in prep.*)
Cudmore, B.C. and E. Holm. 1999. Updated status of the Pugnose Minnow, *Opsopoeodus emiliiae*, in Canada. Report for the Committee on the Status of Endangered Wildlife in Canada. Canadian Field-Naturalist, (*accepted for publication*).
Cudmore, B.C. and E.J. Crossman. 199-. The Extant, Established Fishes of the Great Lakes. To be published as a Great Lakes Fishery Commission Technical Report, (*in prep.*).
Holm, E. and B.C. Cudmore. 199-. Status of the Brindled Madtom, *Noturus miurus*, in Canada. Report for the Committee on the Status of Endangered Wildlife in Canada. Canadian Field-Naturalist. (*in prep.*).
Mumford, K.G. and J.B. Callicott. 1999. Computer-aided Qualitative Content Analysis of Documents: A Useful Approach to the Study of Documents. In: D.G. Bengston, ed., *Applications of Computer Content Analysis in Natural Resources* (U.S. Forest Service, North Central Research Station, St. Paul, MN, 1999): *in press*.
Schick, A. 1998. Lessons from the past: cultural and biological changes influencing the Lake Erie ecosystem and fisheries management. Duke University, Nicholas School of Environment. Masters Project. In revision for Ecosystems or Conservation Biology.
**Awards**
Karen Mumford received an award for outstanding female fisheries graduate student at the 127th annual meeting of the American Fisheries Society, Monterey, CA, August 26, 1997 for her values identification and analysis work related to the GLFC biodiversity task.
**Presentations** (* presenter)
Callicott, J.B. and K. Mumford*. "Sustainability as a Conservation Concept". Presented to Sustainability Symposium at the Society for Conservation Biology conference, Fort Collins, CO, June 11, 1995
Callicott, J.B.* and K. Mumford. "The New Concepts in Conservation" and "Sustainability as a Conservation Concept". Presented as white papers for the GLFC-sponsored June 26-28, 1996 biodiversity and sustainability in aquatic systems workshop at Wingspread Conference Center in Racine, WI..
Callicott, J.B.* and K. Mumford. "Ethics and Values for a Sustainable Great Lakes" presented for the Sustainability and Great Lakes Fisheries: Paradox or Promise?" Symposium at the annual American Fisheries Society conference, Dearborn, MI, August 27, 1996.
Callicott, J.B.*, L. Crowder, and K. Mumford. "Current Concepts in Conservation". 35th Potter Lecture at Washington State University, Pullman, WA, February 7, 1997.
Callicott, J.B.*, L. Crowder, and K. Mumford. "Current Normative Concepts in Conservation". Faculty biodiversity seminar at Oregon State University, Corvallis, OR, May 22, 1997.
Callicott, J.B.*, L. Crowder, and K. Mumford. "Current Normative Concepts in Conservation". Presented to the national summer course in Conservation Biology and Policy at the Duke University Marine Lab, Beaufort, NC, July 29, 1997.
Callicott, J.B.* "Conservation Values and Ethics". In: Meffe and Carroll, Principles of Conservation, Second Edition". Presented to the national summer course in Conservation Biology and Policy at the Duke University Marine Lab, Beaufort, NC, July 29, 1997.
Callicott, J.B.* "Ethical and Philosophical Aspects of Human Uses of Nonhuman Organisms" Paper for the Human Interactions with Aquatic Organisms: Philosophy, Values, and Social Change symposium at the 127th annual meeting of the American Fisheries Society, Monterey, CA, August 26, 1997.
Callicott, J.B.*, L. Crowder, and K. Mumford. "Current Normative Concepts in Conservation". Keynote address to the College of Natural Resources annual symposium at Texas A&M University February 20, 1998.
Callicott, J.B.* "Conservation Concepts: Buzzwords or Helpful Tools?". Presented to the Biodiversity Workshop for Select Great Lakes Stakeholders, sponsored by the Great Lakes Fishery Commission Great Lakes Fishery Commission, Ann Arbor, Michigan, April 23, 1998.
Crossman, E.J.* and B.C. Cudmore. "American Species Invasive into Canada: A Political Exotic Problem". Invited paper for a symposium, "Borders and Biodiversity", at the American Society of Ichthyologists and Herpetologists. Guelph ON, 1998.
Crossman, E.J.* and B.C. Cudmore. "Update on Introduced Fishes in the Great Lakes". Invited paper at the University of Guelph's seminar series, 1997.
Crossman, E.J.* and B.C. Cudmore. "Biodiversity of the Fishes of the Laurentian Great Lakes". Congress of European Ichthyologists, Trieste Italy, 1997.
Crossman, E.J.* and B.C. Cudmore. "Exotic Organisms in the Great Lakes, with Emphasis on Fishes". American Fisheries Society Annual Meeting, Dearborn, MI. Invited paper given in a symposium "Aquacultural Practices and Biological Integrity of the Great Lakes", 1997.
Crowder, L.B.* and L.Eby. "Biodiversity and function of aquatic ecosystems". Presented as a white paper for the GLFC-sponsored June 26-28, 1996 biodiversity and sustainability in aquatic systems workshop at Wingspread Conference Center in Racine, WI..
Crowder, L.B.*, L. Eby, K. Mumford, B. Cudmore. "Historical and recent changes in the Lake Ontario fisheries ecosystem: stakeholders, stocking, and science" Presentation ASLO/ESA meeting, St. Louis, June 1998.
Crowder, L.B.* "Putting it all together: diversity, change, and uncertainty". Presentation GLFC Biodiversity Workshop. Ann Arbor MI, April 1998.
Cudmore, B.C.* "Changes in the Biodiversity of the Fishes of the Great Lakes". Invited paper at the American Society of Ichthyologists and Herpetologists. Guelph ON, 1998.
Cudmore, B.C.* and E.J. Crossman. "Vectors for Invasive Species into the Great Lakes". Accepted paper for Midwest Fish and Wildlife Conference, Milwaukee WI, 1997.
Cudmore, B.C.* and E.J. Crossman. "Missing? Your Input: Checklist of the Extant, Established Fishes of the Great Lakes". Poster Presentation at the American Fisheries Society - Southern Ontario Chapter Annual Meeting, Dorset ON, 1997.
Eby, L. A.* "Ins and outs: implications for species, systems, and people". Presentation GLFC Biodiversity Workshop. Ann Arbor MI, April 1998.
Mumford, K.* "Human Values: Diversity and Direction". Presented to the Biodiversity Workshop for Select Great Lakes Stakeholders, sponsored by the Great Lakes Fishery Commission Great Lakes Fishery Commission, Ann Arbor, Michigan, April 23, 1998.
Mumford, K. and J.B. Callicott*. "A Hierarchical Theory of Value Applied to the Great Lakes and their Fishes". Presented to the Program for Ethics, Science, and the Environment seminar, Oregon State University, Corvallis, OR, October 16, 1998.
**Project Completion Report Expected When**
December 31, 1998.
**Signature of Principal Investigator(s)**
**Date**
Great Lakes Fishery Commission
Biodiversity Workshop for Citizens
Conference Proceedings
April 22-24, 1998
Ann Arbor, MI
Proceedings of the
Great Lakes Fishery Commission Biodiversity Workshop for Citizens: Biodiversity Task Presentations and Discussion Summaries
April 22-24, 1998
Ann Arbor, MI
Great Lakes Fishery Commission’s Biodiversity Task Group:
J. Baird Callicott\(^1\)
E.J. Crossman\(^2\)
Larry Crowder\(^3\)
Becky Cudmore\(^2\)
Lisa Eby\(^3\)
Karen Mumford\(^4\)
\(^1\) University of North Texas, Dept. of Philosophy and Religion Studies, P.O. Box 13526, Denton, TX 76205-6526, USA.
\(^2\) Royal Ontario Museum, Centre for Biodiversity and Conservation Biology and University of Toronto, 100 Queen's Park, Toronto, ON M5S 2C6, Canada.
\(^3\) Duke University Marine Lab, 135 Duke Marine Rd., Beaufort, NC 28516-9721, USA.
\(^4\) University of Minnesota, Dept. Fisheries and Wildlife and Graduate Program in Conservation Biology, 1980 Folwell Ave., 200 Hodson Hall, St. Paul, MN 55108-6124, USA.
| Chapter | Title | Page |
|---------|----------------------------------------------------------------------|------|
| 1 | Introduction | |
| 2 | Literature Review | |
| 3 | Methodology | |
| 4 | Results | |
| 5 | Discussion | |
| 6 | Conclusion | |
| 7 | References | |
**Figure List**
- Figure 1: Schematic diagram of the experimental setup
- Figure 2: Photographs of the experimental setup
- Figure 3: Typical images of the experimental setup
- Figure 4: Typical images of the experimental setup
**Table List**
- Table 1: Summary of the experimental parameters
- Table 2: Summary of the experimental results
- Table 3: Summary of the experimental results
**Appendix**
- Appendix A: Detailed description of the experimental setup
- Appendix B: Detailed description of the experimental procedure
- Appendix C: Detailed description of the experimental data analysis
A workshop composed of citizens representing tribal, commercial, recreational, environmental, and management organizations was convened to discuss the implications of biological diversity for management and use of Great Lakes fishes. Background materials and information presentations were provided to participants before and during the workshop on the following topics:
*changes in fish species composition of the Great Lakes
*ecological and ecosystem implications of changing fish community composition
*implications of humans values and conservation concepts as they relate to biological diversity
Small group plenary discussions provided opportunities for individuals to express their views on biological diversity. All participants agreed that biological diversity was important to the long-term health and productivity of the Great Lakes fish community. Some examples of areas where participants also shared agreement and concern include:
*additional non-authorized introductions of non-native fish species and other aquatic life forms pose a significant threat to the Great Lakes and measures are needed to prevent additional introductions
*cooperation and coordination among agencies and opportunities for citizens to substantively contribute to management decisions and actions is necessary to understand fish community changes and the implications of these changes
*understanding what people mean when they use various conservation concepts such as restoration, rehabilitation, biological integrity and ecosystem health is necessary so the intentions of management efforts are more clearly understood
Participants were not in agreement on all issues. Examples of diverging views included:
*the efficacy of continued stocking of non-native Pacific salmon
*the ways in which diverse and conflicting uses of and values toward Great Lakes fishes can be accommodated
**Organization of the Proceedings**
These proceedings were developed to articulate more clearly, the perspectives of workshop participants and to identify those issues that participants felt were most important to our understanding and management of Great Lakes fish biodiversity. The proceedings begin with an overview of the Great Lakes Fishery Commission Biodiversity Task, which was organized to study the biodiversity of Great Lakes fishes. Next, presentation summaries and responses to these presentations during small group discussions are presented. The
proceedings conclude with a section on important themes and issues which emerged throughout the workshop. Finally, appendices are provided which present a workshop agenda, listing of those who attended and organized the workshop, results of a pre-workshop survey and a briefing paper which was prepared in advance of the workshop.
# TABLE OF CONTENTS
Overview of Great Lakes Fishery Commission’s Biodiversity Task (Ed Crossman) ...pg. 1
Introduction to the Workshop and Discussion Summaries ...........................................pg. 3
The Ins and Outs of Great Lakes Fishes (Becky Cudmore) ...........................................pg. 5
Ins and Outs: Implications for Species, Systems, and People (Lisa Eby) ....................pg. 11
Breakout Discussion Summary - The Ins and Outs of Great Lakes Fishes ...............pg. 15
Conservation Concepts: Buzzwords or Helpful Tools? (Baird Callicott) ..............pg. 21
Human Values: Diversity and Direction (Karen Mumford) ...........................................pg. 23
Breakout Discussion Summary - Conservation Concepts and Human Values ..........pg. 27
Putting It All Together: Diversity, Change, and Uncertainty (Larry Crowder) ..........pg. 35
Breakout Discussion Summary - Putting It All Together: Diversity, Change and Uncertainty .................................................................pg. 39
Recurring Themes ...........................................................................................................pg. 45
Workshop Wrap-up: Where Are We Going From Here? (Ed Crossman) ...............pg. 47
Guest Speaker:
International Sea Lamprey Management on the St. Marys River:
Everyone Wins but the Sea Lamprey
(Marc Gaden, Great Lakes Fishery Commission) .....................................................pg. 49
Appendices:
A. Workshop agenda ..................................................................................................pg. 51
B. Names of attendees ...............................................................................................pg. 53
C. Results of pre-workshop survey ...........................................................................pg. 55
D. Briefing paper ........................................................................................................pg. 57
• The first step in the process is to identify the problem and its root causes.
• Once the problem has been identified, the next step is to develop a plan of action that will address the issue.
• It is important to involve all stakeholders in the decision-making process to ensure that everyone’s needs are taken into account.
• The plan should be implemented with clear communication and accountability measures in place.
• Finally, it is essential to evaluate the effectiveness of the solution and make any necessary adjustments to ensure long-term success.
OVERVIEW OF THE GREAT LAKES FISHERY COMMISSION’S BIODIVERSITY TASK
Ed Crossman, Royal Ontario Museum
There has been an increasing commitment to the ecosystem concept in regard to the management of the aquatic resources of the Great Lakes. In addition there is the growing realization of the value of the maintenance of biological diversity in any natural system. As a result of these two factors the Great Lakes Fishery Commission (GLFC) Board of Technical Experts (BOTE)\(^1\) proposed that a group of scientists be asked to undertake a three-year task, starting in 1995, which was given the title of "The Role of Biodiversity in the Management of the Fishes of the Great Lakes". The scientists recommended as PIs were Dr. Larry Crowder, of Duke University; Dr. J. Baird Callicott, of The University of North Texas; and Dr. Ed Crossman of the Royal Ontario Museum, and the University of Toronto. The Tasks always provide excellent training for graduate students and those directly affiliated with this one include Lisa Eby of Duke University, Karen Mumford of the University of Minnesota, and Becky Cudmore of the University of Toronto.
The objectives of the Task are as follows: 1) to assess the changes in the composition and structure of the fish community (Crossman and Cudmore), 2) to examine the food webs and the ecological implications of changes in them (Crowder and Eby), and 3) to relate these changes to shifts in human values and conservation concepts (Callicott and Mumford). The goal of the Task was to develop recommendations to Great Lakes resource managers that would incorporate the role of biodiversity in sustainable, consumptive and non consumptive uses of the fishes. The three units of the Task worked largely independently, coordinating results and documents regularly. A major means of coordinating, and of benefiting from the knowledge and experience of others, was a workshop in each of the years of the Task. The workshops, in the order held, involved theorists in ecology and conservation biology; research, assessment, and management biologists; and this one involving citizens representing various governmental and nongovernmental organizations (hereafter referred to as citizens).
\(^1\) The Great Lakes Fishery Commission was established by the Convention on Great Lakes Fisheries between Canada and the United States in 1955. The Commission has two major responsibilities: (1) To develop coordinated programs of research on the Great Lakes, and, on the basis the findings, to recommend measures which will permit the maximum sustained productivity of stocks of fish of common concern; and (2) To formulate and implement a program to eradicate or minimize sea lamprey populations in the Great Lakes. The Board of Technical Experts (BOTE) is the unit of the Great Lakes Fishery Commission which is responsible for developing and administering the Commission's research program. Its membership is made up of individuals from universities, and federal, state, and provincial agencies with interests in research on the Great Lakes. BOTE consists of a Core Group with a major function of recommending to GLFC research ideas (tasks) which are appropriate to GLFC's responsibilities, including the Lamprey Control Program, and more generally the management of the fish populations of the Great Lakes. It also makes recommendations on scientists considered appropriate to the conduct of each task. The scientists, or principal investigators (PIs), are members of BOTE during the term of the task.
INTRODUCTION TO THE WORKSHOP AND DISCUSSION SUMMARIES
The purpose of these proceedings is to provide a record of the presentations and discussions which occurred during the April 1998 biodiversity workshop held in Ann Arbor, MI. The objectives of the workshop were to gain citizen insights on:
* issues of biological diversity as related to the fishes of the Great Lakes
* the findings of the Biodiversity Task to date
* the implications of biological diversity for management and use of Great Lakes fishes
An attempt was made to have as many types of citizen groups represented as possible from both Canada and the United States, and from both upper and lower lakes. Participants were chosen based on past collaborations with this project and from suggestions by their peers (for a listing of participants, please refer to the appendix.) Our intention for the workshop was not to gain consensus but to hear the variety of viewpoints and concerns on issues relating to biodiversity of fishes in the Great Lakes. Therefore the workshop was structured with short plenary talks from task members (presentation summaries are provided) and smaller breakout or discussion groups to maximize participant involvement and input.
Discussion summaries were written by workshop organizers based on notes taken by recorders from each breakout group, notes written by individuals from each breakout group, flip charts, and reports provided by members from each breakout group during reporting of group discussions to all workshop participants. Our goal was to present the diversity of participant views in relation to the presentations and breakout group questions.
The view of each participant is important for continued dialogue and understanding of issues affecting Great Lakes fish biodiversity. Our intent was to follow the material from the workshop as closely as possible.
A wide range of views were shared during the workshop. However, the views and ideas in this document do not necessarily represent the views of the workshop organizers nor those of the Great Lakes Fishery Commission. Some of the ideas and opinions expressed in this document may or may not be supported by data or current understanding. Nonetheless, our focus was on presenting the variety of views and ideas expressed by the workshop participants.
We hope you will find these proceedings to be informative and an earnest attempt at presenting the issues and perspectives discussed by participants during the workshop. We thank all the workshop participants who attended. Their interest and input expanded our understanding of biodiversity and highlighted the challenges facing us as we develop
strategies and plans to address Great Lakes fish biodiversity and its role in the future management of populations and fisheries.
**Biological diversity** (or biodiversity) is the variety at every hierarchical level and scale of biological organization: genes within populations, populations within species, species within communities, communities within landscapes, landscapes within biomes, biomes within the biosphere.
The scope of the project was limited by the Great Lakes Fishery Commission (GLFC) to the lakes proper and their connecting channels, it did not include the tributaries of the basin. One of the first tasks was to find out what species are currently established in the Great Lakes. By searching through literature and looking at assessment data from many groups and agencies, we determined that 153 species were currently self-reproducing (established) in the lakes. It is important to note that since the figures were made, further study has led to many changes in the numbers presented. The general trends, however, remain the same.
There are many unique groups of fish in the lakes. Two such groups are the Great Lakes’ endemics and coregonins (ciscoes). There are six Great Lakes’ species and subspecies that are endemic (fishes found only in the Great Lakes and nowhere else in the world). Of these six, three are now globally extinct, while the remaining three are found in low abundance (Figure 1). Of the Great Lake coregonins, three have been lost. Note that the longjaw cisco, although officially listed as extinct, is no longer considered to be a separate species from the shortjaw cisco (Figure 2).
**Figure 1:**
**Original Endemic Species**
- *Coregonus johannae* (deepwater cisco)*
- *Coregonus alpenae* (longjaw cisco)
- *Coregonus reighardi* (shortnose cisco)*
- *Coregonus kiyi* (kiyi)
- *Coregonus hoyi* (bloater)
- *Stizostedion vitreum glaucum* (blue pike)*
*= globally extinct*
Looking at the conservation status, as designated by The Nature Conservancy, of the established fishes, 21% are rare to extremely rare. There have been recent increases in abundance in species such as the lake sturgeon, deepwater sculpin, and other native species.
The number of once-established species (native and non-native) lost varies among lakes. The loss of species is highest in Lake Ontario, while of the large lakes, Lake Superior has lost only one non-native (Figure 3).
- 24 species lost from one or more lakes
- 4 species now globally extinct
Biological invasions can cause ecological disasters and change the biodiversity of the area in which they become established. To date, there have been 50 fishes introduced into the Great Lakes, 26 are currently established (such as the round goby). The other 24 are not likely established, such as the pacu, part of the piranha family. Lake Erie has the highest absolute number of introduced fish (Figure 4).
The origin of the greatest number of established, non-native fishes is outside the Great Lakes basin, from areas such as the Black and Caspian Seas. In comparison, the fishes that are native to some lakes within the basin, but are non-native to other areas, is small. Those species that are native to the American waters of the Great Lakes and migrate across the political boundary into the Canadian waters, are considered ‘exotic’ in Canada. These species will be viewed very differently and may be subject to very different regulations and policies. There are currently eight species that make up this “invasive into Canada” list (Figure 5).
**Figure 4:**
Most of the non-native species found in the Great Lakes arrived through authorized stocking and natural migration. It should be noted that although ballast water receives much attention, it has been responsible for introducing only seven fish species, a relatively small number compared to the other vectors. The numbers on the list do not add up as one species can use several vectors to arrive and spread within the lakes (Figure 6).
| Species | Lake (Date Arrived) |
|--------------------------|---------------------|
| lake chubsucker | Erie (1949) |
| bigmouth buffalo | Erie (1947) |
| spotted sucker | Erie (1962) |
| northern madtom | St. Clair (1963) |
| warmouth | Erie (1966) |
| flathead catfish | Erie (1978) |
| black buffalo | Erie (1978) |
| orangespotted sunfish | tribs to Erie (1980)|
**Number of Fishes by Vector**
| Vector | # of Fishes |
|-------------------------|-------------|
| stocking | 20 |
| invasive | 19 |
| canals | 15 |
| aquarium release | 7 |
| ballast water | 7 |
| bait bucket release | 5 |
| aquaculture escape | 5 |
| angler release | 1 |
| unknown | 4 |
Looking to the future, we should protect against possible non-native introductions by other vectors. Global warming, if current predictions are true, may allow species just south of the Great Lakes to push their range northward as the lakes warm. It has been predicted that 41 species may enter the Great Lakes and Canada. Importing live fish for the food/market industry may provide a vector for the unauthorized introduction of non-native fishes. In 1995, one importer in the greater Toronto area brought in more than one million pounds of fish. The fish are listed by common name only, therefore it is unknown exactly what is coming in. For example, listed separately were grass carp and amur carp. These are two common names for the same species. The increasing popularity of backyard water gardens is bringing many non-native species to the Great Lakes area and the potential for release into the lakes exists.
Comparing published lists of the total number of Great Lakes species, is difficult. The large discrepancy is not the result of the actual number of species, but likely the result of differences in geographic areas (lakes proper vs. basin), definitions of native vs. non-native, and the availability of records. This indicates the importance of standardizing inventory lists in order to effectively monitor changes in biodiversity (Figure 7).
**Figure 7:**
| Source | # Family | # Genus | # Species |
|----------------------|----------|---------|-----------|
| Hubbs 1929 | 28 | 96 | 166 |
| Bailey and Smith 1981| 28 | 71 | 180 |
| Underhill 1986 | 26 | 63 | 135 |
| Cudmore and Crossman | 28 | 79 | 153 |
Overall, “we win (gain) some, we lose some”. This is a simple way to describe what has been happening to the species composition of the Great Lakes. We are gaining new species, while losing others. To better monitor these changes, it is necessary to track the abundance of native species. This includes better coordination between political jurisdictions and between interest groups and researchers on the lakes. Great awareness of introduced species is also important, including information on their arrival and spread, as well as their impact. This may allow us to better prevent unwanted non-native species from becoming part if the Great Lakes fish biodiversity.
INS AND OUTS: IMPLICATIONS FOR SPECIES, SYSTEMS, AND PEOPLE
Lisa Eby, Duke University Marine Lab
What are the effects of the species changes that have occurred in the Great Lakes? We reviewed ecological literature, examined examples from other ecosystems, and explored how the species changes have impacted the Great Lakes ecosystem. The species losses and gains have resulted in widespread changes in the Great Lakes from changing fish behavior, interactions with other fish populations, food web structure, energy flow, ecosystem dynamics, and local economies. Unlike some other anthropogenic impacts, species losses and gains are irreversible changes. Here, I briefly review a few examples to demonstrate impacts of species change on other species, food webs, and ecosystems in the Great Lakes.
Invasions of exotic species have had large effects on other species in the Great Lakes system. For example in Lake Michigan, the spread and increase of the exotic sea lamprey populations in the 1940s and 1950s decimated populations of lake whitefish, lake trout, and other large coregonins that were already stressed because of high fishing efforts. The loss of lake trout resulted in an ecosystem with very few top predators that allowed the exotic alewife to become very abundant. At their peak abundance, the alewife became a public nuisance by dying and collecting on beaches and in water intake pipes. In addition, the alewife had detrimental effects on native fishes, such as emerald shiners, yellow perch, and bloater, either through predation on larval stages and/or competition for large zooplankton, their common prey. Direct impacts of species losses due to the invasion of the sea lamprey were widespread in many of the Great Lakes offshore communities. Losses of native species not only impacted commercial fisheries (based on the lake trout, lake whitefish, and the deepwater cisco complex), but led to even more species shifts in the planktivorous fish. The high alewife abundance resulted in stocking of top predators, specifically exotic Pacific salmon, in hopes of controlling the alewife population. These events driven by species losses and gains significantly changed the entire offshore community.
The structure of the offshore food web shifted from having two top predators and 28 planktivorous fish species with several fish utilizing the deep offshore areas, to a food web with about eight top predators, fewer planktivores and most of the energy being funnelled through a small number of species. Do these changes matter? In all of the Great Lakes offshore communities, there are currently more predators dependent on fewer prey species. For example, in Lake Michigan the average number of fish species in piscivore (salmon and trout) diets have decreased from 8 different prey species in the 1930s to only about two to three prey species by the 1980s (Figure 8). The increase in the number of top predators and the decrease in diet diversity has resulted in an increased number of predators feeding on fewer prey species. The implications of these changes are that we have placed ourselves in a precarious situation with a large recreational fishery dependent upon a few prey species (alewife, smelt) that have variable population dynamics. These changes leave little redundancy in the system. Problems with these changes in the offshore community where most top predators are dependent upon a few species, were experienced in Lake Michigan in
the 1980s. Alewife populations dramatically declined resulting in decreases in growth and condition of the salmonid community and the prevalence of disease, particularly bacterial kidney disease (BKD).
In the nearshore zones of the Great Lakes (such as western Lake Erie and many bays) nutrient loading, high algal productivity, and subsequent extended periods of low oxygen in bottom waters decreased populations of sensitive bottom-dwelling invertebrates, such as the mayfly, *Hexagenia limbata*. These sensitive invertebrates, are an important diet items for many fish species, such as yellow perch. Loss of these species has been linked to changes in fish growth and possibly recruitment.
Although there have been many losses and gains in the nearshore food web, the general structure of the food web has not changed as much as in offshore food webs. Long-term data were not found to reconstruct changes in diets through time for nearshore fishes. Some of the most obvious changes in the nearshore community are driven by changes in water quality and the benthic invertebrate populations. The invasion of the zebra mussel has resulted in changes in water quality, the benthic invertebrate community, fish distributions, and potentially how the energy flows up the food web. Zebra mussel dominance may be a sink for some of the energy that would otherwise make its way into fish.
**Figure 8:**
*Lake Michigan piscivore diets*
| Year | Average number of fish species in piscivore diet |
|------|-----------------------------------------------|
| 30 | 8 |
| 77 | 3 |
| 82 | 2 |
| 83 | 4 |
Species gains and losses may also have consequences for ecosystem dynamics. Productivity in ecosystems is influenced by both species composition and diversity. More diverse ecosystems may more fully utilize potential resources in the system. An example of this is the cisco complex in the Great Lakes. Many species, now locally extinct, lived in deep,
offshore waters of the Great Lakes. Currently, there are few fish living in those areas, truncating the deep offshore food pyramid at the invertebrate level.
How well a system can deal with change or rebound from stressors has been related to species diversity in grassland systems and in temperate lakes. In temperate lakes exposed to acid stress, scientists saw a shift in the dominant species (decreases in acid-sensitive species, increases in less sensitive species). The compensatory response in the species shifts are backups that maintain ecosystem function.
**Conclusions**
Not every loss or gain has visible impacts. It is difficult to predict the impacts of species losses and gains. There are some generalities that have come out of the ecological literature, as well as, out of experiences in the Great Lakes and other ecosystems to help guide us. Losses of species (fish or invertebrate) that are an important diet items for many predators may have large impacts. For example, loss of important species; such as *Mysis*, *Diporeia* or alewife would probably have large impacts on the offshore food web. There have been many examples where losses or gains of top predators have had large effects on lake communities and ecosystems. We have also seen in experiments and other ecosystems that the more redundancy or back-up parts and flows, the more buffering of ecosystem processes. We cannot predict, or be prepared for, every environmental change or stress we pose to a system. Keeping our ecosystems intact (and species diversity and associated redundancy available) is an important insurance against future changes.
BREAKOUT DISCUSSION SUMMARY
The Ins And Outs Of Great Lakes Fishes
Following these two presentations, participants discussed these two questions: (1) "What are the major changes in the Great Lakes' fish communities and how they have impacted your activities on or involvement in the Great Lakes?" and (2) Given these changes, what key problems and opportunities must we face in the future?"
"What are the major changes in the Great Lakes' fish communities and how have they impacted your activities on or involvement in the Great Lakes?"
The types of changes and impacts that were brought up could be grouped into two categories:
* ecological
* social
**Ecological Changes and Impacts**
The ecological changes and impacts discussed by participants could be further grouped into the following categories:
* introduction of non-native species
* loss of species
* changes in abundance
* habitat and water quality changes
* disease and overfishing
**Introduction of Non-native Species:** Quite a lot of discussion centered on the introduction of non-native species. Those species that were non-authorized introductions have led to changes in distribution, composition, fisheries, and surrounding coastal communities. For example, zebra mussels have influenced the sport fishery through changes in water clarity and may have also led to dietary changes in some native species (whitefish). Also, alewife fouled beaches, and smelt led to the introduction of a trawl commercial fishery and may have contributed to the demise of blue pike and its fishery. With the invasion of sea lamprey that decimated lake trout, the creation of the Great Lakes Fishery Commission resulted. Overall, some non-native species have lead to many changes, while the impacts of the introduction of other species, such as the blueback herring, are as yet unknown.
On the other hand, participants were split as to whether species intentionally introduced into the lakes, such as the Pacific salmonids, positively or negatively influenced the Great Lakes and the people living around them. Some argued that with these salmonids came an increased interest in sport fishing and related economic spin-offs such as the growth of the charter industry. Others felt that these species had created an artificial system affecting resident trout by reducing the forage base and competing for limited spawning grounds. In addition, there were concerns that developing and increasing the fisheries associated with exotics have become the states' political goals and created a dependence on cultured fish.
Loss of Species: Many felt that the loss of native species, as well as genes, was very important as there would be a loss within the naturally occurring community. With the loss of some species, particular uses of habitat and the occupation of particular niches (such as the deepwater community) have been lost.
Changes in Abundance: Some specific examples were given to show changes in species abundance over time and how these can be both positive and negative. Emerald shiners have returned to Lake Ontario after being absent since the 1950s. There has also recently been a population explosion of emerald shiners in Lake Erie. In general, participants indicated that in some areas, fewer predators and an increase in water quality and clarity, has led to a return of many species. These returns have many benefits such as the recent resurgence of walleye, which has been good for the sport fishery.
On the other hand, some participants described how changes in the fish community have caused instability in the forage base, which has led to impacts on the sport fishery and predator communities. The constantly fluctuating and “noisier” system is leading to great uncertainty and it becomes more difficult to decide which impacts are positive or negative, depending on the species desired. According to some workshop attendees, the replacement of long-lived species by shorter-lived ones is disrupting biological cycling in the lakes.
Habitat and Water Quality Changes: Dams, pollution, urban sprawl, water quality changes, wetland loss, canal construction, electric power plants and shoreline development have all, to some degree, influenced the offshore and nearshore fishes. Other factors influencing all fishes are impediment of movements, thermal pollution, changes in distribution, and loss of spawning habitat. With reduced nutrients in the lakes, there has been decreased productivity and biomass, which can lead to changes in the fisheries. Toxics can reduce tourism and affect local communities and fisheries due to human health concerns.
Disease and Overfishing: Fish diseases and overfishing affects both offshore and nearshore fishes and fisheries.
Social Changes
The social changes and impacts discussed fell into the following groups:
* fisheries
* management concerns
Fisheries: An increasing number of groups now use fish resources leading to a reduced stocks and resource allocation issues. The increased pressure from user groups causes conflicts. Much concern was expressed regarding the undue influence of strong organizations, which can control management policies. This undue influence may stem from the “user pays” view and doesn’t take into account many other sectors using the fishes in a non-consumptive or non-licensed way.
Other changes discussed was the shift from the commercial to the sport fishery which some participants felt contributed to the decline of the chub fishery. It was stated that the methods of taking fish are not selective and that some fishers have changed to become more opportunistic and short-sighted as the demographics of fishers rapidly change.
**Management Concerns:** Most participants agreed indiscriminate stocking needs to be prevented. More unified management would occur if a central management agency would oversee all US states on the lakes and coordinate research and management of the fishes. There also needs to be more quota management and harvest restrictions. Some participants felt that there was a lack of use of citizen’s observations by management agencies.
"Given these changes, what key problems and opportunities must we face in the future?"
Participants put forward future problems that were categorized as follows:
* ecological problems, such as, invasions, habitat loss, pollution, overfishing, etc.
* lack of knowledge about the system and how it works
* perceptions about the state of the system, what it can produce, and vision for future possibilities
* management problems such as, resource allocation, diversity of users/values, and money
* societal trends of decreased support for environmental protection
Some of the key opportunities mentioned included:
* improved communication, interaction and cooperation among different agencies and constituents
* public education
* better monitoring
* better understanding of the state of the system and potential impacts
* potential for not repeating past mistakes
**Key problems and issues**
**Ecological Impacts:** Many ecological impacts were described by participants as being important problems that need attention and require solution. Impacts that were specifically mentioned included; intentional and unintentional invasion by exotic species, water quality and quantity issues, habitat loss, toxins, pollution, balance of predator/prey relationships in the lakes, and overfishing. Knowledge gaps about species distributions, stock structure, and how different changes may influence structure and functioning of Great Lakes ecosystems also were discussed. A few participants stated the need to understand the system in a way that we can present future possibilities, costs, benefits and consequences of different management actions to constituencies.
Perceptions: Perceptions, about state of the lakes, vision for the lakes, and assumptions about each other's attitudes and values were all mentioned as problems in the Great Lakes. Several people perceived a mismatch between the state of the ecosystem, what constituents want from the ecosystem, and what can realistically be achieved. Concerns were voiced about the lack of public understanding in how the ecosystem works resulting in unrealistic expectations for what the system can produce and how much control we have to achieve any results. Participants came up with contradictory problems in how current Great Lakes ecosystems are viewed. Some felt that a problem was that people haven't accepted that the lakes have been fundamentally changed. The reasoning here is that there have been changes in the lakes, such as naturalized species, that have inherently changed the lake and we need to consider issues within this new context. This argument concludes that history and society put constraints on what can be accomplished, therefore, we should be focusing our priorities on rehabilitation with a mix of exotic and native species. Others at the workshop held contradictory opinions that the problem was that people today accept the system as it is, without considering its evolutionary context (native species and potential productivity) in setting future expectations and management priorities. They discussed returning the lakes as far as possible to the native state because it is the most efficient and productive state of the ecosystem.
Management: Much discussion of current problems and challenges revolved around the management arena. Many participants stated that they perceived current Great Lakes management to be focused on the short-term. Some argued that more effort should be placed on longer-term goals and system sustainability. Many participants acknowledged constant challenges in managing a system as complex as the Great Lakes. These challenges focused around managing a resource that is always changing, for an increasing number of diverse constituents with different values and concerns. For example, the increase in the number of constituents, their diverse and sometimes conflicting values, desires, and expectations make managing the Great Lakes a great challenge. The problem is a difficult one even before it is placed in a context of an ever-changing system. In addition, several participants reflected upon the large number of fragmented agencies (state, federal, provincial, water quality, and fisheries) with independent goals creating their own conflicts (with objective, actions). For example, water quality agencies seek to reduce nutrient loading while the Lake Ontario and Erie fisheries community debates whether there is insufficient primary productivity available to support the current fish community.
The problems that were discussed relating to management focused around the role of politics and imbalance of economic versus scientific considerations in the decision-making process. Participants voiced concern whether there was a balance of scientific/ecological information with socio-economic concerns in final management decisions and/or whether decisions had been made with the best available ecological data. Some participants felt that money, not concern for the resource, was the primary consideration in final decisions although participants differed in their views as to the extent of the problem. Similarly, many participants voiced discontent about the large role that politics plays in the management process. Several participants felt that many constituents values were underrepresented in the consideration of management alternatives and economic considerations. Examples include
potentially undervaluing minority sectors (such as commercial fishing) as to their contribution to the quality of life for the region.
Resource allocation and regulations were raised as current problems in the Great Lakes. Although, many participants agreed allocation was a problem, several participants stated that even more problems were created when regulations differed among groups. When problems do arise, the tendency for constituents to focus on laying blame versus seeking solutions results in more conflicts and problems. A few participants pointed out areas where they felt more regulation was needed, such as, live fish import and aquaculture.
**Societal Trends:** General trends in society were also brought up as current problems in the Great Lakes. Decreasing national trends in environmental protection has set the stage for little support for regional efforts. Similarly, reduced federal support for agencies in both the U.S. and Canada hinder research, monitoring, and management efforts in the Great Lakes region. The final problematic national trend is the decreasing youth interest in recreational fishing.
**Key Opportunities**
In discussing the key opportunities in the future for the Great Lakes, most were optimistic. Much of the discussion focused around benefits of continued constituent interaction, opportunities for better cooperation with management agencies, better coordination among agencies, and better understanding of the system and potential impacts. Participants discussed opportunities to improve monitoring capabilities by working together and using interested groups (commercial fishers, bait fishers, etc.) to help monitor the resource. Some participants mentioned that since we currently recognize several problems, we may be able to improve the situation, specifically coordinating monitoring and research among agencies (e.g. water quality and fisheries), improving public education, and increasing interaction between users. Using current knowledge will provide us with opportunities to learn from, and possibly avoid repeating, mistakes made in the past. Several participants also stated that we had the opportunity to create a sustainable fishery by making the resource a priority (not money or politics). Again, there was a split with some participants stating we have the opportunity to examine the lake and find the best species for function whether it is native or exotic, while others stated we should use this opportunity to focus our efforts on sustainable native fish populations.
CONSERVATION CONCEPTS: BUZZWORDS OR HELPFUL TOOLS?
Baird Callicott, University of North Texas
The practice of conservation is immemorial in human experience, but the philosophy of conservation is recent. The dominant philosophies of conservation during the twentieth century, Preservationism and Resourcism, were guided by norms of wilderness and maximum sustained yield, respectively. These conservation philosophies are no longer tenable: the former was not based on science at all; while the latter was based on pre-ecological science.
A plethora of alternative conservation norms have recently emerged—biological diversity, biological integrity, ecological restoration, ecological services, ecological rehabilitation, ecological sustainability, sustainable development, ecosystem health, ecosystem management, and adaptive management,—most of which are ill-defined. These normative concepts can be better organized and interpreted by reference to two new schools of conservation philosophy, Compositionalism and Functionalism. The former comprehends nature primarily by means of evolutionary ecology and considers Homo sapiens to be separate from nature. The latter comprehends nature primarily by means of ecosystem function and considers Homo sapiens to be a part of nature.
Biological diversity, biological integrity, and ecological restoration belong primarily in the Compositionalist glossary; the rest belong primarily in the Functionalist glossary. The former set are more appropriate norms for reserves; the latter for areas that are humanly inhabited and exploited. In contrast to Preservationism and Resourcism, Compositionalism and Functionalism are complementary, not competitive and mutually exclusive. As the historically divergent ecological sciences—evolutionary ecology and ecosystem ecology—are increasingly synthesized, a more unified philosophy of conservation can be envisioned.
The Compositionalist Glossary
biological diversity - variety at every hierarchical level and scale of biological organization: genes within populations, populations within species, species within communities, communities within landscapes, landscapes within biomes, biomes within the biosphere
biological integrity - native species populations in their historic variety and numbers naturally interacting in naturally structured biotic communities
ecological restoration - the process of returning, as nearly as possible, a biotic community to a condition of biological integrity
The Functionalist Glossary
ecosystem health - the occurrence of normal ecosystem processes and functions
ecological rehabilitation - the process of returning, as nearly as possible, an ecosystem to a state of health
ecosystem management - managing for ecosystem health with commodity extraction an ancillary goal
Considerable research has been directed toward understanding the physical, chemical, and biological changes occurring in the Great Lakes; however, limited work has been conducted to examine the role human values play in influencing the use and management of the Great Lakes and its fish communities. Values indicate what is of worth and why. To identify the range of current values expressed toward the lakes and its fishes, we reviewed documents collected from a cross-section of governmental and non-governmental organizations. Organizations included state, provincial, federal and tribal agencies, environmental organizations, commercial and sport fishing groups, and water users. The types of organizational documents reviewed included newsletters, newspapers, mission statements, management reports, annual reports, policy statements, testimony before governing bodies, etc.
A large number and diverse range of values emerged from review of the documents. We developed a values typology which allowed us to sort and present values in an organized fashion (Figure 9).
The most common values which emerged were anthropocentric or human-centered values. Values under this category included tangible or material values such as valuing the Great Lakes and its fishes as a source of food, income, jobs, trophy fishes, and ecological services (such as water purification).
A broad range of anthropocentric intangible values also emerged. These included valuing the Great Lakes and its fishes for aesthetic, sport, recreational, spiritual or educational reasons. In addition, the Great Lakes were viewed as important because they provide an opportunity to interact with nature and contribute significantly to the cultural identity and way of life for aboriginal people as well as, commercial and sport fishers. As citizens and organizations expressed their values and views toward the Great Lakes, they also expressed parallel and interlinked thoughts about responsibilities to their communities, constituents, democratic processes, and future generations.
Non-anthropocentric values also emerged in some of the documents. These values suggest that the Great Lakes and its fishes are valued for reasons beyond meeting the interests and needs of humans. Documents included statements recognizing the intrinsic or ecological values of the Great Lakes and its fishes.
Parallel with tracking the ecological changes in the Great Lakes over time, we also reviewed federal, provincial, and state management documents to determine whether values had shifted or changed over time. Governmental documents were examined from the 1840s to the present to identify value orientations. From the 1800s to the 1950s, commercial and gamefish stocks were of great importance. Commercial and game fishes were valued because they provided food, jobs, and income. In addition, gamefishes were valued for
intangible reasons such as for sport and recreation. Between the 1960s and 1990s, game and commercial stocks were still of importance but management agencies also began to recognize the importance of non-economically important species, fish communities, ecosystems, and watersheds. Values toward the Great Lakes and its fishes expanded to include sport and recreational health benefits, a source of cultural identity and way of life for First Nations and Native Americans, and intrinsic value.
Values play a critical role in shaping and influencing the use and management of the Great Lakes and its fishes. Our attempt to gather and organize the values expressed by various groups and organizations throughout the Great Lakes is intended to aid in actions which support a sustainable fishery and which meet the needs of diverse citizens throughout the basin.
The primary purpose of presenting the values typology was to determine whether workshop participants agreed with our findings to date, whether we had missed or omitted important values and whether our description of values was clear. Suggestions were provided to incorporate the value of species to each other (i.e. as through the food chain, etc.), to characterize the values held by animal rights interests, and to recognize the spiritual nature of nonhuman beings.
Figure 9:
BREAKOUT DISCUSSION SUMMARY
Conservation Concepts And Human Values
Conservation Concepts
The following summarizes views shared by each breakout group following the presentation entitled "Conservation Concepts: Buzzwords or Helpful Tools?" by Dr. J. Baird Callicott. Discussions centered on the following questions: "Selecting an approach to manage the Great Lakes involves addressing fundamental dilemmas on what to manage and why. What are your views on conservation vs. preservation; native vs. non-native species management; and restoration vs. rehabilitation? Should the entire Great Lakes system be managed in the same way or should each lake be managed differently?"
What are your views on conservation vs. preservation?
A diversity of views emerged when participants discussed the meaning and application of conservation and preservation. Conservation and preservation were viewed in the following ways:
* Preservation is a form of conservation
* Preservation and conservation differ
* Conservation concepts which fall in between, or are different from, conservation and preservation are needed
* Both terms are confusing and differ only semantically (that is, in name only)
**Preservation is a form of conservation:** For example, preservation was viewed as a very intense level of conservation necessary for maintaining endangered communities, populations, species, gene pools, etc.
**Preservation and conservation are different:** Others viewed preservation and conservation as separate and different concepts. Preservation was described as a "hands off" approach in which natural areas were kept isolated from humans—especially from extraction-related activities. Conservation was viewed as wise use of resources for the benefit of humans. Conservation also was viewed as responsible, sustainable use of natural systems emphasizing uses that are compatible with native species as a priority. Others framed conservation on the basis of the transfer of energy through the fish community or ecosystem to the human end users. Conservation seemed more practical, cost-effective, and realistic whereas preservation was viewed as idealistic because "some things can not be preserved." Others argued that elements of both conservation and preservation are necessary.
**Different conservation concepts are needed:** Some felt that neither concept was appropriate and discussed whether other conservation concepts lie in between the extremes of conservation and preservation, whether a compromise between the two concepts could emerge, and whether we should focus on incorporating elements of both conservation and preservation.
Both terms are confusing and differ only semantically: The concepts of conservation and preservation were also viewed as ambiguous and the discussion as an exercise in semantics. Participants suggested that these concepts were being used to describe the same thing.
What are your views on native vs. non-native species management?
Participants put forward ideas which may be categorized as follows:
* support for native species management, exclusively
* support for or opposition to non-native species management
* support for a mix of native and non-native species management
Support for native species management, exclusively: Some participants supported management exclusively for native species because natives evolved within the lakes and were considered genetically attuned to the environment. Participants supported removal of non-native species, halting unplanned introductions, and prevention of extirpations or extinction of native fish species.
Support for non-native species management: Although most were supportive of native species management, some felt that natives were unable to support the recreational fishing industry. In addition, concerns were shared about higher contaminant loads in native species, such as lake trout, than in non-native Pacific salmon. Support for managing non-natives emerged provided that they are useful, will not impact natives, are well researched, and if they serve an important ecological function. Some viewed native species as ideal, but given the changes in the Great Lakes, felt that non-native species were more practical. Additionally, some supported continued management of non-natives until the system was able to support native species.
Opposition to non-native species management: Several were concerned about the impacts of non-native species to other species and to the ecosystem as a whole. Opposition to non-natives species management emerged because some felt these species benefited certain user groups and not others. Participants were confused by the use of the terms native, non-native, exotic, and naturalized and questioned when a particular species falls into one of these categories.
Support for a mix of native and non-native species management: Several perspectives were put forward in support of managing both native and non-native species. Participants placed priority not on whether populations were native or non-native but whether populations were self-sustaining. This provided support for management of native and non-native species provided they were self-sustaining or naturalized. Agencies should put equal amounts of effort toward native and non-native species.
What are your views on restoration vs. rehabilitation?
A range of views emerged when participants discussed the meaning and application of the concepts rehabilitation and restoration. Rehabilitation and restoration were viewed in the following ways:
* Rehabilitation and restoration are part of the same process or mean the same thing
* Rehabilitation and restoration are different and rehabilitation is more practical than restoration
**Rehabilitation and restoration are part of the same process or mean the same thing:**
Rehabilitation using non-native species may be used in the short-term to move the system toward restoration of native species. In this way, rehabilitation was viewed as moving the system in the direction of restoration. Others felt that restoration and rehabilitation were the same thing and that this discussion was an exercise in semantics.
**Rehabilitation and restoration are different and rehabilitation is more practical than restoration:** Some viewed restoration as impractical whereas rehabilitation was viewed as more realistic and feasible. Because of changes in species composition due to extirpations, extinctions, introductions, and human-caused changes in fish habitat, restoration did not seem possible. The only option is to support rehabilitation using desired species which may or may not be natives.
Some supported restoring the Great Lakes to their "original" state. Yet several participants were uncertain exactly what that original state was and how far back in time one should go to determine the state to which the lakes should be restored. In addition, it was noted that species may be restored but the original genetic complement may be permanently lost. Others suggested that native species such as lake trout, that once supported a viable and valuable commercial fishery should be restored to past levels. Some supported restoring native species only if they were economically important. Support was given to the idea of restoration only where such actions are feasible. Several expressed the view that Lake Superior was the only lake that could be restored whereas rehabilitation should be the focus on all the other Great Lakes.
Restoration focuses on an "original" state while rehabilitation emphasizes maintaining and improving the functions of the individual ecosystems. Not only did many view rehabilitation as more practical, but they felt that rehabilitation would take into account human uses of the lakes.
Should the entire Great Lakes system be managed in the same way or should each lake be managed differently?
When asked whether the entire Great Lakes system should be managed in the same way or each lake managed differently, participants presented a range of views:
* Manage each lake, basin, section, or fish stock separately
* Manage each lake separately but within a broader Great Lakes-wide philosophy
* Manage all the Great Lakes in the same way
**Manage each lake, each section or each stock separately:** Support for managing each lake separately was based on recognition of the differences in the physical, chemical, biological, and socioeconomic factors of each lake. Support for watershed-level management emerged. In addition, some felt the need to manage at the level of certain geographic areas (e.g., bays, mouths of rivers) or at the stock or population level. Support emerged for managing some waters for native species and other waters for naturalized non-native species.
**Manage each lake separately but within a broader Great Lakes-wide philosophy:** Some participants supported managing each lake basin separately, but within the boundaries of a broader Great Lakes wide philosophy. Guiding principles for all the Great Lakes seemed necessary given their connectedness.
**Manage all the Great Lakes in the same way:** Support emerged for managing all the Great Lakes under similar management objectives. Some felt that all the lakes should be restored. Support for development of management objectives for all the Great Lakes which maximize internal control of the system as self-organizing and self-sustaining and reduced reliance on human intervention emerged.
One group created the following table to synthesize their thoughts on conservation goals and native and non-native species management by lake.
| Lake | Restoration or Rehabilitation | Native or non-native species management | Management Goal |
|---------------|-------------------------------|----------------------------------------|-----------------|
| Lake Superior | Restoration | Native species | Conservation |
| Lake Huron | Rehabilitation | Native and Non-native species | Conservation |
| Lake Michigan | Rehabilitation | Native and Non-native species | Conservation |
| Lake Erie | Rehabilitation | Native species | Conservation |
| Lake Ontario | Rehabilitation | Native and Non-native species | Conservation |
Human Values
The following summarizes views shared by each breakout group following the presentation entitled "Human Values: Diversity and Direction" by Karen Mumford. Discussions centered on the following questions: "To be successful, fish management must consider and accommodate a variety of human values. What values influence Great Lakes fish communities and how can the broad range of human values be represented in current fish management efforts?"
What values influence Great Lakes fish communities?
The following categories of values were expressed by workshop participants and reflect the values that workshop participants felt influenced Great Lakes fish communities.
* Human-centered-materialistic: economic, food, indicators
* Human-centered-non-materialistic: spiritual, cultural identity, legacy, heritage, way of life, quality of life, sport and recreation, aesthetics
* Intrinsic and ecological/biological values
* Additional values not categorized: value of species to one another, weather moderation, animal rights values
Human-centered-materialistic
Economic: Economic values are a major influence on how Great Lakes fishes are used and managed. The Great Lakes and its fishes are valued as a source of employment and income. Funds from sportfishing license sales supports and influences the actions of management agencies. Revenues are generated from commercial and sport fisheries.
Food: Great Lakes fishes were valued as an important source of food
Indicator of Ecosystem or Ecological Health: Certain species such as sturgeon may be restored and never harvested but their presence indicates a healthy ecosystem.
Human-centered-non-materialistic
Spiritual values/cultural identity: Aboriginal people respect and give thanks for taking fish as food for subsistence; their interests often are based on spiritual values. Aboriginal people are offended when nonaboriginal people disregard that fish have spirits and deeper meaning. Recognition of aboriginal values of spirituality and respect inherent in animals themselves is needed. Aboriginal people regard fishing differently from nonaboriginal people in several ways. For example, they have ceremonies associated with harvests and their last names are associated with nature.
Legacy/Heritage/Way of Life: The importance of leaving resources for future generations to use and pass on, to support a way of life, and to protect options to make a living from fishing
were expressed. Concern was voiced that children will not have the same opportunities to use the lakes as current users. If biodiversity is not preserved, then there will be nothing to pass on to future generations. The fishes and fishery also were valued because they played a role in development of communities and community identity. Without fishes and fisheries, communities will disappear. The fishery provides a means to transfer moral, heritage, recreational and economic values on to children.
*Quality of Life:* The Great Lakes region was valued because of quality of life aspects such as clean air, clean water; and fish.
*Sport/Recreation:* Fish were valued because they provided opportunities for angling and other recreational activities.
**Intrinsic and ecological/biological values**
*Intrinsic Value:* Great Lakes fishes and other organisms were valued just for being part of the system and not for their use, only. Few people hold only intrinsic values—perhaps sturgeon are preserved partially for their intrinsic value as well as for other values. Restocking species such as sturgeon occurs not only because they will generate money but because of their intrinsic value. Some stated that intrinsic values have low priority among users and management organizations.
*Biological/Ecological/Evolutionary/System-level/Self-organizing:* Values were attached at a higher level of organization—participants valued the hydrology, flora, fauna, communities, and landscapes that created the Great Lakes. Hence, intrinsic value was conferred to the place and the processes where species evolved. Innate value was conferred to the self-organizing coevolved community of fishes adapted to the physiographic conditions of the Great Lakes.
Values between species translates to human values. What's the value of a species to another species? The basis of value is the transfer of energy through the ecosystem to the end users. Biological values were conferred to living organisms for being part of the system and not just for human use.
**Additional thoughts on values**
*Animal Rights Values:* More work must be done to identify and present values expressed by animal rights interests.
*Non-fish values:* People value the Great Lakes for more than just fish. The Great Lakes are valued because they support such activities as recreational boating, swimming, bird watching, commercial shipping; the Great Lakes provide water for human consumption, agriculture, sewage treatment, industries, and use by municipalities. The Great Lakes are also valued for the climate and weather moderating effects which support orchard operations and other farming activities.
General Comments about Values
People place value on different aspects of the Great Lakes such as species or stocks; native or non-native species; communities, and ecosystems. Recreational and commercial fishers value different species; the value of non-native species should not be ignored; some people are more excited to see or catch "wild" fish than a hatchery fish - hence "wild" fish are more highly valued by some. Are non-natives as intrinsically valuable as native species? It was suggested that values differ considerably between older and younger generations.
How can the broad range of human values be represented in current fish management efforts?
To incorporate the broad range of human values into fish management, participants provided perspectives on:
* Actions directed toward the lakes
* Actions directed toward citizens and interest groups
* Challenges to accommodating diverse values
Actions directed toward the Great Lakes: Participants expressed that by sustainably managing the abundance and harvest levels of various fish species and stocks, a variety of values can be accommodated such as legacy, heritage, food, sport and recreation, employment, income, and the value associated with meeting the needs of future generations. Aesthetic value would be accommodated by improving water transparency and clarity, enhancing the coastline, and by keeping certain areas undeveloped and pristine. Actions to meet values associated with maintaining a healthy Great Lakes ecosystem include improving habitat quality, expanding pest control, and managing for self-sustaining systems. Although participants viewed intrinsic values as easily discounted, they did support accommodation of these values through reintroduction of extirpated native species, greater attention to non-game fish, and focus on supporting "wild" self-sustaining populations.
Actions directed toward Great Lakes citizen and interest groups: Communication, education, dialogue, and information sharing among agencies, various groups and interested citizens were considered extremely important given the diversity of groups, values, and interests within the Great Lakes basin. Participants suggested that more forums be held to allow different groups and interested citizens to talk with each other, exchange ideas, and identify common goals and concerns. Such efforts will allow participants to learn about each other and their values. Participants stressed that every value and idea be touched upon and included in discussions instead of just those of majority groups. Minority viewpoints are important and need to be recognized and considered during discussions.
Opportunities for dialogue would also provide a proactive means of addressing problems and establishing goals and objectives. When constructive dialogue does not occur, then the court must be relied upon to establish objectives. Tribal communities are relying more heavily on proactive dialogue than litigation to reach understanding. Small groups of fish managers, and sport, commercial and tribal fishers need opportunities to get together, exchange ideas, and
identify concerns. Support was given for the creation of citizen advisory groups composed of local, multiple interests. These groups could participate in monitoring programs and collect and analyze data together so that all are operating on the same "playing field". Such a collaborative effort would stimulate shared ownership of the data and management process.
Long-range planning and goal setting processes must include all interests and provide a means to consider concerns for the future of the lakes. Such processes may stimulate long-term thinking which was considered very important. Also, plans and management efforts should be developed for different areas around the lakes to take into account the views and values of those within the area. Regional zones could be developed for local level planning efforts. Bottom-up communication would be critical to take into account local values and perspectives. Participants stated that education was crucial. Citizens and interest groups need to have the impacts and consequences of various proposed actions presented so they can make informed decisions with regard to different management options.
**Challenges to Accommodating Diverse Values:** Participants also discussed challenges and difficulties which must be overcome to incorporate diverse values and interests. Sometimes values will be in conflict. For example, improvements in water clarity through reductions in nutrient loading may have a negative affect on fish productivity. Sailboaters may enjoy clearer waters but anglers may not. How will these types of conflicts be handled? Some agencies may be more responsive to certain values and interests than others. Tradeoffs and compromises may have to occur but how do we determine what to trade and when to compromise? Licensed users who pay more to use the resource may want more power and influence over decisions. How can we balance biological and economic considerations? How is our understanding of the lakes influenced by our values and the things we want from the lakes?
Most scientists, managers and constituents now fully recognize that Great Lakes fisheries derive from lake ecosystems that begin in the watershed and end in the creel or fish market. Clearly, fisheries are affected by a wide variety of factors including those that have a direct effect such as harvest by fishers or fish stocking by managers. But fisheries are also affected indirectly by sources of nutrient enrichment or toxins that originate in the watershed (or ever broader, the airshed) due to human activities. Our project sought to integrate changes in the species composition of the Great Lakes fish communities over time with likely implications for ecological function and with the dynamics of human values (Figure 10). Changes in the ecological system can drive shifts in human values (e.g. when severely degraded systems are recognized humans respond) or shifts in human values can drive shifts in the ecological system (e.g. as interests in fishing shift from commercial to recreational, stocking of non-native predators may increase).
**Figure 10:**
Management seems to be driven by a diversity of human values as well as the current and projected state of the ecosystem. One widely supported management goal is that fisheries be sustainable. But do sustainable fisheries depend upon sustainable ecosystems? In order to sustain the function and health of lake ecosystems, do we have to consider biodiversity? Our findings suggest that biodiversity, which means variety in nature, including genetic variety, numbers of species, and the variety and distribution of habitats, populations and communities of organisms, seems to allow ecosystems to "work" more sustainably. Ecosystem function can sometimes be maintained by "redundant" species; this redundancy is important for ecosystem dynamics. But this is true for most complex systems. Any fisherman knows that one does not go to sea without backup systems for communication, navigation or mobility, at least if he or she wants to get home safely. So it goes with ecosystems-- loss of key species or reduced biodiversity can compromise ecosystem health. Diverse systems also often operate with reduced variability. Protecting biodiversity is also about maintaining options for the future-- we must prevent additional species losses and prevent irreversible species additions. Again, as on a fishing vessel, we must always carry spare parts to maintain our ability to rebuild the system if it falters. It is true that total fishery production depends ultimately on nutrients and sunlight, but fishers prefer to harvest some species over others.
Ecosystem management as a way of thinking entered the Great Lakes management lexicon over 20 years ago, but some scientists, managers and constituents have not fully adopted this perspective. They are most interested in a "piece" of the overall system, like Pacific salmon or potable water. We have come to recognize that humans are part of ecosystems and that ecosystems can be very complex, including nutrients, plankton, benthic organisms, forage fish, fish predators, birds as well as humans. We also acknowledge that changes in the ecosystem (e.g. in species composition, habitat or water quality) can alter its usefulness to particular human interest groups. When scientists or managers detect what they perceive to be problems associated with these changes, they often naively expect the public to readily change its behavior to fix the problem. But awareness and values differ among constituents. Furthermore, public policy and governance structures are often as complex as the ecosystems themselves. Managers in one agency manage water quality and those in another manage fishes as if water quality and fisheries were not both properties of the same ecosystem! Most Great Lakes socio-political systems involve several governments (Canada, United States, First Nations, Provinces, States) each with management in sectors (water quality, habitat, fishing, shipping) managed by different agencies. In addition, landscape management often overlooks downstream effects.
"If humans are an integral part of ecosystems, are politicians a separate trophic level?"
Peter Larkin, 1993 (From Fisheries 18:6-11)
Our hope for the future depends upon a synthesis of the ecosystem concept and integrated management. This approach acknowledges the complexity of both the fishery ecosystem and the governance structure-- indeed we are trying to manage a complex system with a complex system. We need a balanced perspective that seeks to understand the complexity of the ecosystem and to incorporate the complexity of the social systems into decision making. This decision structure needs to include interaction among constituents, scientists and managers to interpret changes in the ecosystem and to derive management responses based
on constituent values. But these management responses need to be integrated across a complex governance system, where responsibilities are shared, diffuse and sometimes in conflict.
Examples of such integration within sectors include the International Joint Commission (water quality), the Great Lakes Fisheries Commission (fisheries) and the Great Lakes Commission (commerce). These coordinating bodies have contributed to dialogue among managers and governments dealing with particular issues. Newly formed cooperatives seek to coordinate management across these sectors. One of the most promising efforts is the Lake Erie Lakewide Management Plan (LaMP) which is developing integrated management plans with input from four states and a province and specifically includes Agency and public involvement (Figure 11).
**Figure 11:**
**Lake Erie LaMP**
**Organizational Chart**
Management of any complex system is based upon a "concept" like maximum sustainable yield or ecosystem management. Based upon this concept, managers can employ their "toolkit" to influence the trajectory of the system. Management activities, resource use or other outside forces (e.g., species invasions, economic or social changes) can alter species composition, ecological function or human values. If these alterations are small, management can respond within the context of the existing concept. But if alterations are large (e.g. collapse of the lake trout due to lamprey invasion, rise of recreational fishing), management may require a new conceptual basis in order to manage sustainably.
Management around small variations is pretty much "business as usual" but management under radical change is difficult for managers, scientists and the public. Major changes in biodiversity often fall into this latter category-- managing Great Lakes fisheries after the exotic species invasions of the 1930s-50s (and associated losses of native fishes) was a different ballgame. Because established non-native species are impossible to remove, we must ever after deal with their legacy. The challenge of changing biodiversity and its impacts on Great Lakes ecosystems will require the cooperation and support of constituents, scientists, and managers.
"There is a search today for new approaches and new meanings for managing fishery ecosystems... The first clues to possible solutions... take a broader perspective on the relationships between human communities, aquatic resources and ecosystems." John Kurien, 1998. (From Ecological Applications 8(1) suppl.:52-85)
After the presentation, participants discussed the following questions: "How does your sector of the Great Lakes fishery community cope with and adapt to the social and ecological changes that occur within the Great Lakes, such as zebra mussel invasions, downturns in the commercial or sport fishery, etc?" and "How can maintaining or protecting the biodiversity of the Great Lakes system be implemented to preserve current and future uses of the Great Lakes fishery?"
"How does your sector of the Great Lakes fishery community cope with and adapt to the social and ecological changes that occur within the Great Lakes, such as zebra mussel invasions, downturns in the commercial or sport fishery, etc?"
Where it was possible to contribute comments to a specific sector we have done so. The amount of information following each section is not meant to be misleading regarding the amount of discussion time provided to each sector. It is also not intended to represent the views of all people associated within each sector, these are just the points brought up by those attending this workshop. Where comments could not be attributed to a sector, they were placed under the general section.
**Bait:** Bait fishers track species’ diets and people’s catch with different bait to obtain a variety of information. Changes, from ecology to values, affect activities as to what will sell. Bait fishers need to sell in order to make a living, so they monitor human use.
**Electric Utility:** Ontario Hydro is changing to provide the public with information and the opportunity to comment on what they are doing. They have moved from impact statements to doing more rehabilitation/restoration “greening” projects. Documents and reports are becoming more visually appealing to the public. The creation of stakeholder advisory groups is important.
**Sport:** Use money and public relations to attract people back to the lakes and fishing. There is, however, a misperception about no stocking. It is important to make explicit the impacts of all decisions on each sector.
**Charter:** Current economics affect membership and the client base is driven by economics. Also, ecological trends affect catch and business. They cope by using a lot of advertising. Stocking keeps business good (direct catch or through ecological change). With the declining lake trout stocks some have moved away from the charter business. Some are turning to ecotourism (selling the experiences of fishing, cruising, and diving) and participating in research. More cormorants and changing fish stocks have led to more catch and release (which has not been well received), decreased limits and switching species.
(choose most available species). Moratoriums are declared with species depletions. With cleaner water, there is more bottom fishing vs. open water fishing.
**Environmental:** Cope by spending much time and effort to increase public awareness and education. Increase use of lobbying and speaking out against stocking exotics, etc.
**Commercial:** To cope with ecological changes, including the difficulty to predict the next harvest, more research is encouraged. Making recommendations to the general public, including what affects each sector is also encouraged. Commercial fishers have responded to changes by using other environmental clues rather than just fish populations. Changes have led to reduced take, differences in species caught (for example, when yellow perch declines switch to lake whitefish/chubs), changes in gear type used, switching fishing areas and adjusting to quota management to improve populations.
Social changes (commercial to sport) have led to a “hang in there” approach and an attempt to work with and create partnerships with other fisheries through changing fishing areas, seasons, species, and the employment of sport people in the off season. In the past, some commercial fishers didn’t cope, just tied-up their belts and hung on. Current coping methods are an increased lobbying capacity, more research and data collection to get whole picture once per year, become more active/proactive, down-sizing, and buy-outs. They are getting more involved with research in product developments and harvesting techniques. There is more encouragement to prevent overcapitalization by limited entry, which could also be used by charter industry.
**Scientist:** It has been the habit to study fish to death and write an epitaph for a succession of previously revered species. Now we seek new paradigms to explain the changes that have occurred, such as shifting from maximum sustained yield to ecosystem management. However, with funding shifts, we can’t study on a long-term basis because the community responds to new “hot issues”. Most studies are stuck with a 2-3 year limit.
**Manager:** In coping with all changes it was the case in the past to do nothing and learn from experience. We couldn’t do much long term and are creating rhetoric/objectives that are not being implemented.
**Aboriginal:** There is a governance structure with a well-regulated licensing process. To cope with changes there is more promotion of concerns with the government and increasing dialogue and information sharing with all groups.
**General:** To cope with all changes, it is best done by co-management, dialogue, and setting up citizen advisory committees at different levels of local government. This can be achieved by working with management agencies, city, county governments, and industry. It is especially important to communicate to Lake Advisory Committees. We can also contact lobbies or local politicians. It is important to make available all information and communicate with user groups more often in workshops such as this. Another method to cope is to take more responsibility for research, data collection, and enforcement functions. Acting defensively and complaining instead of acting proactively should be a thing of the
past. A "wait and see" attitude was used in response to new exotics in the system. Building or altering fish hatcheries to try patching efforts has been a response to loss of fish stocks. Many spoke of the challenges of addressing the issues of concern to animal rights groups, a non-user sector. It was also stated that there is a need to prevent the media from being the primary mode of communication.
"How can maintaining or protecting the biodiversity of the Great Lakes system be implemented to preserve current and future uses of the Great Lakes fishery?"
An immediate reaction to the question from many was that current practices would probably not be enough to protect Great Lakes biodiversity and that a mix of biological and social considerations are necessary for any solution. A large number of both general and specific ideas or approaches were generated in discussion groups. The general responses fell into one of the following categories:
* increasing public education and awareness
* changing perceptions of the system and views for management
* creating dialogue between user groups, management, scientists
* finding solutions to biological concerns
* funding ecological research
* changing the management system and goals
**Increase Public Awareness:** Many participants felt that the role of public education (of the Great Lakes ecosystem, aquatic ecology, human values) for all sectors in understandable terms is very important. Several participants mentioned the importance of broader marketing or communication of the uniqueness of the Great Lakes system, including the role of the fish community. This includes increasing public awareness of not only commercially valued species, but also focusing on the importance and value of non-economically valued species. There was a call to present future management options/goals, including biodiversity objectives, in a costs/benefit framework that includes not only economic but also ecological considerations.
**Increase Dialogue:** Most participants stated that an increase in dialogue and responsibility between all user groups, as well as, constituents and management agencies and scientists would be beneficial. Dialogue between constituents (including management and scientists) was emphasized by several participants as a necessary approach to gain respect and understanding between individuals which may help resolve conflicts when they arise. Several participants discussed the possibility for non-governmental agencies to share data collection with government agencies. Many participants felt that they had knowledge about the system that may benefit management, possibly meetings could occur where multidirectional information flow occurs about the state of the system and potential important needs to be addressed. Some people further formalized this idea and suggested establishing public advisory committees (where everyone is represented) that would meet to discuss the state of the resource, needs, and future directions for management.
Ecological Issues: In order for biodiversity to be protected in the Great Lakes, several ecological issues need to be addressed. Participants specifically mentioned several issues including: protection of the forage base, control of exotics (intra- and interlake), protection of habitat, control of pollution, and potentially control of species that have become abundant and a nuisance (i.e. cormorants).
Research Needs: Several participants considered that more research was necessary, although many admitted a lack of funds for monitoring and research. Several questions revolved around a better understanding of the structure and function of ecosystem, the importance of wetlands and habitat loss in its implications for biodiversity and fisheries in the Great Lakes, and an ecological assessment of non-native species. There was also some interest in formalizing the conservation concepts in putting them in practice.
Management Changes: In discussion groups there was some consideration of management changes that would need to take place to protect Great Lakes biodiversity. Discussions revolved around potential for better coordination of all Great Lakes management agencies, increasing the reaction time to emerging problems (such as exotics), improving monitoring and protective mechanisms, restoring the balance of power between user groups, and increasing accountability within the management agencies. Although a daunting task, participants felt that getting federal, state, provincial, tribal, and non-governmental organizations communicating and coordinated in monitoring and regulation would be beneficial. In addition, the need for water quality agencies to meet with and consider fisheries agencies and objectives (and vice versa) is needed. Some participants voiced frustrations about the reaction time of the management agencies, specifically the time it takes from problem recognition to putting changes or protective measures into place. In many instances throughout the workshop, discussions about restoring or equalizing the balance of influence that different constituents groups have in decision-making. Many constituents stated that resource management decisions have become too political, narrowly focused on specific economic gains, and influenced by only one or two user groups. If all constituents were fully considered in decisions, it may result in a larger ecosystem perspective (including more protection for biodiversity), because these groups are so diverse in their concerns, interests and values.
Potential management goals/thinking emerged as necessary for a biodiversity objective including: manage for self-sustaining populations, maintain ecosystem health, and create a long-range or long-term vision for the Great Lakes. More equivocal management goals were considered in the different groups such as setting restoration of lake trout as a top priority, explicitly focus our efforts and directions towards a native complex of species (while some participants wanted focus on native and naturalized species). More focus around non-commercially valued species would be necessary with a biodiversity objective. These non-economically valued species may be incorporated more as views expand towards the functional group, food web, watershed scale.
Several specific areas for regulations were mentioned by participants as approaches to conserving Great Lakes biodiversity. These included utilizing current political framework for zoning restrictions. Shorelines that are not yet developed could have future development
restrictions placed on them. A few participants suggested area closures or reserves that would be off-limits to fishing for everyone to help protect species and fish stocks. Some participants acknowledged concerns that some management goals or regulations that are already in place need to be strengthened, enforced, or made basin-wide (not just federal or state/province-specific). Two specific examples mentioned include the IJC zero discharge goal for pollutants and the ballast water exchange to control spread of unintended exotics.
**Potential Problems:** Potential problems will arise with making biodiversity a fisheries management objective because subsequent actions will conflict with current use. For example, the successful restoration of Atlantic salmon to Lake Ontario would displace the naturalized steelhead in many of its tributaries. Resource overlap of lake trout with exotic salmon (chinook, coho) may also result in conflict if natives are explicitly made a priority. A biodiversity objective focused on purely natives versus natives and naturalized species contrasts the competing uses and values of the system. The future perception of naturalized species was probably one of the most contentious issues at hand in discussions of biodiversity in the Great Lakes. One area that more people tend to agree on is a goal of no new accidental or unintentional species introductions. Another consideration that emerged in discussions to make biodiversity a management objective is how that may change research and monitoring needs and whether there is money to apply it as an objective.
RECURRING THEMES
Many themes were consistently expressed and emerged throughout the workshop. These recurring themes fell into five categories:
* biological
* social
* informational
* educational
* management/institutional
**Biological:** There was much concern expressed about non-authorized introductions, both present (zebra mussels, sea lamprey, ruffe) and potential future ones. Many pointed out the impacts that these extant non-native species are having on the fish community, and noted that the impacts of very recent introductions and potential future ones are often unknown. Authorized introduced species often emerged as an issue - both in positive and negative lights. Misinformation about contaminants was another issue brought up, along with the concern of contaminant impacts on subsistence fishers.
**Social:** The term "stakeholder" is not appropriate for some citizens, groups and organizations and its use should be limited.
**Information:** The importance of the need to share information between citizen groups often emerged. This could be achieved through more communication and dialogue in workshops for citizen groups, such as this one. Also, allowing various groups to participate in collecting data information, monitoring efforts, and having input into the state of the system and goals. More and efficient use of citizen information by researchers and managers should be encouraged. It was apparent there was frustration at the lack of use, by researchers and managers, of the knowledge of citizen groups who work directly on the lakes. The need for consensus of concepts was also expressed. Many concepts were viewed as similar by some participants, while others viewed these same concepts as completely different. A consensus regarding definitions and terms would help clarify many issues.
**Education:** It is important to educate the public about the issues and serious nature of the problems in the Great Lakes to increase awareness. Presenting this information to the public should be in usable and understandable terms, possibly through workshops. It would be beneficial if citizen groups had more information about each others activities, values etc. This would go a long way to understanding each others’ views and may help towards creating partnerships. Also, the importance in teaching the younger generation, as well as learning from them, was frequently discussed.
**Management/Institutional:** It was frequently discussed that more bottom-up co-management and decision-making is necessary through local communities which would tailor efforts to meet concerns and report to a general overseeing body. It was also stated that there needs to be more consistency of policies across lake political borders and for management to listen to users and develop dialogue. Providing opportunities for more citizen input in decisionmaking and investigate opportunities for co-management, including minority views, were both discussed. It was stated that it is important to make explicit the social, economic, and environmental impacts of all feasible future options on each sector using techniques such as cost-benefit analysis, and in doing so, allow the sectors to make more informed decisions regarding outcomes for management. It is important that there be more equity of users influencing policy. Allowing only those that pay licensing fees to call the shots, has led to an unfair influence of only a few citizen groups. Often, the voices of non-user groups or non-licensed user groups fall on deaf ears.
**Conclusion:** Although there was a wide variety of views expressed throughout the workshop, there were many points that were often discussed and emerged frequently. These recurring themes do not necessarily mean consensus, which was not the goal of this workshop, but indicate areas of interest to a variety of citizen groups.
WORKSHOP WRAP-UP:
WHERE ARE WE GOING FROM HERE?
Ed Crossman, Royal Ontario Museum
There are two types of "we" involved in the activity we have just completed. There is we in the broader sense which includes all of us, our families, friends, and colleagues. There is also the we that is limited to the members of the Biodiversity Task Team.
In his presentation, Baird Callicott quoted from an older animal comic strip, "Pogo", which regularly placed in the mouths of so-called "lesser" animals sentiments and wisdom highly appropriate to humans. The hero of the strip, Pogo Possum, said "we have met the enemy and he is us". This is also true of the clash between our demands on aquatic ecosystems and the abuses of them. If we learned anything from our coming together and participation in the various discussions, there is hope that we will be able to buy into all, or some, of the ideas. Perhaps we can become disciples to spread the word to our children, our neighbors, our group constituents, and government representatives at all levels. Two points that were made repeatedly in the workshop are dialogue and discussion are necessary, and there is hope in our young people.
We, as a Task Team, will attempt to utilize the counsel received from participants from this workshop, and from the other workshops, to provide GLFC with our suggestions for a set of recommendations to the Resource Managers. Those recommendations will incorporate the role of biodiversity and will probably include ideas on the need for coordination and compilation of data on the Great Lakes. We have experienced trouble locating, obtaining, or transposing information on a number of topics. The major reason is a result of the involvement on the Great Lakes of several federal agencies, nine state and provincial agencies, and several groups of Native Peoples. Often the same type of information is gathered by several agencies, but in different formats which make it difficult or impossible to combine. You saw at the outset of this workshop the use of three circles to represent the three Units of our Task. We will proceed toward the coordination of the three activities, which was expressed as the overlapping portion of the three circles.
The formal end of the Task is June 30, 1998, but complete documentation, including Task Completion Report, may not be available until 1999. Otherwise the results will be in the form of a mix of GLFC Technical Reports and papers in journals.
The remaining duty for the Task Members is to express our thanks to the various people who made the workshop such an outstanding success. We thank each participant, and hope each has profited personally from the experience of helping the Task Team with ideas and opinions, expressed in breakout sessions, survey form, and appraisal form.
Mike Donahue's skill as a Facilitator was greatly appreciated, and recognized as one of the reasons the workshop functioned so well. Much credit for the effectiveness of the breakout groups is the result of the willingness of busy people to give their time to assist us as facilitators (Larry Crowder, Jim Diana, Dave McLeish, George Spangler and Roy Stein). We
extend our thanks to the notetakers Jen Abdella, Susan Fruchey, Michelle Huffman, Deborah Steinberg, Leslie TeWinkel, and Amy Schick who also donated their time to assist in the process. Possibly it will help them to understand the problems of the Great Lakes and those who utilize them. We appreciate the time Marc Gaden took out of his schedule to come and present his informative and interesting talk to us. We should also thank the Great Lakes Fishery Commission for making it possible to bring us all together to listen, discuss, and to hear one another's points of view.
The PIs of the Biodiversity Task extend their thanks to the student members of the three units, Becky Cudmore, Lisa Eby, and Karen Mumford. It was almost totally their efforts and ingenuity that led to the mix of participants and the organization of the very successful workshop.
INTERNATIONAL SEA LAMPREY MANAGEMENT ON THE ST. MARYS RIVER:
EVERYONE WINS BUT THE SEA LAMPREY
Guest Speaker: Marc Gaden,
Great Lakes Fishery Commission
Marc Gaden of the Great Lakes Fishery Commission's Secretariat delivered a slide presentation about the Commission's efforts to control sea lampreys produced in the St. Marys River. Gaden pointed out that the St. Marys River poses some of the biggest challenges the Commission has faced in its 40-year history.
Today, the St. Marys River produces more parasitic sea lampreys than all Great Lakes tributaries combined. Prior to the mid-1970s, the St. Marys River had been an inhospitable place for sea lampreys to live and reproduce. Water quality and habitat improvements during the previous couple of decades have turned the river into a producer of hundreds of thousands of sea lampreys annually. Sea lampreys produced in the St. Marys River migrate into Lake Huron and northern Lake Michigan and prey heavily on many fish species. More fish are destroyed by sea lampreys than all other sources of mortality combined— including natural causes, sport, tribal, and commercial harvest.
The river's tremendous size and flow volume prohibit effective sea lamprey control using conventional methods. Use of the lampricide TFM on the St. Marys River, for instance, would require approximately $12 million and would only eliminate 50% of the sea lampreys—an unacceptable level of control, especially for the cost.
Gaden reported that after years of research and development, the Commission and its agents were able to develop alternatives to TFM; in 1997 this research provided the Commission with the knowledge to commence sea lamprey control on the St. Marys River. The program relies on three techniques working together to significantly reduce sea lampreys produced in the river:
1. **Granular Bayluscide:** Controlling Sea Lamprey Larvae. Scientists learned that sea lamprey larvae are not dispersed evenly throughout the St. Marys River but rather, are concentrated in a few areas of relatively high abundance. Using helicopters and global positioning technology, a specially formulated lampricide—granular Bayluscide—will be applied to the "hot spots" to kill sea lamprey larvae on the bottom of the river. Granular Bayluscide applications will take place in 1998 and 1999.
2. **Trapping:** Removing Spawners. The Great Lakes Fishery Commission entered into partnerships with Great Lakes Power and the U.S. Army Corps of Engineers to construct sea lamprey traps on the St. Marys River. Traps remove thousands of spawning sea lampreys and supply males for the sterilization program.
3. **The Sterile-Male-Release-Technique:** Suppressing Long-Term Spawning Success. Male sea lampreys are trapped, sterilized, and released into the St.
Marys River. The sterilized males compete with normal males for females and thereby reduce the reproductive potential over the long-term.
In 1997, the Commission- with the support of the Lake Committees- redirected most of the sterile males to the St. Marys River. Gaden noted that sea lamprey control on the St. Marys River is consistent with the Commission's Strategic Vision for an integrated sea lamprey control program that relies on partnerships and that promotes a healthy Great Lakes ecosystem. This control effort is cost-effective, it relies heavily on alternative controls, and it will reduce parasitic sea lampreys in Lake Huron and northern Lake Michigan by 85%, a level consistent with Fish Community Objectives. Spawning potential of lake trout and other species is expected to rise dramatically. In formulating the St. Marys River program, Gaden stressed that the Great Lakes Fishery Commission worked closely with state, federal, and tribal partners, and received extensive input from scientists, its committees and boards, and the public. Funds for sea lamprey control on the St. Marys River have been provided by the U.S. and Canadian federal governments and by the State of Michigan.
Appendix A:
Great Lakes Fishery Commission Biodiversity Workshop Agenda
April 22-24, 1998
Ann Arbor, MI
Wednesday, April 22
8:00 - 10:00 PM Official Welcome
Evening social with appetizers and beverages
Thursday April 23
8:30 AM Introduction- workshop goals and structure
Dr. Mike Donahue
8:45 AM Overview of GLFC Biodiversity Project
Dr. E.J. Crossman
9:00 AM The Ins and Outs of Great Lakes Fishes
Becky Cudmore
9:30 AM Ins and Outs: Implications of Species Changes for Fish,
Ecosystems, and People
Lisa Eby
10:00 AM (Coffee break)
10:15 AM Breakout groups
11:30 AM Reports from the breakout groups
12:30 PM Lunch (provided)
12:45 PM Guest Speaker:
International Sea Lamprey Management on the St.
Marys River: Everyone Wins but the Sea Lamprey
Marc Gaden, Communications Specialist
Great Lakes Fishery Commission
1:30 PM Conservation Concepts: Buzzwords or Helpful Tools?
Dr. J. Baird Callicott
2:00 PM Human Values: Diversity and Direction
Karen Mumford
2:30 PM (Break)
2:45 PM Breakout groups
4:00 PM Reports from the breakout groups
5:00 PM Reception: appetizers and cash bar
6:00 PM Dinner on your own
Friday April 24
8:30 AM Welcome back- summary of previous day's activities
Dr. Mike Donahue
8:45 AM Putting it all Together: Diversity, Change, and Uncertainty
Dr. Larry Crowder
9:15 AM Coffee break and join breakout groups
10:30 AM Reports from the breakout groups
11:30 AM Wrap-up- Where are We Going from Here?
Thank-you, post-workshop evaluation
Dr. E.J. Crossman
Appendix B:
Great Lakes Fishery Commission Biodiversity Workshop
Attendee List
Jim Boraski
Bob Collins
Steve Crawford
Jim Diana
Doug Dodge
Mike Donahue
Randy Eschenroder
Andy Frank
Todd Grische
Walter (Skip) Hartman
Dennis Hickey
Paul Jones
Doug Kettle
Glen Maxham
Dave McLeish
Greg Nadijwon
Cecil Peterson
Frank Prothero
Terry Quinney
Merlynn Russell
Michael Ryan
John Schrouder
George Spangler
Frank Sanza
Roy Stein
Jim Tibbles
John Tilt
Forest Williams
Don Wismar
GLFC Biodiversity Task Group:
Baird Callicott
E. J. Crossman
Larry Crowder
Becky Cudmore
Lisa Eby
Karen Mumford
Appendix C:
Results of Pre-workshop Survey
A pre-workshop survey was sent out to participants to explore some of their views and perspectives towards the Great Lakes and its fish communities. Approximately 58% of the participants responded. Most of the respondents were associated with more than one of the lakes, but we found Lakes Ontario, Erie, Huron, Michigan, and Superior were represented well and evenly. Most of the respondents had been personally involved in the lakes for over 10 years. We inquired about familiarity and importance of particular concepts used in conservation and what they considered to be some of the most important impacts on the Great Lakes and its fishes. All of the conservation concepts that we inquired about were considered to be very important or somewhat important to almost all of the respondents (Table 1).
**Table 1.** Survey question: How important is each of the following concepts, in your own work or in Great Lakes related activities? Numbers represent the actual number of respondents that indicated the level of importance of each term.
| Concept | Not Sure | Very Important | Somewhat Important | Not Important |
|--------------------------|----------|----------------|--------------------|---------------|
| Biodiversity | 0 | 11 | 7 | 0 |
| Biological Integrity | 1 | 11 | 4 | 1 |
| Ecological Rehabilitation| 1 | 11 | 5 | 1 |
| Ecological Restoration | 1 | 9 | 7 | 0 |
| Ecosystem Health | 1 | 16 | 1 | 0 |
| Ecosystem Management | 1 | 15 | 2 | 0 |
| Sustainability | 0 | 17 | 1 | 0 |
To gain an understanding of the meaning of these concepts to workshop participants, we asked them to define or describe two concepts, biodiversity and sustainability. Of the 20 descriptions of biodiversity provided by respondents, most characterized biodiversity as the "diversity" or "variety" of one or more of the following: genotypes, stocks or populations, species, lifeforms, or ecosystems. Some descriptions included both native and non-native species such as "...healthy stocks of native and naturalized aquatic species..". Others included only native species: "...indigenous species mix excluding introduced species..". Three descriptions included humans as part of biodiversity such as "a wide variety of living organisms including humans..". Other descriptions also included the "interactions" or "interrelations" between life forms or systems as well as functional aspects of biodiversity: "biodiversity...includes not only the form of the living system, but also its functions."
Of the 19 descriptions of the concept of sustainability provided by workshop attendees, seven described sustainability in terms of sustaining long-term beneficial uses of Great Lakes organisms or ecosystems to meet current and future human needs and interests. The following reflects this emphasis, "Sensible harvest and use of our renewable resources for the benefit of the general public." Eight descriptions focused on sustaining the organisms or ecosystems of the Great Lakes into the future without referring to human needs or interests. An example of type of description is a follows, "Healthy and diverse ecosystems exhibiting long-term stability." Four described sustainability as balancing human interactions with protection of Great Lakes ecosystems or organisms. This is exemplified as follows, "..the management of human activities and impacts over time such that they neither irreversibly degrade the environment, nor impede processes, structures, or functions."
When asked to consider what level of impact several factors had on the Great Lakes and/or its fishes, most of the factors we listed received an impact rating of high by at least 50% of the respondents. Stocking, water quality, over-fishing received the most votes as having a high impact, followed closely by exotic species, extinctions, and changes in food availability (Table 2). Of the impacts considered, exotic species was ranked #1 by more people as having the greatest impact. Other impacts ranked #1 or #2 include water quality/pollution, habitat loss, and changes in food availability. Neither overfishing or extinction were mentioned often as an important impact (Table 3).
Table 2. Survey question: What level of impact do you believe the following factors currently have on the Great Lakes and/or its fishes? Numbers represent the actual number of respondents that indicated the level of impact of each factor.
| Factor | Not sure | High impact | Low impact | No impact |
|-------------------------------|----------|-------------|------------|-----------|
| Changes in food availability | 0 | 12 | 7 | 0 |
| Exotic species | 1 | 11 | 4 | 1 |
| Extinction of native species | 1 | 11 | 5 | 1 |
| Loss of habitat | 1 | 9 | 7 | 0 |
| Overfishing | 1 | 16 | 1 | 0 |
| Water quality/pollution | 1 | 15 | 2 | 0 |
| Stocking | 0 | 18 | 1 | 0 |
Table 3. Survey question: Of the factors above, please list the top three you believe have the greatest impact? Numbers represent the actual number of respondents that ranked the importance of each factor.
| Factor | ranked #1 | ranked #2 | ranked #3 |
|------------|-----------|-----------|-----------|
| Food | 2 | 2 | 3 |
| Exotic | 8 | 4 | 4 |
| Extinction | 1 | 0 | 1 |
| Habitat | 3 | 3 | 3 |
| Overfishing| 0 | 0 | 2 |
| Pollution | 4 | 5 | 1 |
| Stocking | 0 | 4 | 1 |
| Other | 0 | 0 | 3 |
When respondents were asked to state in their own words, the ways in which the Great Lakes were meaningful to them, a broad range of values toward the Great Lakes and its fishes and ecosystems were expressed. The values expressed by respondents ranged from material values such as a source of income and jobs to non-material values such as cultural and spiritual importance and intrinsic values. Some of these values and examples of statements expressed by respondents are summarized (Table 4).
Table 4. Examples of values expressed when survey respondents were asked to describe personally, the ways in which the Great Lakes and/or its fishes are important or meaningful.
| Values | Respondent description |
|-------------------------|----------------------------------------------------------------------------------------|
| **Material** | |
| Food | It has been a lifeline to my community for generations for **food**, barter and transportation |
| Economic | The Great Lakes support a commercial fishery that is an important socio-**economic** factor...and is an outlet for **capital** and employment |
| Jobs | Through many sources it [the Great Lakes] created and sustains **employment** |
| Ecological services | ..fishes of all species and functional groups are key to **proper functioning of the ecosystem to provide the services we need** |
| **Non-material** | |
| Aesthetic | The Great Lakes are **jewels** of North America..I highly value the **aesthetic** appeal |
| Cultural, spiritual, heritage | The Great Lakes are part of our **cultural, spiritual, and natural heritage** as healthy freshwater seas |
| Recreation | [The Great Lakes] are very important to **recreational fishing** |
| Ecological | [The Great Lakes] not only supports fishing but it is **important to many of our birds and other animals** |
| **Intrinsic** | ..it's important to me to be able to know that all natural flora and fauna living in the water, over the lakes, and on the shore are **there for their own sake** |
Appendix D:
Briefing Paper for Great Lakes Biodiversity Workshop
April 22-24th, Ann Arbor MI
What is the Great Lakes Fishery Commission (GLFC) Biodiversity Task?
In 1995, the Board of Technical Experts of the GLFC sponsored a three-year biodiversity study. The objectives of the study were to assess the changes in the composition of the Great Lakes fish community, examine the food web and ecological implications of these changes, and relate these changes to shifts in human values and management concepts. One of the goals of the study was to develop recommendations to Great Lakes resource managers that would incorporate the role of biodiversity in sustainable, consumptive and non-consumptive uses of the fishes. A significant part of this study involves organizing workshops to incorporate the experience and knowledge of fishery managers and citizens from around the Great Lakes.
Purpose of this Document
In this paper, we review the results to date of our research on the biodiversity of Great Lakes fishes. More specifically we examine the changing composition and structure of Great Lakes fish communities, the implications of such changes on the functions of Great Lakes ecosystems, and the changing ways people value the Lakes and their fishes. We summarize our major findings here and point to both problems and opportunities confronting citizens, scientists, and managers, who are seeking to better understand and enhance Great Lakes fisheries.
Why is biodiversity important?
The term biodiversity means variety in nature, including genetic variety, numbers of species, and the variety and distribution of habitats, populations and communities of organisms. The Great Lakes have experienced losses of native fishes, invasions of non-native organisms, habitat modification, and increased genetic uniformity. Many of these changes have been catastrophic for fish, as well as the citizens in the Great Lakes basin. Diminished biodiversity can influence ecosystem functions, such as the types and number of fish an ecosystem can produce. Thus all of us - citizens, scientists, and fishery managers - should be concerned.
Both governmental and nongovernmental organizations have begun to consider the connection between biodiversity and maintaining sustainable fisheries. We recognized decades ago that fish populations exist in, and interact with, the whole lake ecosystem. Therefore, we need to keep whole ecosystems healthy by recognizing and maintaining the critical components; including water quality, adequate production of forage fish, and habitats necessary for fish to feed, grow, and reproduce. Some species may also be critical components of healthy ecosystems, such as the invertebrate opossum shrimp or the lake trout. If so, we may also need to preserve them and their interactions so that the ecological processes that support our fisheries are maintained.
Biodiversity and Other Useful Concepts
Growing worldwide human population and intensive use of natural resources has led to a pooling of once-separated plants and animals and to an alarming increase in the rate of species extinctions during the twentieth century. Scientists refer to these changes as the loss of biological diversity or biodiversity. At first, **biodiversity** referred primarily to the variety of species, but the concept was soon widened to cover variety at all levels of biological organization, including genes, populations or stocks, species, communities, habitats, and ecosystems.
Many scientists limit the concept of biodiversity to genes and species of *native* organisms. Native species are typically the species at risk of disappearing. There are many examples of accidental or purposeful introductions wreaking havoc on the system by directly or indirectly causing the decline of other species in the system and altering habitat. However introduced genes or species might have neutral or even positive effects on host communities. In some cases, the native stocks have been completely eliminated from the Great Lakes. Thus, the only way to restore these species, if desired, is to introduce stocks from different ecosystems. For example, native Atlantic salmon were eliminated in Lake Ontario. Any efforts to restore Atlantic salmon to the lake must therefore rely on non-native stocks.
Other concepts such as ecosystem health, biological integrity, ecological restoration, and ecological rehabilitation express goals of resource management that are related to the concept of biodiversity (Box 1). Biotic communities in which all the native species exist in their characteristic numbers are said to have **biological integrity** and we may manage them so as to maintain native species. Biotic communities in which some native species have been lost or in which non-native species have been introduced may be candidates for **ecological restoration** to a condition of biological integrity. For example, in the Great Lakes ecological restoration would involve exterminating or controlling such non-native species as sea lamprey or zebra mussel and reintroducing the lost native species, such as lake trout.
**Ecological rehabilitation** is the process of returning an altered system to a state of health— which may include mixing native and non-native species. Just as human health is indicated by such things as normal temperature and blood pressure, ecosystem health is indicated by such things as long food chains capped by large, long-lived organisms, and complex food webs. The **health of an ecosystem** is not necessarily compromised when one species replaces another, provided that the replacement species performs the same function in the ecosystem. In irreversibly altered ecosystems, in which some native species are globally extinct and some non-native species cannot be eradicated, managers may focus on protecting important ecological processes and functions, instead of protecting or restoring native species.
Box 1. RESOURCE MANAGEMENT CONCEPTS
• **Biological integrity** refers to a naturally structured biological community composed of naturally interacting native species populations in their historic variety and numbers.
• **Ecological restoration** is the process of returning, as nearly as possible, a biological community to a condition of biological integrity.
• **Ecosystem health** is the normal occurrence of such ecological processes as primary production of biomass, energy flow, nutrient cycling, and disturbance regimes.
• **Ecological rehabilitation** is the process of returning an altered ecosystem to a condition of ecological health.
• **Ecosystem management** is the management of ecosystems first and foremost to maintain their health, with commodity extraction as a secondary or ancillary goal.
• **Ecological sustainability** is the use natural resources without compromising the health of ecosystems.
By clarifying and narrowing the interpretations of these concepts, they can be applied more usefully in different settings. In Lake Michigan, many native species and genetically distinct stocks have been lost and many non-native species have been introduced. As a result, the original species composition and structure of the fish community is greatly altered. Therefore, managers may choose to rehabilitate the lake rather than try to restore its biological integrity. In Lake Superior, where the fish community still retains most of its native species and their diverse stocks, the management goal could be biological integrity: protecting and restoring the original composition and structure of the fish community.
*What types of existing policies and initiatives address biological diversity?*
Concern about the loss of biodiversity, and the ecological and human implications of this loss have led Great Lakes governmental and non-governmental organizations to develop initiatives to address this issue. Box 2 summarizes several examples of initiatives related to protection of biological diversity. In Michigan, for example, a working committee was created to develop a state-level strategy to conserve biodiversity. The International Joint Commission, a binational organization involving Canada and the U.S., recognized biological diversity as an indicator of ecosystem health and stated that biodiversity was at risk along some shorelines of Lakes Ontario, Erie, and Huron.
BOX 2
Biodiversity Initiatives and Policies from Governmental and Non-governmental Organizations
| Organization | Year | Initiative |
|---------------------------------------------------|------|---------------------------------------------------------------------------|
| Federal-provincial-territorial Governments of Canada | 1992 | Canadian Biodiversity Strategy |
| Illinois Dept. of Natural Resources | 1994 | Illinois Critical Assessment Program |
| Nature Conservancy | 1994 | The Conservation of Biological Diversity in the Great Lakes Ecosystem |
| Wisconsin Dept.of Natural Resources | 1995 | Wisconsin's Biodiversity as a Management Issue |
| Great Lakes Fishery Commission | 1995 | The Role of Biodiversity in the Management of the Fishes of the Great Lakes |
| State of Michigan | 1992 | Public Act No.59 Biodiversity Conservation Act |
| International Joint Commission | 1996 | Eighth Biennial Report stating biodiversity as an indicator of ecosystem health |
| National Wildlife Federation | 1993 | Lake Superior Biodiversity Project |
Some non-governmental organizations identified key biological resources and threats and examined the scientific, socioeconomic, and political aspects associated with the protection of biodiversity. Input from citizens was incorporated into these initiatives. Various groups, such as Native Americans, First Nations, anglers, industry, commercial fishing interests, and watershed organizations participated in work to restore habitats and native species and to assist in research and assessment.
**Changes in Great Lakes fish communities**
Great Lakes fish communities have changed considerably over the years due to several factors which are summarized in Box 3. Twenty-seven of the 52 exotic fish species new to the Great Lakes, developed naturally reproducing populations. To date, 26 fish species and sub-species have been eliminated from one or more of the lakes. These gains and losses have substantially altered the fish community. Each Great Lake has experienced different levels of species gains and losses and are presented in Box 4.
| BOX 4 | # of established introduced species and subspecies | # Lost |
|-------|--------------------------------------------------|--------|
| Nipigon | 2 (4.6%) | 0 |
| Superior | 16 (18.6%) | 0 |
| Michigan | 21 (16.8%) | 11 |
| Huron | 18 (15.3%) | 9 |
| St. Clair | 15 (14.8%) | 1 |
| Erie | 20 (16.9%) | 11 |
| Ontario | 11 (10.1%) | 15 |
( )= % of introduced fish of the total established fish in lake
These losses and gains of fish species have led to changes in both the food web and community structure of the Lakes. For example, at the turn of the century the offshore fish community in Lakes Michigan and Ontario had about 20 plankton-eating fish (planktivores) and 2 predatory or fish-eating fish (piscivores). Recently the scales have tipped. Many plankton-eating fish have been eliminated while several new top predators have been introduced.
Along with these changes, top predators currently depend on fewer species of prey fish in the offshore community. Diet studies in the 1920s showed that top predators, such as lake trout and burbot, ate about 8 different types of prey. Currently, top predators eat about 3 different prey species, predominantly the introduced alewife. The fish communities in the nearshore waters of the lakes do not demonstrate these same changes in the food web structure.
What are the effects of these changes?
The number of fish that a lake can produce is limited by several factors, including nutrients. But changes in species composition can influence how many and what types of fish the ecosystem will produce. The loss of several deepwater species, such as deepwater chubs in Lake Michigan, has left deepwater areas devoid of fish. Influential exotics, such as sea lamprey, changed the structure of the communities by drastically reducing large offshore predatory fish (for example, lake trout & burbot) and the larger planktivores (for example, lake whitefish).
Changes in the fish community reduces the ability of a lake and its fishes to withstand stress or impacts. Many artificial systems incorporate "engineered redundancy," so that if one component fails, a back-up kicks in. Similar features occur in natural biotic communities and were present in the original fish communities of the Great Lakes. Presently, in Lake Michigan, however, most of the top predators in the offshore community, feed primarily on one forage species- alewife. If alewife populations decline, the top predators have few alternative prey on which to feed - there are no back-ups.
A lake that has diversity at every level in the food web, especially among the forage fish, can sustain fluctuations in one species without causing large changes in the structure of the whole fish community. Unanticipated disturbances, such as unusual weather or an outbreak of an epidemic disease, in lakes with reduced biodiversity may negatively impact the species composition. Maintenance of species diversity is critically important to sustaining a fishery.
Fluctuating biodiversity and its effects make managing a fishery difficult. Anytime a fish community is altered, the conditions and opportunities change for the species living in the system. Fish communities that have reduced biological integrity may be more vulnerable to species invasions. Although new species have been introduced into the Great Lakes for hundreds of years, it has been suggested that the number of successful invasions increased only after the Lake ecosystems had been severely impacted by over fishing, landuse activities, pollution, and other human related activities.
How are human values linked to biodiversity?
Changes in the way people value the lakes and their fishes have paralleled rapid ecological changes within the Great Lakes. To understand ecological changes, we need to understand the role of human values. Values indicate what is of worth to us and why. For example, lake trout may be of worth because they can be commercially harvested or, because they are a native species. Chinook salmon may be valued because they are challenging to catch and provide income to local communities. Healthy Great Lakes ecosystems may be valued because they will provide sustainable benefits to current and future generations. As reflected in Box 5, what we value and why are linked to how we use and manage the Great Lakes and their fishes.
BOX 5.
An example of the relationship between what we value, why, and how this affects use or management of the Great Lakes and Great Lakes fishes.
| What we value | Why we value it |
|---------------|----------------|
| Lake trout | native species, food |
| Chinook salmon| sport, income |
| Ecosystems | important ecological processes; sustainable source of income or food |
Use and Management
- angling
- commercial and subsistence fishing
- stocking
- habitat protection
Understanding values is especially important given the diversity and number of governmental and non-governmental organizations involved with the Great Lakes. These various organizations may hold similar or competing values and interests. Identifying values which overlap or converge will aid in development of policies acceptable to a broad range of citizens.
We have attempted to classify the variety of values expressed toward the diversity of life in the Great Lakes. For example, the Great Lakes and their fishes are valued materially as a source of food, profits, and jobs. Intangible values are also expressed and include sport or recreation, scientific knowledge gained from study of the Great Lakes plants and animals, and even aesthetic, moral, and spiritual values. Some governmental and non-governmental organizations also express intrinsic values—meaning that the Great Lakes and their fishes or ecosystems are valuable in and of themselves, for their own sakes, and not just because they provide goods or services to people.
The current status of the Great Lakes and its fish community reflects values and actions which have evolved and expanded over many decades. Box 6 summarizes shifting and expanding values and parallel shifts in management over time as expressed in current and historical documents from Great Lakes fishery management agencies. For example, in the 1800s, commercial fish stocks were of prime importance and they were valued as a source of food, jobs, and profits. By the 1960s, what was of value began to expand to include gamefish as well as commercial stocks. By the 1990s, whole fish communities, ecosystems, and watersheds were valued. From the 1960s through the 1990s, the value of the Great Lakes and their fishes expanded to include sport and recreational health benefits, a source of cultural identity and way of life for First Nations and Native Americans, and their intrinsic value.
Management goals and actions have also shifted and expanded over time. In the early 1800s, objectives were directed toward propagation of commercial stocks. From the 1960s through the 1990s, they expanded to include stock assessment and yield studies, restoration of native species, introduction of salmonids to control alewife populations and enhance the sport fishery, ecosystem-level management strategies, and watershed management. Cooperative efforts to manage the Great Lakes fisheries with input from various governmental and non-governmental organizations also occurred.
BOX 6
Shifting values and management strategies identified from documents of Great Lakes fishery management agencies.
| Era | What is valued | Why it is valued | Management strategy |
|----------------------|----------------------------------------------------|---------------------------------------|-------------------------------------------------------------------------------------|
| 1800's - 1900's | - commercial fish stocks | - food | - culture and propagation of commercial stocks; |
| | | - jobs | - introductions of non-native food fishes |
| | | - income | |
| 1900's - 1950's | - commercial fish stocks | - food | - culture and propagation of commercial stocks |
| | - gamefish | - jobs | - management of game fishes; |
| | | - income | - stock assessment and yield studies |
| | | - sport | |
| | | - health benefits | |
| 1960's - 1990's | - commercial fish stocks | - food | - stock assessment and yield studies |
| | - gamefish | - jobs | - restoration of native species |
| | - fish communities | - income | - introduction of species to control alewife |
| | - ecosystems | - sport | populations and enhance the sportfishery |
| | - watersheds | - health benefits | - ecosystem-level strategies to rehabilitate the Great Lakes |
| | - basin | - cultural identity & way of life | - protection and improvement of habitat including water quality |
| | | - ecological indicators | - management of watersheds and landuse activities |
| | | - intrinsic worth | - development of cooperative management strategies |
Understanding the linkages between societal values and the ecological and management changes in the Great Lakes will be crucial to the long-term protection of Great Lakes biological diversity. Understanding contemporary values may provide the insight needed to develop policies and management approaches which meet the various interests and needs of those in the Great Lakes region. Understanding both current and historical values may also help in developing strategies which will meet future challenges.
**A Final Challenge**
To date the most predictable feature of Great Lakes ecosystems is that they are unpredictable. Great Lakes social systems are equally complex involving a wide variety of citizens and governmental and non-governmental organizations with diverse and changing values. Currently, the sustainability of some Great Lakes fish populations appears questionable. Other populations have improved only with the help of intensive management actions, such as sea lamprey control. Our challenge for the future is to develop a management strategy that can address the diversity and dynamics of both natural and social systems and can help us respond to change and the challenges of the future.
"To keep every cog and wheel is the first precaution of intelligent tinkering"
-Aldo Leopold
For further information on:
Conservation Concepts and Values
Species Changes
Ecological Implications of Changes
Contact:
Baird Callicott and Karen Mumford
Ed Crossman and Becky Cudmore
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The productivity and quality of winter whooping crane critical habitat is directly dependent on freshwater inflows from the San Antonio / Guadalupe River (TPWD 1998). The survival of one endangered species, the whooping crane, and one candidate species, the Cagle's map turtle, are directly tied to maintenance of inflows (Mendoza 2001b).
The reduction of freshwater inflows is a huge threat to the whooping crane that could lead to extinction. Data shows that the health and survival of the endangered whooping crane flock is directly related with fresh water inflows and blue crab populations. Inflows that carry nutrients and sediments are needed to produce blue crabs that will provide food for whooping cranes.
Data from the last eight winters indicates a direct relationship between freshwater inflows on the Guadalupe River, blue crab populations, and whooping crane survival. Chavez-Ramirez (1996) found that when available, blue crabs can make up 80-90% of the diet of whooping cranes. An individual crane can consume up to 80 crabs per day. Studies by Nelson (1995) of whooping crane food items (crabs, clams, wolfberry, acorns) showed that blue crabs were the highest in protein and nutrition for the whoopers. When crabs are not available, whooping cranes will switch to other foods, but because of the poor nutritive value of these alternate foods, the whoopers may actually burn up fat reserves and have a net loss of energy for periods of the winter (Chavez-Ramirez 1996).
When inflows are high, blue crab populations increase due to enhanced reproduction and survival, and whooping crane mortality is low. With reduced inflows, crabs do poorly and whooping crane mortality rises dramatically. This makes sense since blue crabs make up 80-90% of the whooping crane diet. For an eight-year period starting in 1993, surveys were done to roughly estimate the number of blue crabs available to whooping cranes. The winters of 1993-94 and 2000-01 were poor crab years; the remaining six winters all had adequate numbers of blue crabs present. During the two winters with poor crab numbers, seven and six whooping cranes died respectively. In all six other winters, either zero or one whooper died. Thus, there seems to be a strong inverse correlation between blue crab abundance and whooping crane mortality. Sufficient inflows are required to produce the
necessary food for whooping cranes to survive. Higher winter mortality of whooping cranes occur when blue crab numbers are low, therefore the very survival of the species is dependent on water management strategies that provide inflows for the bays to remain productive (Mendoza 2001a). In addition, following the poor blue crab winter of 1993-94, 37% of the known adult pairs (17 out of 46) failed to nest following their return to Canada. This was believed to have resulted from their decreased energy reserves that had not built up sufficiently during the previous winter. This was unusual since normally just about all pairs attempt to nest annually.
Inflows which mix with Gulf waters help keep salinity levels moderate. When marsh and bay salinities exceed 23 parts per thousand (ppt), whooping cranes are forced to make daily flights to freshwater to drink. These flights use up energy, reduce time available for foraging or resting, and could make the cranes more vulnerable to predation on the uplands (Stehn pers. comm.). Thus, inflows are crucial in keeping salinity levels below the threshold of 23 ppt in coastal marshes used by whooping cranes.
**Status of Guadalupe River flows**
Inflows on the Guadalupe River are already insufficient and reduced over historic levels. TWDB data indicate natural droughts already threaten the ecosystem of the Guadalupe Estuary and predict that in less than 50 years withdrawals of surface and ground waters for municipal and industrial growth will leave insufficient inflows to sustain the ecosystem (USFWS 1994).
Kretzschmar (1990) predicted that a net annual loss of gaged inflow amounting to 555,000 acre-feet of water would occur on the Guadalupe by the year 2040. As water development pressures mount, freshwater inflows to the Texas bay systems are being reduced, and blue crab populations are being adversely affected. TPWD projects an 8% reduction in blue crab populations in 40 years due to reduced inflows. This is going to have an alarming impact on whooping cranes.
The San Antonio and Guadalupe Rivers that empty into whooping crane critical habitat are calculated to need 1.24 million acre-feet per year to maintain ecosystem subsistence (TPWD 1998). Yet between 1941-1976, inflows were less than that amount in 14 out of 36 years, making its status already precarious (TDWR1980). The Service is very concerned about the impacts that planned diversions from the Guadalupe River would have on environmental water needs for adequate inflow to San Antonio Bay. Reduced inflows, including planned diversions from the lower reaches, is a definite threat to the continued survival of the wintering population of the endangered whooping crane and its critical habitat which lies in and around this estuary. With projected diversions, inflows will be insufficient to maintain the ecosystem in an average rainfall year (Stehn pers. comm.). Long before the ecosystem collapsed for lack of inflows, there would be significant adverse impacts to the primary winter food supply of the whooping crane (Kretzschmar 1990). The death of 6 whooping cranes during the 2000-01 winter emphasizes how serious an issue this is. This projected reduction is a major concern in keeping the whooping crane from going extinct (Stehn pers. comm.).
Human consumption of river water in Texas is a growing resource issue as the State's population continues to expand. This is a very worrisome trend since Texas water law reserves water for people but has few provisions for wildlife. Leaving sufficient water in the rivers to provide bay inflows is not explicitly designated as a beneficial use of water in Texas water law. National media attention was received in spring 2001 when the Rio Grande River dried up and flows no longer reached the Gulf. This is not the only river in Texas in trouble. So many people are using water from the aquifer and the rivers in central Texas, that the downstream folks and creatures are already seeing what most Texans do not want to acknowledge; that the rivers are already over-appropriated, and absolutely noone is
minding the store, when it comes to making sure any fresh water ever makes it to the bays and estuaries (Wassenich pers. comm.).
With the population of Texas predicted to double in the next 50 years, the Texas legislature has initiated a state-wide water planning effort. As water developers plan to take water from the rivers, there is no direct mechanism in Texas water law to secure freshwater inflows to the bays and estuaries. Basically, the bays get whatever is left over, and portions of Texas rivers, including the Guadalupe, are already over-appropriated.
To prevent impacts and avoid "take" of the whooping crane under the Endangered Species Act, the Service urges planners to quantify the freshwater inflow needs to maintain bay productivity and the critical habitat of the whooping crane and to account for these needs in future versions of the State Water Plan (Mendoza 2001b). Formal consultations on flow reductions must ensure that downstream water needs are met (Stehn 1998).
Management Actions and Needs
The San Marcos River Foundation has applied for a 1.3 million acre-feet water right that would remain in the rivers to provide inflows to the bay. This amount is the minimum flow needed to sustain the bay ecosystem and keep the bays productive (TPWD 1998, Mendoza 2001a). Without sufficient inflows, wildlife resources, including fish, crabs, and shrimp, all decline. The 1.3 million acre-feet figure is often quoted as an amount needed to maximize harvest of 9 marine species of commercial interest in the bays and estuaries. In the case of blue crabs, more than 1.3 million acre-feet is needed to produce high blue crab populations. TPWD data clearly show that increased water inflows result in higher blue crab numbers (Mendoza 2001a). Crab survival of all life stages increases when salinities are generally below 20 ppt, and the very young stages in the blue crab life cycle show much better survival when salinities are moderate. Blue crabs were found to be more abundant in the Guadalupe Estuary in salinities averaging between 10-25 ppt. A simple inverse relationship exists between blue crabs catch rates and mean salinity within an estuary (Longely 1994). Peak crab counts in the bays occur following periods of flooding. In San Antonio bay, the 3 highest blue crab harvest years were all having inflows greater than 3 million acre-feet annually. Thus, to maximize blue crabs for whooping cranes to eat, managers should maximize freshwater inflows on the Guadalupe River. Guaranteed minimum inflows to the bay are essential. Inflow level targets have not been identified to adequately support whooping cranes.
Any withdrawal of water from the San Antonio / Gaudalupe River system is harmful to whooping cranes (Stehn pers. comm.). Inflow modeling is needed specifically for impacts to blue crab populations. Until this is done, water planners cannot make a judgement how much harm river withdrawals will do to blue crabs and thus whooping cranes. The U.S. Fish and Wildlife Service believes that providing a water right to the bays, as proposed by the San Marcos River Foundation, would be a crucial first step in guaranteeing that the bays would continue to function ecologically for all users to enjoy (Mendoza 2001a).
The U.S. Fish and Wildlife Service must take a strong stand on the inflow / whooping crane issue. All conservation groups need to do all in their power to ensure that adequate inflows from the Guadalupe River reach the bays. The Service has written a letter of support for the San Marcos River Foundation's application for 1.3 million acre-feet of water that would remain in the river for wildlife. The San Marcos River Foundation's water rights application is an important step in ensuring inflows on the Guadalupe reach the bays. It would be precedent setting in Texas for a water right to be
designated as an inflow. Water developers are contesting the application. They are saying that human needs for water are too great and that there isn't enough water available to provide the water identified by the Texas Parks and Wildlife Department study needed to sustain the bays and estuaries. This issue has everyone's attention, and support is needed if the San Marcos River Foundation's application is to be successful.
Measures to protect instream flow, fish and wildlife habitat, and freshwater inflows to bays and estuaries should be part of each regional water management plan (Sansom 2000). It is essential that the Region L water plan provide a mechanism for providing adequate inflows to San Antonio bay for the health and survival of the whooping crane population.
Any environmental analysis for groundwater use should include a detailed assessment of potential impacts to fish and wildlife found in springs, streams, rivers, and even inflows to bays and estuaries. An example of an area of concern is the Edwards Aquifer and the impacts reduced flows would have on the whooping crane found in the San Antonio and Aransas bays (Mendoza 2001b). Especially in times of drought, groundwater-fed springs can provide 80% of the inflow from the Guadalupe River. Comal and San Marcos Springs combined can make up over 30% of the base flow of the Guadalupe River and nearly 70% during periods of drought (Sansom 2000).
Management actions needed are to
a) model inflows and blue crab populations for the Guadalupe Estuary and relate to ecological needs of whooping cranes.
b) devise strategies to conserve blue crabs populations by maintaining required inflows.
c) maintain inflows to keep marsh salinities below 23 ppt. (Stehn pers.comm.)
Citations
Chavez-Ramirez 1996. Food availability, Foraging Ecology, and Energetics of Whooping Cranes Wintering in Texas. M.S. thesis. TAMU-College Station.
Kretzschmar, G. E. 1990. Exec. Administrator of TWDB, letter to USFWS, Dec. 5, 1990.
Longley et al. 1995. Freshwater Inflows to Texas Bays and Estuaries. TPWD and TWDB, Austin, TX. 386 pp.
Mendoza 2001a. Letter in August, 2001 supporting SMRF.
Mendoza 2001b. Letter commenting on state water plan.
Sansom 2000. Letter to TWDB
Stehn 1998. Memo to Allen White, USFWS-Ecological Services.
Texas Department of Water Resources (1980) Guadalupe Estuary: a Study of the Influence of Freshwater Inflows. LP-107. Austin, TX. 321 pp.
Texas Parks and Wildlife 1998. Freshwater Inflow Recommendation for the Guadalupe Estuary of Texas. Coastal Studies Technical Report No. 98-1, written by Pulich et. al. 61 pp.
USFWS 1994. Whooping Crane Recovery Plan. Albuquerque, NM.
Copyright 2002 Journey North. All Rights Reserved.
Please send all questions, comments, and suggestions to our feedback form
The following is a list of the most common causes of hearing loss:
- **Age**: As we age, our hearing can naturally decline due to the normal wear and tear on our ears and the aging process.
- **Noise Exposure**: Prolonged exposure to loud noises can damage the sensitive hair cells in the inner ear, leading to hearing loss. This is often referred to as noise-induced hearing loss.
- **Medications**: Certain medications, including some antibiotics, chemotherapy drugs, and aspirin in high doses, can cause hearing loss as a side effect.
- **Infections**: Infections such as mumps, measles, and meningitis can cause hearing loss, especially in children.
- **Trauma**: Traumatic events like head injuries or blows to the ear can cause hearing loss by damaging the structures of the ear.
- **Congenital Conditions**: Some people are born with hearing loss due to genetic factors or complications during pregnancy or childbirth.
- **Autoimmune Disorders**: Conditions like lupus and rheumatoid arthritis can sometimes affect the inner ear, leading to hearing loss.
- **Circulatory System Issues**: Problems with blood flow to the inner ear, such as those caused by high blood pressure or heart disease, can impair hearing.
- **Tumors**: Tumors that grow near the auditory nerve or in the brain can compress the nerve, affecting hearing.
- **Earwax Buildup**: Excessive earwax can block the ear canal, making it difficult for sound waves to reach the eardrum, thus causing temporary hearing loss.
- **Foreign Objects**: Inserting objects into the ear canal, such as cotton swabs or hairpins, can cause injury and lead to hearing loss.
- **Viral Infections**: Viral infections, particularly those affecting the central nervous system, can sometimes result in hearing loss.
- **Nutritional Deficiencies**: Lack of certain nutrients, such as folic acid, vitamin B12, and iron, can contribute to hearing loss.
- **Smoking**: Smoking can increase the risk of hearing loss by damaging the blood vessels that supply the inner ear with oxygen and nutrients.
- **Excessive Alcohol Consumption**: Heavy drinking can lead to hearing loss by damaging the delicate structures of the inner ear.
- **Sleep Apnea**: Sleep apnea, a condition characterized by pauses in breathing during sleep, can cause hearing loss due to the strain on the body and potential oxygen deprivation.
- **Pregnancy**: Some women experience hearing loss during pregnancy, which may be related to hormonal changes or other factors.
- **Recreational Drug Use**: The use of recreational drugs, such as cocaine and methamphetamine, can cause hearing loss by damaging the delicate structures of the inner ear.
- **Environmental Factors**: Long-term exposure to loud environments, such as construction sites or factories, can lead to hearing loss over time.
- **Genetic Factors**: Some individuals inherit genes that predispose them to hearing loss, either from birth or later in life.
Understanding these causes can help in recognizing the signs of hearing loss early and seeking appropriate medical attention. | bce70a8b-af98-4af3-b1b7-3c10db7b2716 | CC-MAIN-2023-23 | https://www.edwardsaquifer.org/wp-content/uploads/2019/02/2001_Stehn_WhoopingCranes.pdf | 2023-05-31T23:19:33+00:00 | crawl-data/CC-MAIN-2023-23/segments/1685224647459.8/warc/CC-MAIN-20230531214247-20230601004247-00598.warc.gz | 828,501,606 | 3,539 | eng_Latn | eng_Latn | 0.991048 | eng_Latn | 0.997657 | [
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## OFFICIAL JUDGES CARD
**Show:** 2013 World Show
**Date:** 11-16-13
**Class:** Amateur Cutting
**Go Round:** Prelim
### RUN CONTENT:
- Herd Work—Driving a cow (+/-) ✓ ✓ - ✓
- Controlling the cow—Working in center of arena (+/-) ✓
- Degree of Difficulty (+/-) ✓
- Eye Appeal (+/-) ✓
- Time Worked (+/-) ✓
- Amount of Courage (+/-) ✓
- Loose Reins (✓/-)
- Horse Charging (-)
- Forced Off a Cow (-)
- Excessive Herdholder Help (-)
### Penalties
#### One Point:
- (A) Miss/Loss of working advantage—11
- (a) 1/2 Miss/Loss of working advantage—11
- (B) Reining or visibly cueing—8
- (C) Noise directed toward cattle—5a
- (D) Toe, foot or stirrup on shoulder—8d
- (E) Hold on too long on a cut—8a
- (F) Working out of position—11
- (G) Hand too far forward—8
#### Five Point:
- (A) Horse quitting a cow—14
- (B) Losing a cow—9
- (C) Changing cattle after a specific commitment—10
- (D) Failure to separate a single animal after leaving the herd—15
- 50—If horse turns tail—7
- 0—If horse falls to ground—17
#### Three Point:
- (A) Hot quit—13
- (B) Cattle picked up or scattered—5b
- (C) Second hand on the reins—5b
- (D) Spur in the shoulder—8c
- (E) Pawing or biting cattle—12
- (F) Failure to make a deep cut—1
- (G) Back Fence—6
### Disqualification (score 0) - illegal equipment, or leaving working area before time expires, or inhumane treatment to the horse.
| HORSE | SCORE | PENALTIES | RUN CONTENT |
|---------|-------|-----------|-------------|
| | | 1 PT | 3 PTS | 5 PTS | Herd Work | Controlling the cow | Degree of Difficulty | Eye Appeal | Time Worked | Amount of courage | Loose Reins | Horse Charging | Forced off a cow | Penalties |
| 1. 514 | 71 | | | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 2. 1859 | 71 | | | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 3. 2007 | 69 | B | | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 4. 1258 | 74 | | | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 5. 1667 AMS N/A | 66 | | | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 6. 636 | 72 | A | | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 7. 2012 | 71 | | | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 8. 1465 | 69 | F | | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 9. 593 | | | | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 10. 1925 | 68 | | | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 11. 1259 | 70 | A | | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 12. 986 | 71.2 | | | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 13. 924 | 72 | | | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
Divisions within the penalty box represent 1st, 2nd or 3rd cow worked.
### Official Judges Card
**Show:** ___________________________ **Date:** ___________________________
**Class:** ___________________________ **Go Round:** _______________________
### Run Content:
- Herd Work—Driving a cow (+/-) ✓ ✓ - ✓
- Controlling the cow—Working in center of arena (+/-) ✓
- Degree of Difficulty (+/-) ✓
- Eye Appeal (+/-) ✓
- Time Worked (+/-) ✓
- Amount of Courage (+/-) ✓
- Loose Reins (✓/-)
- Horse Charging (-)
- Forced Off a Cow (-)
- Excessive Herdholder Help (-)
### Penalties
| One Point: | Five Point: |
|------------|-------------|
| (A) Miss-Loss of working advantage—11 | (A) Horse quitting a cow—14 |
| (a) 1/2 Miss-Loss of working advantage—11 | (B) Loosing a cow—9 |
| (B) Reining or visibly cueing—8 | (C) Changing cattle after a specific commitment—10 |
| (C) Noise directed toward cattle—8a | (D) Failure to separate a single animal after leaving the herd—15 |
| (D) Toe, foot or stirrup on shoulder—8d | 60—If horse turns tail—7 |
| (E) Held on too long on a cut—8a | 0—If horse falls to ground—17 |
### Three Point:
- (A) Hot quit—13
- (B) Cattle picked up or scattered—5b
- (C) Second hand on the reins—8b
- (D) Spur in the shoulder—8s
- (E) Poking or biting cattle—12
- (F) Failure to make a deep cut—1
- (G) Back Fence—5
### Disqualification (score 0) - Illegal equipment, or leaving working area before time expires, or inhumane treatment to the horse.
### Run Content
| Horse | Score | 1 PT | 3 PTS | 5 PTS | Herd Work | Controlling the cow | Degree of Difficulty | Eye Appeal | Time Worked | Amount of Courage | Loose Reins | Horse Charging | Forced Off a Cow | Excessive Help |
|-------|-------|------|-------|-------|-----------|---------------------|----------------------|------------|-------------|------------------|-------------|---------------|----------------|----------------|
| 14. | 1992 | 70 | | | ✓ | ✓ | ✓ | | | | | | | |
| 15. | 595 | | | | | | | | | | | | | |
| 16. | 823 | 71½ | | | ✓ | ✓ | ✓ | | | | | | | |
| 17. | 565 | 73 | | | ✓ | ✓ | ✓ | | | | | | | |
| 18. | 925 | 60 | | | ✓ | ✓ | ✓ | | | | | | | |
| 19. | 2008 | 71 | 3 | | ✓ | ✓ | ✓ | | | | | | | |
| 20. | 1587 | 68 | | | ✓ | ✓ | ✓ | | | | | | | |
| 21. | 603 | 70 | | | ✓ | ✓ | ✓ | | | | | | | |
| 22. | 1742 | 72½ | | | ✓ | ✓ | ✓ | | | | | | | |
| 23. | 1385 | 70 | 4 | | ✓ | ✓ | ✓ | | | | | | | |
| 24. | 1091 | 7½ | | | ✓ | ✓ | ✓ | | | | | | | |
| 25. | 1090 | 71 | | | ✓ | ✓ | ✓ | | | | | | | |
| 26. | 1257 | 65 | 5 | | ✓ | ✓ | ✓ | | | | | | | |
Divisions within the penalty box represent 1st, 2nd or 3rd cow worked.
---
NCHA Membership No. 2687
Judge's Signature
Cameron
### Amateur Cutting Prelims
#### Official Judges Card
**Show:** ___________________________ **Date:** ___________________________
**Class:** ___________________________ **Go Round:** _______________________
---
**RUN CONTENT:**
- Herd Work—Driving a cow (+/-) ✓ ✓ - ✓
- Controlling the cow—Working in center of arena (+/-) ✓
- Degree of Difficulty (+/-) ✓
- Eye Appeal (+/-) ✓
- Time Worked (+/-) ✓
- Amount of Courage (+/-) ✓
- Loose Reins (+/-)
- Horse Charging (-)
- Forced Off a Cow (-)
- Excessive Herdholder Help (-)
---
**Penalties**
One Point:
(A) Miss/Loss of working advantage—11
(a) 1/2 Miss/Loss of working advantage—11
(B) Reining or visibly cueing—8
(C) Nose directed toward cattle—5a
(D) Toe, foot or stirrup on shoulder—8d
(E) Held on too long on a cut—8a
(F) Working out of position—11
(G) Hand too far forward—8
Three Points:
(A) Hot quit—18
(B) Cattle picked up or scattered—5b
(C) Second hand on the reins—8a
(D) Spur in the shoulder—8o
(E) Saving or cutting cattle—12
(F) Failure to make a deep cut—1
(G) Back Fence—6
Five Point:
(A) Horse quitting a cow—14
(B) Losing a cow—9
(C) Changing cattle after a specific commitment—10
(D) Failure to separate a single animal after leaving the herd—15
60—If horse turns tail—7
0—If horse falls to ground—17
Disqualification (score 0) - illegal equipment, or leaving working area before time expires, or inhumane treatment to the horse.
---
| HORSE | SCORE | PENALTIES | RUN CONTENT |
|-------|-------|-----------|-------------|
| | | 1 PT | 3 PTS | 5 PTS | Hard Work | Controlling the cow | Degree of Difficulty | Eye Appeal | Time Worked | Amount of Courage | Loose Reins | Horse Charging | Forced off a Cow | Excessive Help |
| 27. | 2105 | 67 | EB | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 28. | 566 | 70 | | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 29. | 1860 | 71 | | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 30. | 1401 | 70 | aa | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 31. | 1362 | 71½ | | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 32. | 173 | 60 | | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 33. | 1741 | 72 | | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 34. | 2011 | 67 | | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 35. | 492 | 69 | | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 36. | 1934 | 72½ | | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 37. | 488 | 73 | | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| AMS | 38. | 67 | | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
---
Divelons within the penalty box represent 1st, 2nd or 3rd cow worked.
---
NCHA Membership No. 3687
Judge's Signature
Cameron
### Official Judges Card
**Show:** ___________________________ **Date:** ___________________________
**Class:** ___________________________ **Go Round:** _______________________
### Run Content:
- Herd Work—Driving a cow (+/-) ✓ ✓ - ✓
- Controlling the cow—Working in center of arena (+/-) ✓
- Degree of Difficulty (+/-) ✓
- Eye Appeal (+/-) ✓
- Time Worked (+/-) ✓
- Amount of Courage (+/-) ✓
- Loose Reins (+/-)
- Horse Charging (-)
- Forced Off a Cow (-)
- Excessive Herdholder Help (-)
### Penalties
#### One Point:
(A) Mile-Loss of working advantage—11
(B) 1/2 Mile-Loss of working advantage—11
(C) Reining or visible curving—8
(D) Noise directed toward cattle—5a
(E) Toe, foot or stirrup on shoulder—8d
(F) Held on too long on a cut—8a
(G) Hand too far forward—8
#### Three Point:
(A) Hot quit—18
(B) Cattle picked up or scattered—5b
(C) Second hand on the reins—3b
(D) Spur in the shoulder—8c
(E) Pawing or biting cattle—12
(F) Failure to make a clean cut—1
(G) Back Fence—6
#### Five Point:
(A) Horse quitting a cow—14
(B) Losing a cow—9
(C) Changing cattle after a specific commitment—10
(D) Failure to separate a single animal after leaving the herd—15
(E) If horse turns tail—7
(F) If horse falls to ground—17
#### Disqualification (score 0) - illegal equipment, or leaving working area before time expires, or inhumane treatment to the horse.
### Run Content
| HORSE | SCORE | PENALTIES | 1 PT | 3 PTS | 5 PTS | Herd Work | Controlling the cow | Degree of Difficulty | Eye Appeal | Time Worked | Amount of Courage | Loose Reins | Horse Charging | Forced Off a Cow | Excessive Herdholder Help |
|-------|-------|-----------|------|-------|-------|-----------|---------------------|----------------------|------------|-------------|------------------|-------------|---------------|-----------------|--------------------------|
| 39 | 0490 | 0 | a | c | b | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | | | | |
| 40 | 0486 | 72 | | | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | | | | |
| 41 | 0459 | 70 | a | a | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | | | | |
| 42 | 1456 | 69 | | | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | | | | |
| 43 | 1089 | 0 | | | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | | | | |
| 44 | 2092 | 60 | a | b | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | | | | |
| 45 | 0485 | 73 | | | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | | | | |
| 46 | 1861 | 71 | | | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | | | | |
| 47 | 1830 | 70 | a | | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | | | | |
| 48 | 0115 | 71 | | | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | | | | |
| 49 | 1895 | 71 | b | a | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | | | | |
| 50 | 2018 | 74 | | | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | | | | |
Divisions within the penalty box represent 1st, 2nd or 3rd cow worked.
---
NCHA Membership No. ___________________________
Judges Signature ___________________________
CAMERON
## OFFICIAL JUDGES CARD
**Show:** 2013 World Show
**Date:** 11-16-13
**Class:** Amateur Cutting
**Go Round:** Prelim
### RUN CONTENT:
- Herd Work—Driving a cow (+/-) ✓ ✓ - ✓
- Controlling the cow—Working in center of arena (+/-) ✓
- Degree of Difficulty (+/-) ✓
- Eye Appeal (+/-) ✓
- Time Worked (+/-) ✓
- Amount of Courage—(+/-) ✓
- Loose Reins (✓/-)
- Horse Charging (-)
- Forced Off a Cow (-)
- Excessive Herdholder Help (-)
### Penalties
#### One Point:
(A) Miss/Loss of working advantage—11
(a) 1/2 Miss/Loss of working advantage—11
(B) Fishing or visibleousing—8
(C) Noise directed toward cattle—5a
(D) Use, or use of stirrup on shoulder—8d
(E) Horse on too long on a cut—8a
(F) Working out of position—11
(G) Hand too far forward—9
#### Three Point:
(A) Hot quit—15
(B) Cattle kicked up or scattered—5b
(C) Second hand on the reins—8b
(D) Pinch in the shoulder—8c
(E) Fishing or biting cattle—12
(F) Failure to make a deep cut—1
(G) Back Fence—8
#### Five Point:
(A) Horse quitting a cow—14
(B) Losing a cow—9
(C) Changing cattle after a specific commitment—10
(D) Failure to separate a single animal after leaving the herd—15
50—If horse turns tail—7
0—If horse falls to ground—17
#### Disqualification (score 0) - illegal equipment, or leaving working area before time expires, or inhumane treatment to the horse.
### PENALTIES
| HORSE | SCORE | 1 PT | 3 PTS | 5 PTS | Hard Work | Controlling the cow | Degree of Difficulty | Eye Appeal | Time Worked | Amount of courage | Loose Reins | Horse Charging | Forced off a cow | Excessive Herdholder Help |
|-----------|-------|------|-------|-------|-----------|---------------------|----------------------|------------|-------------|------------------|-------------|----------------|-------------------|--------------------------|
| 1. 564 AMS-73 | 70 | A | | | | | | | | | | | | |
| 2. 1859 | 71 | | | | | | | | | | | | | |
| 3. 2007 | 68 | | | | | | | | | | | | | |
| 4. 1258 | 73 | | | | | | | | | | | | | |
| 5. 1667 | 71 | E | | | | | | | | | | | | |
| 6. 636 | 72 | F | | | | | | | | | | | | |
| 7. 2012 | 71 | | | | | | | | | | | | | |
| 8. 1445 | 68 | F | | | | | | | | | | | | |
| 9. 593 | S | C | | | | | | | | | | | | |
| 10. 1925 AMS-68 | 68 | | | | | | | | | | | | | |
| 11. 1259 | 70 | A | | | | | | | | | | | | |
| 12. 986 | 73 | | | | | | | | | | | | | |
| 13. 924 | 73 | | | | | | | | | | | | | |
Divisions within the penalty box represent 1st, 2nd or 3rd cow worked.
### Official Judges Card
**Show:** ___________________________ **Date:** ___________________________
**Class:** ___________________________ **Go Round:** _______________________
### Run Content:
- Herd Work—Driving a cow (+/-) ✓ ✓ - ✓
- Controlling the cow—Working in center of arena (+/-) ✓
- Degree of Difficulty (+/-) ✓
- Eye Appeal (+/-) ✓
- Time Worked (+/-) ✓
- Amount of Courage (+/-) ✓
- Loose Reins (✓/-)
- Horse Charging (-)
- Forced Off a Cow (-)
- Excessive Herdholder Help (-)
### Penalties
#### One Point:
1. Miss/Loss of working advantage—11
2. Miss/Loss of working advantage—11
3. Reining or visibly cueing—8
4. Noise directed toward cattle—5a
5. Toe, foot or stirrup on shoulder—8d
6. Hold on too long on a cut—8a
7. Working out of position—11
8. Hand too far forward—8
#### Three Points:
9. Hot quit—13
10. Cattle picked up or scattered—5b
11. Second hand on the reins—5b
12. Spur in the shoulder—8a
13. Pawing or biting cattle—12
14. Failure to make a deep cut—1
15. Back Fence—5
#### Five Point:
16. Horse quitting a cow—14
17. Losing a cow—9
18. Changing cattle after a specific commitment—10
19. Failure to separate a single animal after leaving the herd—15
20. If horse turns tail—7
21. If horse falls to ground—17
#### Disqualification (score 0) - illegal equipment, or leaving working area before time expires, or inhumane treatment to the horse.
### Run Content
| Horse | Score | 1 PT | 3 PTS | 5 PTS | Herd Work | Controlling the cow | Degree of Difficulty | Eye Appeal | Time Worked | Amount of Courage | Loose Reins | Horse Charging | Forced off a Cow | Excessive Herdholder Help |
|-------|-------|------|-------|-------|-----------|---------------------|----------------------|------------|-------------|------------------|-------------|---------------|-------------------|--------------------------|
| 27. | 2105 | 67 | F | F | J | + | - | - | 1 | + | - | - | - | - |
| 28. | 566 | 71 | E | | | | | | | | | | | |
| 29. | 1860 | 72 | | | | | | | | | | | | |
| 30. | 1401 | 70 | a | a | | | | | | | | | | |
| 31. | 1362 | 71 | | | | | | | | | | | | |
| 32. | 173 | 60 | F | | | | | | | | | | | |
| 33. | 1741 | 72 | | | | | | | | | | | | |
| 34. | 2011 | 68 | F | | | | | | | | | | | |
| 35. | 492 | 69 | | | | | | | | | | | | |
| 36. | 1934 | 70 | | | | | | | | | | | | |
| 37. | 488 | 71 | F | | | | | | | | | | | |
| 38. | 1866 | 72½ | | | | | | | | | | | | |
Divisions within the penalty box represent 1st, 2nd or 3rd cow worked.
---
NCHA Membership No.: ___________________________ Judge’s Signature: ___________________________ 2011
### Official Judges Card
**Show:** ___________________________ **Date:** ___________________________
**Class:** ___________________________ **Go Round:** _______________________
### Run Content:
- Herd Work—Driving a cow (+/-) ✓ ✓ - ✓
- Controlling the cow—Working in center of arena (+/-) ✓
- Degree of Difficulty (+/-) ✓
- Eye Appeal (+/-) ✓
- Time Worked (+/-) ✓
- Amount of Courage (+/-) ✓
- Loose Reins (+/-)
- Horse Charging (-)
- Forced Off a Cow (-)
- Excessive Herdholder Help (-)
### Penalties
| One Point: | Five Point: |
|------------|-------------|
| (A) Miss/Loss of working advantage—11 | (A) Horse quitting a cow—14 |
| (a) 1/2 Miss/Loss of working advantage—11 | (B) Losing a cow—9 |
| (B) Reining or visibly cueing—8 | (C) Changing cattle after a specific commitment—10 |
| (C) Noise directed toward cattle—5a | (D) Failure to separate a single animal after leaving the herd—15 |
| (D) Toe, foot or stirrup on shoulder—8d | 60—If horse turns tail—7 |
| (E) Hold on too long on a cut—8a | 0—If horse falls to ground—17 |
| (F) Working out of position—11 | Disqualification (score 0)—Illegal equipment, or leaving working area before time expires, or inhumane treatment to the horse. |
### Three Point:
- (A) Hot quit—13
- (B) Cattle picked up or scattered—5b
- (C) Second hand on the reins—8b
- (D) Spur in the shoulder—8c
- (E) Pawing or biting cattle—12
- (F) Failure to make a deep cut—1
- (G) Black Patch—8
### Run Content
| Horse | Score | 1 PT | 3 PTS | 5 PTS | Herd Work | Controlling the cow | Degree of Difficulty | Eye Appeal | Time Worked | Amount of Courage | Loose Reins | Horse Charging | Forced off a Cow | Excessive Herdholder Help |
|-------|-------|------|-------|-------|-----------|---------------------|----------------------|------------|-------------|------------------|-------------|----------------|-------------------|--------------------------|
| 39. 0490 | 0 | B | | | | | | | | | | | | |
| 40. 0486 | 73 | A | | | | | | | | | | | | |
| 41. 0459 | 70 | AA | | | | | | | | | | | | |
| 42. 1456 | 69 | | | | | | | | | | | | | |
| 43. 1089 | 0 | C | B | | | | | | | | | | | |
| 44. 2092 | 60 | | | | | | | | | | | | | |
| 45. 0485 | 74 | | | | | | | | | | | | | |
| 46. 1861 | 71 | A | | | | | | | | | | | | |
| 47. 1830 | 71½ | F | | | | | | | | | | | | |
| 48. 0115 | 71½ | | | | | | | | | | | | | |
| 49. 1895 | 71 | Fa | | | | | | | | | | | | |
| 50. 2018 | 71 | | | | | | | | | | | | | |
Divisions within the penalty box represent 1st, 2nd or 3rd cow worked.
---
NCHA Membership No. ___________________________ Judge’s Signature ___________________________ 2011
## OFFICIAL JUDGES CARD
**Show:** 2013 World Show
**Date:** 11-16-13
**Class:** Amateur Cutting
**Go Round:** Prelim
### RUN CONTENT:
- Herd Work—Driving a cow (+/-) ✓ ✓ - ✓
- Controlling the cow—Working in center of arena (+/-)
- Degree of Difficulty (+/-) ✓
- Eye Appeal (+/-) ✓
- Time Worked (+/-) ✓
- Amount of Courage-(+/-) ✓
- Loose Reins (+/-)
- Horse Charging (-)
- Forced Off a Cow (-)
- Excessive Herdholder Help (-)
### Penalties
#### One Point:
(A) Miss-Loss of working advantage—11
(a)-1/2 Miss-Loss of working advantage—11
(B) Pulling or visibly cutting—8
(C) Cattle directed toward cattle—5a
(D) Toe, foot or stirrup on shoulder—8d
(E) Hold on too long on a cut—8a
(F) Working out of position—11
(G) Hand too far forward—8
#### Three Point:
(A) Hot quit—13
(B) Cattle picked up or scattered—6b
(C) Second hand on the reins—8b
(D) Spur in the shoulder—8c
(E) Pawing or biting cattle—12
(F) Failure to make a deep cut—1
(G) Back Fence—6
#### Five Point:
(A) Horse quitting a cow—14
(B) Losing a cow—9
(C) Changing cattle after a specific commitment—10
(D) Failure to separate a single animal after leaving the herd—15
60—if horse turns tail—7
0—if horse falls to ground—17
#### Disqualification (score 0) - Illegal equipment, or leaving working area before time expires, or inhumane treatment to the horse.
### HORSE SCORE
| HORSE | SCORE | PENALTIES | RUN CONTENT |
|-------|-------|-----------|-------------|
| 1. 564 | 70 | A F F | ✓ ✓ ✓ |
| 2. 1859 | 71 | | ✓ ✓ = |
| 3. 2007 | 70 | | ✓ ✓ = |
| 4. 1258 | 73 | | ✓ ✓ = |
| 5. 6667 | 69 | E B | ✓ ✓ = |
| 6. 636 | 72 | a | ✓ ✓ = |
| 7. 2012 | 70 | | ✓ ✓ = |
| 8. 1465 | 68 | F F | ✓ ✓ = |
| 9. 593 | SCRATCH | | ✓ ✓ = |
| 10. 1925 | 67 | a | ✓ ✓ = |
| 11. 1259 | 70 | A | ✓ ✓ = |
| 12. 986 | 72 | | ✓ ✓ = |
| 13. 924 | 74 | | ✓ ✓ = |
Divisions within the penalty box represent 1st, 2nd or 3rd cow worked.
### OFFICIAL JUDGES CARD
**Show:** ___________________________ **Date:** ___________________________
**Class:** ___________________________ **Go Round:** _______________________
### RUN CONTENT:
- Herd Work—Driving a cow (+/-) ✓ ✓ - ✓
- Controlling the cow—Working in center of arena (+/-) ✓
- Degree of Difficulty (+/-) ✓
- Eye Appeal (+/-) ✓
- Time Worked (+/-) ✓
- Amount of Courage (+/-) ✓
- Loose Reins (✓/-)
- Horse Charging (-)
- Forced Off a Cow (-)
- Excessive Herdholder Help (-)
### Penalties
#### One Point:
- (A) Miss/Loss of working advantage—1t
- (A-1/2) Miss/Loss of working advantage—11
- (B) Relining or visibly ceiling—8
- (C) Noise directed toward cattle—5a
- (D) Toe, foot or stirrup on shoulder—3d
- (E) Hold on too long on a cut—8a
- (F) Working out of position—11
- (G) Hand too far forward—8
#### Three Point:
- (A) Hot quit—13
- (B) Cattle picked up or scattered—5b
- (C) Second hand on the reins—8b
- (D) Spur in the shoulder—5c
- (E) Pawing or biting cattle—12
- (F) Failure to make a deep cut—1
- (G) Back Fence—8
#### Five Point:
- (A) Horse quitting a cow—14
- (B) Losing a cow—9
- (C) Changing cattle after a specific commitment—10
- (D) Failure to separate a single animal after leaving the herd—15
- 60—if horse turns tail—7
- 0—if horse fails to ground—17
#### Disqualification (score 0) - Illegal equipment, or leaving working area before time expires, or inhumane treatment to the horse.
### RUN CONTENT
| HORSE | SCORE | PENALTIES | HERD WORK | CONTROLLING THE COW | DEGREE OF DIFFICULTY | EYE APPEAL | TIME WORKED | AMOUNT OF COURAGE | LOOSE REINS | HORSE CHARGING | FORCED OFF A COW | EXCESSIVE HERDHOLDER HELP |
|-------|-------|-----------|-----------|---------------------|----------------------|------------|-------------|------------------|------------|---------------|-------------------|------------------------|
| 14. | 1992 | 70 | | ✓ | ✓ | ✓ | ✓ | ✓ | + | ✓ | ✓ | ✓ |
| 15. | 595 | SCRATCH | | | | | | | | | | |
| 16. | 823 | 71 | | ✓ | ✓ | ✓ | ✓ | ✓ | + | ✓ | ✓ | ✓ |
| 17. | 565 | 73 | | ✓ | ✓ | ✓ | ✓ | ✓ | + | ✓ | ✓ | ✓ |
| 18. | 925 | 60 | | | | | | | | | | |
| 19. | 2008 | 71 | | | | | | | | | | |
| 20. | 1587 | 70 | | ✓ | ✓ | ✓ | ✓ | ✓ | + | ✓ | ✓ | ✓ |
| 21. | 603 | 70 | | ✓ | ✓ | ✓ | ✓ | ✓ | + | ✓ | ✓ | ✓ |
| 22. | 1742 | 72½ | | ✓ | ✓ | ✓ | ✓ | ✓ | + | ✓ | ✓ | ✓ |
| 23. | 1385 | 71 | | ✓ | ✓ | ✓ | ✓ | ✓ | + | ✓ | ✓ | ✓ |
| 24. | 1091 | 69 | | | | | | | | | | |
| 25. | 1090 | 71½ | | ✓ | ✓ | ✓ | ✓ | ✓ | + | ✓ | ✓ | ✓ |
| 26. | 1257 | 63 | | | | | | | | | | |
Divisions within the penalty box represent 1st, 2nd or 3rd cow worked.
NCHA Membership No. 16177 Judge's Signature SCOTT WEIS 2011
### Official Judges Card
**Show:** ___________________________ **Date:** ___________________________
**Class:** ___________________________ **Go Round:** _______________________
### Run Content:
- Herd Work—Driving a cow (+/-) ✓ ✓ - ✓
- Controlling the cow—Working in center of arena (+/-) ✓
- Degree of Difficulty (+/-) ✓
- Eye Appeal (+/-) ✓
- Time Worked (+/-) ✓
- Amount of Courage (+/-) ✓
- Loose Reins (√/-)
- Horse Charging (-)
- Forced Off a Cow (-)
- Excessive Herdholder Help (-)
### Penalties
#### One Point:
1. (A) Miss—Loss of working advantage—11
2. (B) Reining or visibly cueing—8
3. (C) Noise directed toward cattle—5a
4. (D) Toe, foot or stirrup on shoulder—8d
5. (E) Hold on too long on a cut—8a
6. (F) Working out of position—11
7. (G) Hand too far forward—6
#### Five Point:
1. (A) Horse quitting a cow—14
2. (B) Losing a cow—9
3. (C) Changing cattle after a specific commitment—10
4. (D) Failure to separate a single animal after leaving the herd—15
5. (E) If horse turns tail—7
6. (F) If horse falls to ground—17
#### Three Point:
1. (A) Hot quit—13
2. (B) Cattle picked up or scattered—5b
3. (C) Second hand on the reins—8c
4. (D) Spur in the shoulder—8s
5. (E) Pawing or biting cattle—12
6. (F) Failure to make a close cut—1
7. (G) Black Force—6
#### Disqualification (score 0) - illegal equipment, or leaving working area before time expires, or inhumane treatment to the horse.
| HORSE | SCORE | PENALTIES | RUN CONTENT |
|-------|-------|-----------|-------------|
| | | 1 PT | 3 PTS | 5 PTS | Herd Work | Controlling the cow | Degree of Difficulty | Eye Appeal | Time Worked | Amount of Courage | Loose Reins | Horse Charging | Forced Off a Cow | Excessive Herdholder Help |
| 27. | 2105 | 68 | E | | ✓ | - | = | ✓ | ✓ | ✓ | - | ✓ | - | - |
| 28. | 566 | 70 | B | | ✓ | = | + | ✓ | ✓ | ✓ | + | ✓ | - | - |
| 29. | 1860 | 71 | | | ✓ | + | + | ✓ | ✓ | ✓ | + | ✓ | - | - |
| 30. | 1401 | 70 | B | | ✓ | = | + | ✓ | ✓ | ✓ | + | ✓ | - | - |
| 31. | 1362 | 71 | | | ✓ | + | + | ✓ | ✓ | ✓ | + | ✓ | - | - |
| 32. | 173 | 60 | a | | ✓ | = | + | ✓ | ✓ | ✓ | + | ✓ | - | - |
| 33. | 1741 | 71½ | | | ✓ | + | + | ✓ | ✓ | ✓ | + | ✓ | - | - |
| 34. | 2011 | 68 | a | | ✓ | = | + | ✓ | ✓ | ✓ | + | ✓ | - | - |
| 35. | 492 | 68 | a | | ✓ | + | + | ✓ | ✓ | ✓ | + | ✓ | - | - |
| 36. | 1934 | 71 | | | ✓ | + | + | ✓ | ✓ | ✓ | + | ✓ | - | - |
| 37. | 488 | 72 | | | ✓ | + | + | ✓ | ✓ | ✓ | + | ✓ | - | - |
| 38. | 1866 | 72 | | | ✓ | + | + | ✓ | ✓ | ✓ | + | ✓ | - | - |
Divisions within the penalty box represent 1st, 2nd or 3rd cow worked.
---
**Judge's Signature**
---
**WEIS**
### Official Judges Card
**Show:** ___________________________ **Date:** ___________________________
**Class:** ___________________________ **Go Round:** _______________________
### Run Content:
- Herd Work—Driving a cow (+/-) ✓ ✓ = ✓
- Controlling the cow—Working in center of arena (+/-) ✓
- Degree of Difficulty (+/-) ✓
- Eye Appeal (+/-) ✓
- Time Worked (+/-) ✓
- Amount of Courage (+/-) ✓
- Loose Reins (✓/-)
- Horse Charging (-)
- Forced Off a Cow (-)
- Excessive Herdholder Help (-)
### Penalties
#### One Point:
- (A) Miss/Loss of working advantage—11
- (B) 1/2 Miss/Loss of working advantage—11
- (C) Reining or visibly cueing—8
- (D) Toes, foot or stirrup on shoulder—5a
- (E) Hold on too long on a cut—8a
- (F) Working out of position—11
- (G) Hand too far forward—6
#### Three Point:
- (A) Hot quit—13
- (B) Cattle picked up or scattered—5b
- (C) Second hand on the reins—8b
- (D) Spur in the shoulder—8c
- (E) Pawing or biting cattle—12
- (F) Failure to make a deep cut—1
- (G) Back Fence—5
#### Five Point:
- (A) Horse quitting a cow—14
- (B) Losing a cow—9
- (C) Changing cattle after a specific commitment—10
- (D) Failure to separate a single animal after leaving the herd—15
- 60—If horse turns tail—7
- 0—If horse falls to ground—17
#### Disqualification (score 0) - illegal equipment, or leaving working area before time expires, or inhumane treatment to the horse.
### Run Content
| Horse | Score | 1 PT | 3 PTS | 5 PTS | Herd Work | Control the cow | Degree of Difficult | Eye Appeal | Time Worked | Amount of Courage | Loose Reins | Horse Charging off a cow | Forced Off a Cow | Excessive Herdholder Help |
|-------|-------|------|-------|-------|-----------|-----------------|---------------------|------------|-------------|-------------------|-------------|--------------------------|------------------|--------------------------|
| 39. | 0490 | O | a | k | | ✓ | ✓ | ✓ | | | | | | |
| 40. | 0486 | 72 | | | | ✓ | ✓ | ✓ | | | | | | |
| 41. | 0459 | 69 | | | | ✓ | ✓ | ✓ | | | | | | |
| 42. | 1456 | 68 | F | | | ✓ | ✓ | ✓ | | | | | | |
| 43. | 1089 | O | K | | | ✓ | ✓ | ✓ | | | | | | |
| 44. | 2092 | 63 | F | | | ✓ | ✓ | ✓ | | | | | | |
| 45. | 0485 | 72 | | | | ✓ | ✓ | ✓ | | | | | | |
| 46. | 1861 | 71 | | | | ✓ | ✓ | ✓ | | | | | | |
| 47. | 1830 | 71 | | | | ✓ | ✓ | ✓ | | | | | | |
| 48. | 0115 | 70 | F | | | ✓ | ✓ | ✓ | | | | | | |
| 49. | 1895 | 70 | B | a | | ✓ | ✓ | ✓ | | | | | | |
| 50. | 2018 | 70 | | | | ✓ | ✓ | ✓ | | | | | | |
Divisions within the penalty box represent 1st, 2nd or 3rd cow worked.
---
NCHA Membership No. ___________________________
Judge's Signature ___________________________ 2011
## OFFICIAL JUDGES CARD
**Show:** 2013 World Show
**Date:** 11-16-13
**Class:** Amateur Cutting
**Go Round:** Prelim
### RUN CONTENT:
- Herd Work—Driving a cow (+/-) ✓ ✓ ✓
- Controlling the cow—Working in center of arena (+/-)
- Degree of Difficulty (+/-) ✓
- Eye Appeal (+/-) ✓
- Time Worked (+/-) ✓
- Amount of Courage (+/-) ✓
- Loose Reins (✓/-)
- Horse Charging (-)
- Forced Off a Cow (-)
- Excessive Herdholder Help (-)
### Penalties
- **One Point:**
- (A) Miss/Loss of working advantage—11
- (B) 1/4 Miss/Loss of working advantage—11
- (C) Relating or visibly cueing—8
- (D) Noise directed toward cattle—5a
- (E) Toe, foot or stirrup on shoulder—3d
- (F) Hold on too long on a cut—8a
- (G) Hand too far forwards—8
- **Five Point:**
- (A) Horse quitting a cow—14
- (B) Losing a cow—9
- (C) Changing cattle after a specific commitment—10
- (D) Failure to separate a single animal after leaving the herd—15
- **Three Point:**
- (A) Hot cut—18
- (B) Cattle picked up or scattered—5b
- (C) Second hand on the reins—6b
- (D) Spur in the shoulder—8c
- (E) Pawing or biting cattle—12
- (F) Failure to make a deep cut—1
- (G) Back Fence—8
- **Disqualification (score 0) - illegal equipment, or leaving working area before time expires, or inhumane treatment to the horse.**
| HORSE | SCORE | PENALTIES | RUN CONTENT |
|-------|-------|-----------|-------------|
| | | 1 PT | 3 PTS | 5 PTS | Herd Work | Controlling the cow | Degree of Difficulty | Eye Appeal | Time Worked | Amount of Courage | Loose Reins | Horse Charging | Forced off a cow | Excessive Herdholder Help |
| 1. 564 | 74 | a | | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 2. 1859 | 70 | | | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 3. 2007 | 71 | | | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 4. 1258 | 73 | | | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 5. 1667 | 71 | | | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 6. 636 | 71 | | | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 7. 2012 | 72 | | | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 8. 1465 | 69 | A | | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 9. 593 | | | | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 10. 1925 | 66 | F, BK | | | | | | | | | | | | |
| 11. 1259 | 68 | A | | | | | | | | | | | | |
| 12. 986 | 72½ | | | | | | | | | | | | | |
| 13. 924 | 72 | | | | | | | | | | | | | |
*Divisions within the penalty box represent 1st/2nd or 3rd cow worked.*
### Official Judges Card
**Show:** ___________________________ **Date:** ___________________________
**Class:** ___________________________ **Go Round:** _______________________
### Run Content:
- Herd Work—Driving a cow (+/-) ✓ ✓ - ✓
- Controlling the cow—Working in center of arena (+/-) ✓
- Degree of Difficulty (+/-) ✓
- Eye Appeal (+/-) ✓
- Time Worked (+/-) ✓
- Amount of Courage (+/-) ✓
- Loose Reins (✓/-)
- Horse Charging (-)
- Forced Off a Cow (-)
- Excessive Herdholder Help (-)
### Penalties
#### One Point:
1. Miss/Loss of working advantage—11
2. Miss/Loss of working advantage—11
3. Reining or visibly cueing—8
4. Nose directed toward cattle—8a
5. Toe, foot or stirrup on shoulder—8b
6. Hold on too long on a cut—8a
7. Working out of position—11
8. Hand too far forward—8
#### Five Point:
1. Horse quitting a cow—14
2. Losing a cow—9
3. Changing cattle after a specific commitment—10
4. Failure to separate a single animal after leaving the herd—15
#### Three Point:
1. Hot quit—13
2. Cattle picked up or scattered—5b
3. Second hand on the reins—8b
4. Spur in the shoulder—8s
5. Pawing or biting cattle—12
6. Failure to make a clean cut—1
7. Back Fence—6
#### Disqualification (score 0) - Illegal equipment, or leaving working area before time expires, or inhumane treatment to the horse.
### Run Content
| Horse | Score | 1 PT | 3 PTS | 5 PTS | Herd Work | Control the cow | Degree of Difficulty | Eye Appeal | Time Worked | Amount of Courage | Loose Reins | Horse Charging | Forced off a cow | Excessive Herdholder Help |
|-------|-------|------|-------|-------|-----------|-----------------|---------------------|------------|-------------|------------------|-------------|----------------|-------------------|--------------------------|
| 14. | 1992 | 72 | | | | | | | | | | | | |
| 15. | 595 | | | | | | | | | | | | | |
| 16. | 823 | 71 | | | | | | | | | | | | |
| 17. | 565 | 74 | | | | | | | | | | | | |
| 18. | 925 | 60 | | | | | | | | | | | | |
| 19. | 2008 | 70 | | | | | | | | | | | | |
| 20. | 1587 | 69 | | | | | | | | | | | | |
| 21. | 603 | 69 | | | | | | | | | | | | |
| 22. | 1742 | 72 | | | | | | | | | | | | |
| 23. | 1385 | 70 | EA | | | | | | | | | | | |
| 24. | 1091 | 69 | | | | | | | | | | | | |
| 25. | 1090 | 71½ | a | | | | | | | | | | | |
| 26. | 1257 | 60 | FF | | | | | | | | | | | |
Divisions within the penalty box represent 1st, 2nd or 3rd calf worked.
---
NCHA Membership No. 3956
Judges Signature:
### OFFICIAL JUDGES CARD
**Show:** ___________________________ **Date:** ___________________________
**Class:** ___________________________ **Go Round:** _______________________
### RUN CONTENT:
- Herd Work—Driving a cow (+/-) ✓ ✓ - ✓
- Controlling the cow—Working in center of arena (+/-) ✓
- Degree of Difficulty (+/-) ✓
- Eye Appeal (+/-) ✓
- Time Worked (+/-) ✓
- Amount of Courage (+/-) ✓
- Loose Reins (√/-)
- Horse Charging (-)
- Forced Off a Cow (+)
- Excessive Herdholder Help (-)
### Penalties
| One Point: | Five Point: |
|------------|-------------|
| (A) Miss/Loss of working advantage—11 | (A) Horse quitting a cow—14 |
| (B) Miss/Loss of working advantage—11 | (B) Losing a cow—9 |
| (C) Reining or visibly cueing—8 | (C) Changing cattle after a specific commitment—10 |
| (D) Noise directed toward cattle—5a | (D) Failure to separate a single animal after leaving the herd—15 |
| (E) Toe, foot or stirrup on shoulder—8d | 60—If horse turns tail—7 |
| (F) Hold on too long on a cut—8a | 0—If horse falls to ground—17 |
| Three Points: | Disqualification (score 0) - illegal equipment, or leaving working area before time expires, or inhumane treatment to the horse. |
|---------------|------------------------------------------------------------------------------------------------------------------|
| (A) Hot quit—13 | |
| (B) Cattle picked up or scattered—5b | |
| (C) Second hand on the reins—8b | |
| (D) Spur in the shoulder—8c | |
| (E) Pawing or biting cattle—12 | |
| (F) Failure to make a deep out—1 | |
| (G) Back Fence—8 | |
### HORSE
| HORSE | SCORE | PENALTIES | RUN CONTENT | Average |
|-------|-------|-----------|-------------|---------|
| | | | Hard Work | Control the cow | Degree of Difficulty | Eye Appeal | Time Worked | Amount of Courage | Loose Reins | Horse Charging | Forced Off a Cow | Excessive Herdholder Help |
| 27. 2105 | 66 | E F B | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ |
| 28. 566 | 71 | E | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ |
| 29. 1860 | 70 | | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ |
| 30. 1401 | 69 | AA | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ |
| 31. 1362 | 71 | a | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ |
| 32. 173 | 65 | | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ |
| 33. 1741 | 73 | A | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ |
| 34. 2011 | 68 | F F | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ |
| 35. 492 | 70 | E F | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ |
| 36. 1934 | 72 | | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ |
| 37. 488 | 70 | EA | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ |
| 38. 1866 | 72½ | | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ | ✓ ✓ - ✓ |
Divisions within the penalty box represent 1st, 2nd or 3rd cow worked.
---
NCHA Membership No. 3956
Judge's Signature
### Amateur Cutting Prelims
#### Official Judges Card
**Show:** ___________________________ **Date:** ___________________________
**Class:** ___________________________ **Go Round:** _______________________
---
**RUN CONTENT:**
- Herd Work—Driving a cow (+/-) ✓ ✓ - ✓
- Controlling the cow—Working in center of arena (+/-) ✓
- Degree of Difficulty (+/-) ✓
- Eye Appeal (+/-) ✓
- Time Worked (+/-) ✓
- Amount of Courage (+/-) ✓
- Loose Reins (✓/-)
- Horse Charging (-)
- Forced Off a Cow (-)
- Excessive Herdholder Help (-)
---
**Penalties**
| One Point: | Five Point: |
|------------|-------------|
| (A) Miss/Loss of working advantage—11 | (A) Horse quitting a cow—14 |
| (a) 1/2 Miss/Loss of working advantage—11 | (B) Losing a cow—9 |
| (B) Reining or visibly cueing—8 | (C) Changing cattle after a specific commitment—10 |
| (C) Noise directed toward cattle—5a | (D) Failure to separate a single animal after leaving the herd—15 |
| (D) Toe, foot or stirrup on shoulder—3d | 60—If horse turns tail—7 |
| (E) Hold on too long on a cut—6a | 0—If horse falls to ground—17 |
| (F) Working out of position—11 | Disqualification (score 0)—Illegal equipment, or leaving working area before time expires, or inhumane treatment to the horse. |
| Three Point: |
|--------------|
| (A) Hot quit—13 |
| (B) Cattle picked up or scattered—5b |
| (C) Second hand on the reins—8c |
| (D) Spur in the shoulder—8o |
| (E) Pawing or biting cattle—12 |
| (F) Failure to make a clean cut—1 |
| (G) Back Fence—5 |
---
| HORSE | SCORE | PENALTIES | RUN CONTENT |
|-------|-------|-----------|-------------|
| | | 1 PT | 3 PTS | 5 PTS | Herd Work | Controlling the cow | Degree of Difficulty | Eye Appeal | Time Worked | Amount of Courage | Loose Reins | Horse Charging | Forced Off a Cow | Excessive Herdholder Help |
| 39. | 0490 | 0 | A | B | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 40. | 0486 | 72 | A | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 41. | 0459 | 69 | A AA | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 42. | 1456 | 68 | F | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 43. | 1089 | 0 | | | | | | | | | | | | |
| 44. | 2092 | 62 | F | B | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 45. | 0485 | 72½ | | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 46. | 1861 | 70 | | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 47. | 1830 | 71½ | E | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 48. | 0115 | 71 | | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 49. | 1895 | 70 | | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 50. | 2018 | 71 | | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
---
Divisions within the penalty box represent 1st, 2nd or 3rd cow worked.
---
NCHA Membership No. 3956
Judges Signature
ENK
## OFFICIAL JUDGES CARD
**Show:** 2013 World Show
**Date:** 11-16-13
**Class:** Amateur Cutting
**Go Round:** Prelim
### RUN CONTENT:
- Herd Work—Driving a cow (+/-) ✓ ✓ - ✓
- Controlling the cow—Working in center of arena (+) ✓
- Degree of Difficulty (+/-) ✓
- Eye Appeal (+/-) ✓
- Time Worked (+/-) ✓
- Amount of Courage-(+/-) ✓
- Loose Reins (✓/-)
- Horse Charging (-)
- Forced Off a Cow (-)
- Excessive Herdholder Help (-)
### Penalties
#### One Point:
(A) Miss—Loss of working advantage—11
(a) 1/2 Miss—Loss of working advantage—11
(B) Reining or visibly cueing—8
(C) Horses directed toward cattle—5a
(D) Too foot or stirrup on shoulder—8d
(E) Hold on too long on a cut—8a
(F) Working out of position—11
(G) Hand too far forward—8
#### Three Points:
(A) Hot quit—19
(B) Cattle picked up or scattered—5b
(C) Hand held hand on the reins—8b
(D) Spur in the shoulder—8e
(E) Pawing or biting cattle—12
(F) Failure to make a deep cut—1
(G) Back Fence—6
#### Five Point:
(A) Horse quitting a cow—14
(B) Losing a cow—9
(C) Changing cattle after a specific commitment—10
(D) Failure to separate a single animal after leaving the herd—15
50—If horse turns tail—7
0—If horse falls to ground—17
**Disqualification (score 0)** - Illegal equipment, or leaving working area before time expires, or inhumane treatment to the horse.
### PENALTIES
| HORSE | SCORE | PENALTIES | RUN CONTENT |
|-------|-------|-----------|-------------|
| | | 1 PT | 3 PTS | 5 PTS | Herd Work | Controlling the cow | Degree of Difficulty | Eye Appeal | Time Worked | Amount of courage | Loose Reins | Horse Charging | Forced Off a Cow | Excessive Herdholder Help |
| 1. 564 | 73 | a | | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 2. 1859 | 70 | | | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 3. 2007 | 69 | B | | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 4. 1258 | 74 | | | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 5. 1667 | 70 | | | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 6. 636 | 72 | a | | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 7. 2012 | 71 | | | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 8. 1465 | 67 | AF | | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 9. 593 | SCRATCH | | | | | | | | | | | | | |
| 10. 1925 | 68 | F | | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 11. 1259 | 69 | A | | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 12. 986 | 72 | | | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 13. 924 | 73½ | | | | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
Divisions within the penalty box represent 1st, 2nd or 3rd cow worked.
### Official Judges Card
**Show:** ___________________________ **Date:** ___________________________
**Class:** ___________________________ **Go Round:** _______________________
### RUN CONTENT:
- Herd Work—Driving a cow (+/-) ✓ ✓ - ✓
- Controlling the cow—Working in center of arena (+/-) ✓
- Degree of Difficulty (+/-) ✓
- Eye Appeal (+/-) ✓
- Time Worked (+/-) ✓
- Amount of Courage (+/-) ✓
- Loose Reins (√/-)
- Horse Charging (-)
- Forced Off a Cow (-)
- Excessive Herdholder Help (-)
### Penalties
#### One Point:
(A) Miss/Loss of working advantage—11
(a) 1/2 Miss/Loss of working advantage—11
(B) Raining or visibly cueing—8
(C) Noise directed toward cattle—5a
(D) Toe, foot or stirrup on shoulder—3d
(E) Hold on too long on a cut—8a
(F) Working out of position—11
(G) Hand too far forward—6
#### Three Points:
(A) Hot quit—13
(B) Cattle picked up or scattered—5b
(C) Second hand on the reins—2b
(D) Spur in the shoulder—8c
(E) Missing or losing cattle—12
(F) Failure to make a deep cut—4
(G) Back Fence—6
#### Five Point:
(A) Horse quitting a cow—14
(B) Losing a cow—9
(C) Changing cattle after a specific commitment—10
(D) Failure to separate a single animal after leaving the herd—15
(E) If horse turns tail—7
(F) If horse falls to ground—17
#### Disqualification (score 0) - Illegal equipment, or leaving working area before time expires, or inhumane treatment to the horse.
### HORSE
| HORSE | SCORE | PENALTIES | RUN CONTENT | Above Average | Average | Below Average |
|-------|-------|-----------|-------------|---------------|---------|---------------|
| | | | 1 PT | 3 PTS | 5 PTS | Hard Work | Controlling the cow | Degree of Difficulty | Eye Appeal | Time Worked | Amount of Courage | Loose Reins | Horse Charging | Forced Off a Cow | Excessive Help |
| 14. 1992 | 70 | | ✓✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 15. 595 | SCRATCH | | | | | | | | | | | | | | |
| 16. 823 | 71 | | ✓✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 17. 565 | 73 | | ✓✓ | + | ✓ | + | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 18. 925 | 60 | | ✓✓ | A | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 19. 2008 | 70 | | ✓✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 20. 1587 | 69 | A | ✓✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 21. 603 | 70 | | ✓✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 22. 1742 | 72½ | | ✓+ | ✓ | # | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 23. 1385 | 69 | A | ✓✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 24. 1091 | 71½ | | ✓✓ | + | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 25. 1090 | 72 | | ✓✓ | + | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 26. 1257 | 65 | FF | ✓✓ | ✓ | - | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
Divisions within the penalty box represent 1st, 2nd or 3rd cow worked.
---
NCHA Membership No.: 50863
Judge's Signature: Farris
### OFFICIAL JUDGES CARD
**Show:** ___________________________ **Date:** ___________________________
**Class:** ___________________________ **Go Round:** _______________________
### RUN CONTENT:
- Herd Work—Driving a cow (+/-) ✓ ✓ - ✓
- Controlling the cow—Working in center of arena (+/-) ✓
- Degree of Difficulty (+/-) ✓
- Eye Appeal (+/-) ✓
- Time Worked (+/-) ✓
- Amount of Courage (+/-) ✓
- Loose Reins (+/-)
- Horse Charging (-)
- Forced Off a Cow (-)
- Excessive Herdholder Help (-)
### Penalties
**One Point:**
(A) Miss/Loss of working advantage—11
(e) 1/2 Miss/Loss of working advantage—11
(B) Reining or visibly cueing—8
(C) Noise directed toward cattle—5a
(D) Toe, foot or stirrup on shoulder—8d
(E) Held on too long on a cut—8a
(F) Working out of position—11
(G) Hand too far forward—8
**Three Point:**
(A) Hot quit—13
(B) Cattle picked up or scattered—5b
(C) Second hand on the reins—2c
(D) Spur in the shoulder—8c
(E) Sawing or cutting cattle—12
(F) Failure to make a deep cut—4
(G) Back Fence—6
**Five Point:**
(A) Horse quitting a cow—14
(B) Losing a cow—9
(C) Changing cattle after a specific commitment—10
(D) Failure to separate a single animal after leaving the herd—15
60—If horse turns tail—7
0—If horse falls to ground—17
**Disqualification (score 0) - Illegal equipment; or leaving working area before time expires; or inhumane treatment to this horse.**
### RUN CONTENT
| HORSE | SCORE | PENALTIES | Herd Work | Controlling the cow | Degree of Difficulty | Eye Appeal | Time Worked | Amount of Courage | Loose Reins | Horse Charging | Forced off a cow | Excessive Herdholder Help |
|-------|-------|-----------|-----------|---------------------|----------------------|------------|-------------|------------------|------------|---------------|-------------------|------------------------|
| 39. | 0490 | O | A | B | ✓ ✓ | | | | | | | |
| 40. | 0486 | 71 | A | | ✓ ✓ ✓ + ✓ + ✓ ✓ ✓ ✓ ✓ | | | | | | | |
| 41. | 0459 | 72 | | | ✓ ✓ ✓ + ✓ + ✓ ✓ ✓ ✓ ✓ | | | | | | | |
| 42. | 1456 | 69 | F | | ✓ ✓ ✓ + ✓ + ✓ ✓ ✓ ✓ ✓ | | | | | | | |
| 43. | 1089 | O | B | C | B | L | | | | | | |
| 44. | 2092 | 60 | F | F | B | ✓ ✓ ✓ - ✓ - ✓ ✓ ✓ ✓ - | | | | | | | |
| 45. | 0485 | 73 | | | ✓ ✓ ✓ + ✓ + ✓ ✓ ✓ ✓ ✓ | | | | | | | |
| 46. | 1861 | 70 | F | | ✓ ✓ ✓ + ✓ + ✓ ✓ ✓ ✓ ✓ | | | | | | | |
| 47. | 1830 | 71 | | | ✓ ✓ ✓ + ✓ ✓ ✓ ✓ ✓ ✓ ✓ | | | | | | | |
| 48. | 0115 | 70 | | | ✓ ✓ ✓ + ✓ ✓ ✓ ✓ ✓ ✓ ✓ | | | | | | | |
| 49. | 1895 | 69 | a | | ✓ ✓ ✓ + ✓ ✓ ✓ ✓ ✓ ✓ ✓ | | | | | | | |
| 50. | 2018 | 71 | | | ✓ ✓ ✓ + ✓ ✓ ✓ ✓ ✓ ✓ ✓ | | | | | | | |
Divisions within the penalty box represent 1st, 2nd or 3rd cow worked.
---
NCHA Membership No. 50863
Judge's Signature
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What you(th) should know about tobacco
Tobacco and Athletic Performance
- Don’t get trapped. Nicotine in cigarettes, cigars, and spit tobacco is addictive.
- Nicotine narrows your blood vessels and puts added strain on your heart.
- Smoking can wreck lungs and reduce oxygen available for muscles used during sports.
- Smokers suffer shortness of breath (gasp!) almost 3 times more often than nonsmokers.
- Smokers run slower and can’t run as far, affecting overall athletic performance.
- Cigars and spit tobacco are NOT safe alternatives.
Tobacco and Personal Appearance
- Yuck! Tobacco smoke can make hair and clothes stink.
- Tobacco stains teeth and causes bad breath.
- Short-term use of spit tobacco can cause cracked lips, white spots, sores, and bleeding in the mouth.
- Surgery to remove oral cancers caused by tobacco use can lead to serious changes in the face. Sean Marcee, a high school star athlete who used spit tobacco, died of oral cancer when he was 19 years old.
So...
- Know the truth. Despite all the tobacco use on TV and in movies, music videos, billboards and magazines—most teens, adults, and athletes DON’T use tobacco.
- Make friends, develop athletic skills, control weight, be independent, be cool… play sports.
- Don’t waste (burn) money on tobacco. Spend it on CD’s, clothes, computer games, and movies.
- Get involved: make your team, school, and home tobacco-free; teach others; join community efforts to prevent tobacco use.
Parents—Help Keep Your Kids Tobacco-Free
Know the facts about youth and tobacco use
- Kids who use tobacco may:
- Cough and have asthma attacks more often and develop respiratory problems leading to more sick days, more doctor bills, and poorer athletic performance.
- Be more likely to use alcohol and other drugs such as cocaine and marijuana.
- Become addicted to tobacco and find it extremely hard to quit.
- Spit tobacco and cigars are not safe alternatives to cigarettes; low-tar and additive-free cigarettes are not safe either.
- Tobacco use is the single most preventable cause of death in the United States causing heart disease, cancers, and strokes.
Take a stand at home—early and often
- Despite the impact of movies, music, and TV, parents can be the GREATEST INFLUENCE in their kids’ lives.
- Talk directly to children about the risks of tobacco use; if friends or relatives died from tobacco-related illnesses, let your kids know.
- If you use tobacco, you can still make a difference. Your best move, of course, is to try to quit. Meanwhile, don’t use tobacco in your children’s presence, don’t offer it to them, and don’t leave it where they can easily get it.
- Start the dialog about tobacco use at age 5 or 6 and continue through their high school years. Many kids start using tobacco by age 11, and many are addicted by age 14.
- Know if your kids’ friends use tobacco. Talk about ways to refuse tobacco.
- Discuss with kids the false glamorization of tobacco on billboards, and other media, such as movies, TV, and magazines.
Make a difference in your community
- Vote with your pocketbook. Support businesses that don’t sell tobacco to kids. Frequent restaurants and other places that are tobacco-free.
- Be sure your schools and all school events (i.e. parties, sporting events, etc.) are tobacco-free.
- Partner with your local tobacco prevention programs. Call your local health department or your cancer, heart, or lung association to learn how you can get involved.
Know the facts about youth and tobacco use.
Smoking slows lung growth, decreases lung function, and reduces the oxygen available for muscles used in sports.
Smokers suffer from shortness of breath almost 3 times more often than nonsmokers.
Nicotine is addictive in ways like heroin and cocaine.
Young people who do not start using tobacco by age 18 will most likely never start.
Young people who use tobacco may be more likely to use alcohol and other drugs such as cocaine and marijuana.
Spit tobacco and cigars are NOT safe alternatives to cigarettes; low-tar and additive-free tobacco products are not safe either.
Tobacco use is the single most preventable cause of death in the United States, causing heart and lung diseases, cancers, and strokes.
Take a stand – early and often.
Recognize your influence with young people. Don’t use tobacco around players. Remind them of the importance of being tobacco-free.
When talking to players, remember they relate more to messages about the immediate effects of tobacco use (such as poorer athletic performance) than to its long-term health threats.
Adopt and enforce a tobacco-free policy for players, coaches, and referees.
Send a copy of the tobacco-free policy home for parents to review.
Make all practices, games, and competitions tobacco-free—on the field and sidelines and in the stands.
Announce and display tobacco-free messages at games.
Consider partnering with your local tobacco prevention programs. Voice your support for tobacco-free schools, sports, and other community events. | <urn:uuid:414e1c1e-671a-4040-823f-41c81aee88e0> | CC-MAIN-2019-35 | https://www.lemongrove.ca.gov/Home/ShowDocument?id=314 | 2019-08-23T05:14:41Z | crawl-data/CC-MAIN-2019-35/segments/1566027317847.79/warc/CC-MAIN-20190823041746-20190823063746-00517.warc.gz | 847,377,671 | 1,064 | eng_Latn | eng_Latn | 0.997595 | eng_Latn | 0.997687 | [
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Recycling Know-How
Working to Keep Resources Out Of The Landfill
Unlike the trash can, using the curbside recycling bin takes a little thought. Madison’s curbside service, like many across the U.S., uses a single stream process meaning materials are sorted at the recycling facility rather than at home. Simple right? Yes, but only if we are putting the right stuff into the bin. It is tempting to throw questionable items in to be sorted out later, but this has a negative impact on the whole system. At the very least it drives up the costs of transportation and sorting as well as requiring disposal. At worst, it can contaminate materials that would have been recyclable sending everything to the landfill instead. Save this handy guide to recycle right!
The “Not Ready for Curbside Players”
There are some items that are recyclable just not via curbside pick-up, but with a little extra effort we can keep them out of the landfill.
Glass
Glass containers can be dropped off at the Morgan County collection site at 301 Hancock Street (behind the County Clerk’s office).
Plastic Bags
Plastic Bags and other plastic film (produce bags, dry cleaning bags, the wrap around paper towels, etc.)
Although these items are recyclable plastic, they tangle sorting machines and should be kept out of curbside bins. This includes bagging recyclable products. Drop them at Ingles, Lowes, and Walmart.
Shredded Paper
Technically this can go into the curbside bin provided it is in a clear plastic bag (yes, this is the exception to the no bag rule!). But there are better ways to go: 1) save your sensitive documents for the Community Shred (see ad on back page); or 2) take shredded paper to Morgan County Humane Society at 1170 Fairground Road. They use it for bedding!
Packing Material
Packing material is foam peanuts, air pillows, and clean kraft paper. Take this to Qwik Pack & Ship at 1512 Eatonton Road. They will reuse it!
Cardboard and pizza boxes flattened
Aluminum cans, aerosol cans (empty and lids removed), foil, and trays
Plastic food containers and trays, except Styrofoam
Rigid plastics, plastic bottles and jugs (except Styrofoam)
Junk mail, mixed paper, paper bags, and newspaper
Mixed paperboard: cereal boxes coated juice containers, tubes
Remember Not To Bag Your Recyclables
Items that are NOT accepted for recycling in Single Stream:
No Plastic Bags
No Napkins Or Paper Towels
No Shredded Paper
No Styrofoam
No Food
No Glass Or Glassware
No Paper Plates Or Cups
No ‘Tanglers’ (Hoses, Chains, Straps, Cords That Get Tangled)
No Plastic Cutlery
No Batteries Or Light Bulbs
No Hangers (Metal Or Plastic)
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Our Commitment to Eliminate Racial and Ethnic Health Disparities
David Satcher
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Recommended Citation
David Satcher, Our Commitment to Eliminate Racial and Ethnic Health Disparities, 1 Yale J. Health Pol'y L. & Ethics (2001). Available at: https://digitalcommons.lawyale.edu/yjhple/vol1/iss1/1
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Both the life expectancy and the overall health of Americans have improved greatly over the last century, but not all Americans are benefiting equally from advances in health prevention and technology. There is compelling evidence that race and ethnicity correlate with persistent health disparities in the burden of illness and death. For example, compared with their white counterparts, black babies are twice as likely to die during their first year of life, and American Indian babies are 1.5 times as likely. The rate of diabetes among Native Americans is three to five times higher than the rest of the American population, and among Hispanics it is twice as high as in the majority population. Although constituting only 11% of the total population in 1996, Hispanics accounted for 20% of new tuberculosis cases. Also, women of Vietnamese origin suffer from cervical cancer at nearly five times the rate for white women.
Current information about the biologic and genetic characteristics of these populations does not solely explain these health disparities. These disparities result from complex interactions among genetic variations, environmental factors, specific health behaviors, and differences in health care access and quality. While the diversity of the American population may be one of our nation’s greatest assets, it also represents a range of health improvement challenges—challenges that must be addressed by individuals, communities, and the nation. The demographic changes that are anticipated during the next decade magnify the importance of addressing disparities in health status; groups currently experiencing poorer health status are expected to grow as a proportion of the total U.S. population. Therefore, the future health of America depends substantially on our success in improving the health of racial and ethnic minorities. A national focus on disparities in health status is also particularly important
* David Satcher is Surgeon General of the United States Public Health Service. From February 1998 until January 2001, he was only the second person in history to serve as both Surgeon General and Assistant Secretary for Health. As Assistant Secretary for Health, he oversaw the development of the Department of Health and Human Services initiative to eliminate health disparities.
as major changes unfold in how health care is delivered and financed.
In a February 1998 radio address, then-President Clinton committed the nation to an ambitious goal by the year 2010: to eliminate the disparities experienced by racial and ethnic minority populations in six health-related areas, including cancer screening and management, cardiovascular disease, diabetes, HIV/AIDS, immunization rates, and infant mortality. These six health areas were selected for emphasis because they reflect areas of disparity that are known to affect multiple racial and ethnic minority groups at all life stages. Clinton’s goal parallels the focus of *Healthy People 2010*—the nation’s health objectives for the twenty-first century—which Donna Shalala, former Secretary of the Department of Health and Human Services (DHHS), and I released in January 2000.
Achieving this vision will require a major national commitment to identify and address the underlying causes of higher disease and disability levels in racial and ethnic minority communities. These causes include poverty, lack of access to quality health services, environmental hazards in homes and neighborhoods, and the scarcity of effective prevention programs tailored to the needs of specific communities. The effort will require improved collection and use of standardized data to correctly identify all high-risk populations, and to monitor the effectiveness of health interventions targeting these groups. Research dedicated to a better understanding of the relationships between health status, race, ethnicity, and socioeconomic background will help us acquire new ways to eliminate disparities and to apply our existing knowledge.
**I. THE ROLE OF THE COMMUNITY**
While leaders in the federal government have both the opportunity and the obligation to set the direction for the nation, our responsibility does not end here. To reduce health care disparities in our nation, we must reach out to communities. Creating real and meaningful partnerships is essential to achieving a balanced community health system. This system needs to make access to quality care available to all, and balance early detection of disease with health promotion and disease prevention. Drawing on community involvement, from schools, faith-based organizations, and civic and local groups, this project is realizable. Health and quality of life rely on many community systems and factors, not simply on a well-functioning health and medical care system. Making changes within existing systems can effectively and efficiently improve the health of a large segment of the community. Also, environmental and policy approaches, such as better street lighting and policies to fortify foods, tend to have a greater impact on the whole community than do
individual-oriented approaches.
Communities experiencing the greatest success in addressing health and quality-of-life issues have drawn upon public health, health care, businesses, local governments, schools, civic organizations, voluntary health organizations, faith-based organizations, park and recreation departments, and other interested groups and private citizens. Communities that are eager to improve the health of specific at-risk groups have found that they are more likely to be successful if they work collaboratively within their communities, and if the social and physical environments are conducive to supporting healthy changes.
As noted in the Conference Edition of *Healthy People 2010*, community health promotion programs should include community participation from at least three of the following sectors: government, education, business, faith-based organizations, health care, media, voluntary agencies, and the public. Programs should also include community assessments to determine community health problems, resources, and perceptions and priorities for action, as well as measurable objectives that address at least one of the following: health outcomes, risk factors, public awareness, or services and protection. Monitoring and evaluation processes are other key components. Finally, comprehensive, multifaceted, and culturally relevant interventions with multiple targets for change are critical.
Health promotion programs need to be sensitive to the diverse cultural norms and beliefs of the people for whom the programs are intended. Achieving such sensitivity continues to be a challenge, as the nation’s population becomes increasingly diverse. To ensure that interventions are culturally sensitive, linguistically competent, and appropriate for people of all races, ethnicities, genders, sexual orientations, ages, and disability statuses, members of the populations served, and their gatekeepers, must be involved in the community assessment and planning process.
Community assessment helps to identify the cultural traditions and beliefs of the community, and the education, literacy level, and language preferences necessary for the development of appropriate materials and programs. In addition, community assessments can help identify levels of social capital and community capacity, as well as the skills, resources, and abilities needed to manage health improvement programs in communities.
Educational and community-based programs must be supported by accurate, appropriate, and accessible information derived from a scientific base. Increasing evidence supports the effectiveness of health education and health promotion in schools, workplaces, and health care facilities. Examples of gaps in research include the dissemination and diffusion of
effective programs, new technologies, and approaches to disadvantaged and special populations.
Communities also need to be involved as partners in conducting research to ensure that the content of prevention efforts is tailored to meet their needs. Their research should also enhance the appropriateness and sustainability of science-based interventions and prevention programs, as well as ensure that the lessons of research are transferred back to the community. Sustainability is necessary for successful research to be translated into programs of lasting benefit to communities.
II. STRATEGIES OF THE DEPARTMENT OF HEALTH AND HUMAN SERVICES
In launching *Healthy People 2010*, DHHS’s first step was to examine its current programs to assure that they focus on opportunities to reduce health disparities and fully maximize the best scientific and community-derived knowledge about how to deliver effective clinical and preventive services. Gaps in knowledge were identified, and research agendas were developed to address them. New programs or modifications of existing programs were recommended when appropriate. In addition, the Department provided a national framework for public and private sector collaboration to eliminate health disparities in the six areas first highlighted by former President Clinton.
A. Cancer Screening and Management
Cancer is the second leading cause of death in the United States, accounting for more than 544,000 deaths each year. The lifetime chance of developing cancer is nearly 50% for men and nearly 40% for women in the United States. About half of those who develop cancer will die from it. Minority groups suffer disproportionately, with disparities in both cancer mortality and incidence rates. For men and women combined, blacks have a cancer death rate about 35% higher than that for whites (171.6 vs. 127 per 100,000). The death rate for cancer among black men is about 50% higher than it is for white men (226.8 vs. 151.8 per 100,000). Mortality from prostate cancer for black men is more than twice that of white men (55.5 vs. 23.8 per 100,000). The death rate for lung cancer is about 27% higher for blacks than for whites (49.9 vs. 39.3 per 100,000).
Paralleling the death rate, the incidence of lung cancer in black men is about 50% higher than in white men (110.7 vs. 72.6 per 100,000). Native-Hawaiian men also have elevated rates of lung cancer compared with white men. Native Alaskans suffer disproportionately higher rates of cancers of the colon and rectum than do whites. Vietnamese women in the United
States have a cervical cancer incidence rate more than five times greater than white women (47.3 vs. 8.7 per 100,000). Hispanic women also suffer elevated rates of cervical cancer. White, non-Hispanic males are nine times more likely to contract invasive melanoma of the skin than their black counterparts (3.7 vs. 0.4 per 100,000), and more than nine times more likely to die from it (2.9 vs. 0.3 per 100,000).
For some cancers, early detection can dramatically reduce the risk of death. Regular mammography screening and appropriate follow-up care can reduce deaths from breast cancer by about 30% for women fifty years of age and older. Screening by Pap smear for cervical cancer, along with appropriate follow-up care, can virtually eliminate the risk of developing this disease. Colorectal cancer screening is recommended for people forty-five to eighty years old, but data on screening rates is scarce. Screening for prostate cancer remains controversial, and there is a significant need for public education about what is known, what is not known, and what is believed about prostate cancer screening and treatment.
Breast and cervical cancers, however, have proven screening modalities for which screening data are available. Despite the considerable gains in screening in the black community, the mortality rate from breast cancer for black women is greater than for white women. Some of the reasons for this disparity include the fact that many black women have not had a mammogram, many more are not screened regularly, and still others are screened but have limited follow-up and treatment services available to them. Hispanic, American-Indian and Alaska-Native, and Asian and Pacific-Islander women also have low rates of screening and treatment, limited access to health facilities and physicians, and face barriers related to language, culture, and negative provider attitudes, all of which negatively affect their health status. Eliminating these differences is critical, and will be the focus of attention for the DHHS initiative to help identify and understand approaches that have proven successful in some communities. The tracking of breast and cervical cancer will serve as an indicator for assessing our overall efforts to reduce and eventually eliminate disparities in the prevention and management of all cancers.
During Breast Cancer Awareness Month in October 1998, DHHS announced new efforts to encourage mammography screening among special populations, including older, low income, and minority women, who tend to have the highest breast cancer mortality rates. The Health Care Financing Administration (HCFA) and the National Cancer Institute (NCI) co-sponsored an educational campaign about the new annual Medicare mammography benefit and the importance of regularly scheduled screening mammograms. In addition, HCFA offered
mammograms to older African-American and Hispanic-American women in Atlanta, Chicago, Cleveland, Los Angeles, Philadelphia, Washington, D.C., and San Antonio. HCFA is also working with the NCI to develop and disseminate culturally appropriate breast cancer materials geared toward Asian-American and Pacific-Islander women. The Centers for Disease Control and Prevention (CDC) offers the National Breast and Cervical Cancer Early Detection Program, which provides free or low-cost mammograms to uninsured, low-income, elderly, minority, and Native-American women throughout the country. One million mammograms have been conducted through this program.
The federal battle against minority cancer received a boost when the NCI announced a $60 million program to address the unequal cancer burden within certain populations in the United States over the next five years. Eighteen grants at seventeen institutions will create or implement cancer control, prevention, and research and training programs in minority and underserved populations. The cooperative relationships established by the networks will be used to foster cancer awareness activities, support minority enrollment in clinical trials, and encourage and promote the development of minority junior biomedical researchers.
B. Cardiovascular Disease
Cardiovascular disease, primarily in the form of coronary artery disease (CAD) and stroke, kills nearly as many Americans as all other diseases combined, and is among the leading causes of disability in the United States. It is the leading cause of death for all racial and ethnic groups. The annual national economic impact of cardiovascular disease is estimated at $259 billion, as measured in health care expenditures, medications, and lost productivity due to disability and death. The major modifiable risk factors for cardiovascular disease are high blood pressure, high blood cholesterol, cigarette smoking, excessive body weight, and physical inactivity. Prevention through modification of these risk factors seems to provide the most potential for reducing morbidity, disability, and mortality due to cardiovascular disease. Minorities suffer disproportionately from cardiovascular disease. For instance, while the age-adjusted death rate from CAD in the population as a whole declined 20% from 1987 to 1995, the decrease in the black population during the same period was only 13%. Compared with rates for whites, CAD mortality was 40% lower for Asian Americans, but 40% higher in blacks.
People with high blood pressure, also known as hypertension, are three to four times more likely to develop CAD when compared to controls with normal blood pressure, and may have as much as seven times the risk
of suffering a stroke. Reduction in blood pressure significantly reduces stroke mortality and can also help to reduce deaths from CAD. Racial and ethnic minorities tend to have higher rates of hypertension, develop hypertension at an earlier age, and are less likely to undergo treatment to control their high blood pressure. For example, from 1988 to 1994, 35% of black males, aged twenty to seventy-four, had hypertension, while the rate in the general population was 25%. When age differences are taken into account, Mexican-American men and women also have elevated blood pressures when compared to the population at large. The prevalence of hypertension in minorities may be a direct cause of their higher overall risk of cardiovascular disease.
Being overweight is also a risk factor for cardiovascular disease that disproportionately affects minorities. Risk of heart attack and CAD increases with increasing body mass index (BMI) and with weight gain. Among adult women, the age-adjusted prevalence of being overweight continues to be higher for black women (53%) and Mexican-American women (52%) than for white women (34%), which may contribute to a heightened cardiovascular morbidity risk in these minority groups.
High cholesterol is another risk factor for cardiovascular disease that is more common in certain ethnic and racial minorities, many of whom do not check their cholesterol levels as often as do whites. It has been shown that each 1% reduction in serum cholesterol level has been associated with a greater than 1% reduction in risk of death from CAD. However, the current rates for regular screening for cholesterol show that only 50% of American Indians and Alaska Natives, 44% of Asian Americans, and 38% of Mexican Americans have had their cholesterol checked within the past two years, as compared to a rate of 67% for all U.S. adults.
Tobacco use, a leading cause of cardiovascular disease, also varies in ethnic and racial minority groups, and is at an overall rate of about 25% for adults in the United States. American Indians and Alaska Natives have the highest prevalence of tobacco use at 39%, while African Americans have a rate of about 26% among adults.
Finally, physical activity helps prevent heart disease, and the overall number of adults who report no participation in physical activity is 29%. However, the rates of African Americans and Hispanics who report no participation in physical activity are higher than the average, at 39% and 35%, respectively.
The National Institutes of Health (NIH) has many programs designed to address heart health in minorities. For example, one pilot program in Washington, D.C., called “Salud Para su Corazon (For the Health of Your Heart),” works through the Latino community using Latino traditions to
provide science-based health messages, educational materials, and action strategies to improve heart health in Latinos. Because of the program’s success in changing behaviors and increasing awareness, the National Heart, Lung and Blood Institute at the NIH is encouraging the use of this model in other Latino communities nationwide.
C. Diabetes
Diabetes, the seventh leading cause of death in the United States, is a serious public health problem affecting nearly sixteen million Americans. The estimated total cost of diabetes for the United States in 1993 was $98 billion. The rate of diabetes for blacks is approximately 70% higher than for whites, and the rate in Hispanics is double that of whites. The prevalence of diabetes among American Indians and Alaska Natives is nearly three times that for the total population, and the Pima Indians of Arizona have the highest known prevalence of diabetes in the world.
Cardiovascular disease is the leading cause of death among people with diabetes; it accounts for over one-half of all diabetes-related deaths. Achieving mortality reduction among high-risk populations will require targeted efforts to reduce cardiovascular risk factors among these groups. Diabetics also face the probability of multiple acute and chronic complications, other than cardiovascular disease, including end-stage renal disease (ESRD), blindness, infections, and peripheral neuropathies, which may lead to lower extremity amputations. All of these complications, which have the potential to be delayed and possibly prevented, are more pronounced in minority populations. Preventive interventions should target high-risk groups.
Rates for diabetes-related complications such as ESRD and amputations are higher among blacks and American Indians compared to the rates in the total population. Even among similarly insured populations, such as Medicare recipients, blacks are more likely than whites to be hospitalized for septicemia, debridement, amputations, and other complications of poor diabetic control. There is concern that some people in minority populations are developing type II (non-insulin-dependent) diabetes in adolescence, and therefore are more likely to face a lifetime of diabetes and its potential complications. Undiagnosed and poorly controlled diabetes increases the likelihood of serious complications; for every two people who are aware of their illness, there is one person who remains undiagnosed.
Although the increasing burden of diabetes is alarming, the good news is that many major public health problems can be prevented with early detection, improved care, and diabetes self-management education. For
public policy makers, health care providers, community leaders, and individuals with diabetes, the disease presents an opportunity to apply prevention strategies known to make a significant impact. Recent studies in diabetes have confirmed that careful control of blood glucose levels is a strategy that works for preventing the complications of diabetes. The challenge is to make proper diabetes management part of every day clinical and public health practice.
Toward the goal of reducing the public health burden of diabetes, the Indian Health Service awarded 286 grants in 1998 to Indian communities for programs focused on primary prevention of diabetes and promotion of healthy lifestyle choices, including mental health services and substance abuse prevention and treatment programs. These programs will reach more than 100,000 American Indians and Alaska Natives suffering with diabetes, as well as another 30,000-50,000 who are at risk or have undiagnosed cases. Comparing the 1994-96 Indian adjusted death rates with the overall U.S. population, the American-Indian and Alaska-Native populations have diabetes death rates that are 3.5 times greater than the overall population.
In addition, the Health Resources and Services Administration (HRSA) launched an intensive effort to help its community health centers diagnose and treat diabetes. These centers are the health care provider of choice for ten million people, 65% of whom are racial and ethnic minorities. Also, HCFA announced in November that the Medicare program would be taking steps to ensure that all patients with renal failure, regardless of race or ethnicity, are evaluated for transplantation. The purpose is to ensure equal opportunity for transplantation as part of the patient’s long-term care plan.
D. HIV/AIDS
HIV infection and AIDS are major problems for the American people and our health care system. There are an estimated 650,000 to 900,000 Americans living with HIV infection. Racial and ethnic minorities are disproportionately affected by this problem. These minorities constitute approximately 25% of the total U.S. population, yet they account for nearly 54% of all AIDS cases. While the epidemic is decreasing in some populations, the number of new AIDS cases among blacks is now greater than the number of new AIDS cases among whites. In fact, in 2000, 70% of new AIDS cases were in blacks (48%) and Hispanics (22%).
There are several different HIV epidemics occurring simultaneously in the United States, each affecting specific populations. For example, although the number of AIDS diagnoses among gay and bisexual white
men has decreased dramatically since 1989, the number of AIDS diagnoses among gay and bisexual black men has increased. Similarly, AIDS cases and new HIV infections related to intravenous drug use appear to be increasingly concentrated in minorities; of these cases, about 75% were among minority populations (56% black and 20% Hispanic). Of HIV/AIDS cases reported among women and children, more than 75% are among racial and ethnic minorities.
Statistics show that during 1995 and 1996, AIDS death rates declined 23% for the total U.S. population, while declining only 13% for blacks and 20% for Hispanics. Contributing factors for these mortality disparities include late identification of disease and lack of health insurance to pay for drug therapies. Inadequate recognition of risk, detection of infection, and referral to follow-up care are major issues for some high-risk populations. About one-third of persons who are at risk of HIV/AIDS have never been tested.
HIV-counseling and testing programs must better facilitate the early diagnosis of HIV infection and ensure that HIV-infected persons have access to care and treatment services that will enable them to benefit from treatment advances. A continued emphasis on behavioral risk reduction and other prevention strategies targeted to at-risk populations is still the most effective way to reduce HIV infections. Efforts should include risk-reduction counseling, street and community outreach, preventative case management services, and help for at-risk individuals in gaining access to HIV testing, treatment, and related services.
DHHS has introduced many initiatives to combat the HIV/AIDS epidemic in America. In October 1998, DHHS joined the Congressional Black Caucus in announcing a special package of initiatives in response to the severe and ongoing problem of HIV/AIDS in racial and ethnic minority communities. The comprehensive new initiative invested an unprecedented $156 million in fiscal year 1999 to improve the nation’s effectiveness in preventing and treating HIV/AIDS in African-American, Hispanic, and other minority communities. DHHS received $251 million from Congress in fiscal year 2000 to continue to combat HIV/AIDS in minority communities. Resources have also been broadened for research on HIV/AIDS and minorities, including an increased emphasis on behavioral research linking substance abuse and HIV-infection rates. Funding for community-based organizations to provide new services, technical assistance, and faith-based HIV-prevention programs has been made available through the CDC. There are many opportunities to address the racial and ethnic disparities in HIV/AIDS care and treatment, all of which will benefit America as a whole.
E. Immunization Rates
The reduction in incidence of vaccine-preventable diseases is one of the most significant public health achievements of the past hundred years. One major factor in this success is the development and widespread use of vaccines, which are among the safest and most effective preventive measures available. Childhood immunization rates are at an all time high for all people in the United States. Immunization rates are lower for minority populations as compared with whites, but the gap is narrowing, and minority rates are increasing at a rapid rate. Preschool immunization is high in almost all states, but areas of need continue to exist.
In addition to the very young, older adults are at increased risk for many vaccine-preventable diseases. Approximately 90% of all influenza-associated deaths in the United States occur in people aged sixty-five and older, the fastest growing demographic group in the population. Each year an estimated 30,000 adults die from influenza and pneumococcal infections, despite the availability of safe and effective vaccines to prevent these conditions and their complications. There is a disproportionate burden of these diseases in minority and underserved populations. Although the levels of vaccination against pneumococcal infections and influenza among people sixty-five years and over have increased slightly for blacks and Hispanics, the coverage in these groups remains substantially below the general population.
DHHS has crafted several plans to achieve the goal of increasing minority immunization rates. For example, there is a Spanish-language childhood immunization public awareness campaign to create and distribute culturally relevant and language appropriate educational materials. The theme, “Vacunelo a Tiempo y Todo el Tiempo (Vaccinate Your Children On Time, Every Time),” encourages parents and caregivers to talk with their child’s health care provider to make sure their child is up to date on immunizations by age two.
In an effort to increase immunization rates among older adults, DHHS launched an initiative providing limited Medicare coverage for flu shots for the elderly in 1993. An aggressive outreach strategy by HCFA to inform minority seniors about immunizations includes the mailing of some eight million postcards in four languages to Medicare beneficiaries as reminders, as well as television and radio announcements in Spanish.
F. Infant Mortality
Infant mortality (IM) is an important measure of a nation’s health, as well as a worldwide indicator of health status. Although IM in the United
States has declined steadily over the past several decades, and is at a record low of 7.2 deaths per 1,000 live births (1996), the United States still ranks twenty-fourth in infant mortality among industrialized nations. Significant racial and ethnic disparities in our nation’s infant mortality rate (IMR) may be the principal reason for our poor international showing. These disparities exist both between and within racial and ethnic groups. For instance, compared to a white baby, an American-Indian baby and a black baby are 1.5 and 2 times, respectively, more likely to die in their first year of life. Infant death rates among blacks, American Indians and Alaska Natives, and Hispanics were all above the national average in 1995 and 1996; black babies fared the worst at 14.2 deaths per 1,000 live births (1996), a rate nearly twice that of white infants, whose IMR was only 6 per 1,000 (1996).
IMRs also differ within certain ethnic and minority groups. For instance, while the overall American Indian IMR is 9 per 1,000 (1995), some Native-American communities have IMRs approaching twice the national rate. Similarly, the overall Hispanic IMR of 7.6 per 1,000 (1995) does not reflect the diversity within Hispanic communities; the IMR for Puerto Ricans, for example, was significantly higher than the Hispanic aggregate at 8.9 per 1,000 (1995).
The IMR of a nation is greatly affected by its ability to provide effective prenatal care to all pregnant women. Disparities among races and ethnic groups in quality and access to prenatal care is a major failure of our health care system, and a primary reason for our high IMR, relative to other industrialized nations. It is a known fact that women who receive prenatal care in the first trimester have better pregnancy outcomes than women who receive little or no prenatal care. The likelihood of delivering a very low birth weight (VLBW) infant (defined as less than 1,500 grams or 3 lbs. 4 ozs.) is 40% higher among women who receive late or no prenatal care, compared with women who begin receiving such care in the first trimester. VLBW infants are about sixty-five times as likely to suffer an early death than infants who weigh at least 1,500 grams. It is also a fact that while 84% of white women receive early prenatal care, only 71% of black and Hispanic women receive prenatal care in the first trimester.
There is also a great deal of disparity seen in the IMRs of blacks relative to whites when looking at many of the leading causes of infant death. For example, there is a black to white ratio of 2.8:1 for deaths from respiratory distress syndrome, a ratio of 2.7:1 for deaths from infections specific to the perinatal period and newborns affected by maternal complications of pregnancy, and a ratio of 2.6:1 when considering sudden infant death syndrome (SIDS). However, the greatest black-white disparity,
at a ratio of 4.1:1, exists in pre-term births (PTBs) and unspecified low birth weight. Overall, PTBs occur in 17.7% of black mothers, but in only 9.7% of white mothers. Differences in various medical conditions and social practices may contribute to this racial disparity in PTBs, including higher rates of both chronic hypertension and bacterial vaginosis among black women. Minority infants are also far more likely than white infants to die of SIDS, with blacks and some American-Indian and Alaska-Native populations at greatest risk.
We can significantly reduce infant mortality by increasing our efforts to address the disparities that contribute to the higher IMRs seen in our ethnic and racial minority populations. In particular, PTB and SIDS rates seem responsive to variations in the prevalence of other identifiable risk factors that are more common in certain minority populations, such as socio-economic and demographic factors, certain medical conditions, quality of, and access to, health care, and practices like placing babies on their backs to sleep. We can work toward addressing all of these issues and measure their impact on reducing the rates of infant deaths due to PTB and SIDS.
To further reduce our nation’s IMR, we must focus on modifying the behaviors, lifestyles, and conditions that affect birth outcomes. These include smoking, substance abuse, poor nutrition, and other psychosocial problems such as domestic violence and abuse, lack of prenatal care, medical problems, and chronic illness. We need to pay special attention to how these factors differentially impact racial and ethnic minorities.
As DHHS continues its efforts to reduce IM and increase prenatal care through HRSA programs, the National Institute of Child Health and Human Development (NICHD) has also broadened its efforts to reduce SIDS. As part of the “Back To Sleep” campaign that encourages parents and caregivers to place children on their backs to prevent SIDS, NICHD distributed packages of “Back To Sleep” educational materials to all licensed day care centers in the United States, including many that serve black and Hispanic communities.
In conjunction with “SIDS Awareness Month” in October 1999, DHHS announced a new initiative to develop and implement a community-based approach to eliminate the disparity in SIDS rates impacting black babies. The new campaign is being led by NICHD, and will be carried out by a partnership with the National Black Child Development Institute, HRSA, the American Academy of Pediatrics, the SIDS Alliance, and the Association of SIDS and Infant Mortality Programs.
CONCLUSION
In attempting to eliminate disparities among different subpopulations, the goals of each of these six health areas present very different challenges. In some areas, such as immunizations, we are cognizant of what will help to eliminate the disparities. In others, where knowledge about how to reduce these disparities is less developed, there is a need to understand the causes and to find more effective methods to reach individuals and communities that have not benefited from established interventions. Advances in medicine and increased access to care can only partially address the difficult, complex, and often controversial issues surrounding racial and ethnic disparities in health status. Education, environment, income, and other socioeconomic factors contribute substantially to health outcomes.
The DHHS has developed a formal Racial and Ethnic Initiative. Steps to advance this Initiative include publishing a state-by-state look at risks for chronic diseases and injury for the five major racial and ethnic groups, completed in March 2000. This work identifies wide disparities, even among members of the same racial and ethnic group living in different states. DHHS has also developed an informational World Wide Web site for the Initiative to be used by interested media and communities (http://www.raceandhealth.hhs.gov), and has organized internal workgroups, for each of the six areas, that are looking at existing programs at DHHS and making recommendations. As part of this program, data collection systems are being reviewed and recommendations are being made on how to improve data collection for racial and ethnic minorities.
The goals of the initiative to eliminate racial and ethnic disparities are consistent with the principles upon which the U.S. Public Health Service was founded in 1798. At that time, the City of Philadelphia had, only a few years earlier, suffered an epidemic of yellow fever, which killed 10% of the city’s population and sent half of the population fleeing the city altogether. When it was learned that the epidemic was spread from merchant ships coming to Philadelphia from the West Indies, our founding fathers saw the value of providing a national hospital system to care for merchant seamen. And so we learned that to the extent we care for the most vulnerable populations, we do the most to protect the overall health of the nation. The goal of eliminating disparities in health care by 2010 is ambitious. Yet in the twenty-first century, neither history nor humanity can settle for less. The pursuit of these goals will result in a stronger, improved public health system that better responds to the needs of everyone. | <urn:uuid:1242e646-f7b2-455a-ae8b-d79d03b3d396> | CC-MAIN-2019-35 | https://digitalcommons.law.yale.edu/cgi/viewcontent.cgi?article=1000&context=yjhple | 2019-08-23T06:38:49Z | crawl-data/CC-MAIN-2019-35/segments/1566027318011.89/warc/CC-MAIN-20190823062005-20190823084005-00022.warc.gz | 434,903,657 | 7,276 | eng_Latn | eng_Latn | 0.993513 | eng_Latn | 0.997555 | [
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A CLOSER LOOK
NATURE WITHIN WALLS
The Chinese Garden Court at The Metropolitan Museum of Art
A RESOURCE FOR EDUCATORS
The borrowed views are among the most important in a garden design. There are borrowings from distant scenes and from nearby scenes from above and from below, and borrowings at different seasons of the year. When touched by objects and emotions, our eyes are caught and our hearts leap. It is like a painting in which ideas are suggested beyond the brushstrokes.
—Ji Cheng (born 1582), *Yuan Ye* (the earliest extant treatise from the Ming dynasty on Chinese architecture and garden design of the period)
This publication for teachers focuses on the Chinese Garden Court, one of the most pleasant and popular parts of the Museum’s Asian art galleries. Its architectural elements, rock formations, plantings, and pond not only provide a peaceful environment but also offer visitors a window through which they can glimpse how nature was traditionally perceived in Chinese culture and how these ideas influenced the arts of this ancient civilization. The goal of this publication is to inspire young people and adults to look more closely at works of art—to discover that details are essential to understanding an artwork’s meaning. This resource may be used as an introduction to looking at and interpreting the Chinese Garden Court or as a springboard for exploring how it reflects the culture in which it was made. While teachers and students may use these materials in the classroom, study and preparation are best rewarded by a visit to the Museum.
*This resource for educators is made possible by The Freeman Foundation.*
The fabrication of The Metropolitan Museum of Art’s Astor Court and Ming Room in 1981 created the first authentic reconstruction of a Chinese garden in a North American museum. Museum trustee Brooke Astor’s enthusiasm for the installation—inspired by her own childhood in China—has meant that visitors of all ages and backgrounds can enjoy this tranquil retreat and gain revealing insights into fundamental Chinese cultural concepts about art and nature. We hope the educational materials in this publication will help teachers and students gain further knowledge about the garden and Chinese civilization.
*Nature within Walls: The Chinese Garden Court* summarizes years of research, teaching, and thought by many colleagues at The Metropolitan Museum of Art. Associate Museum Educator Elizabeth Hammer prepared the text, with the unstinting support of Maxwell K. Hearn, curator of Chinese paintings, who also played the key role in preparing the video tour on the accompanying CD-ROM. Judith G. Smith, administrator of the Department of Asian Art, attentively reviewed the text and layout and supplied many insightful suggestions. Felicia Blum, associate museum educator, prepared the classroom activities.
The Metropolitan’s Education staff, drawing on years of teaching in the Chinese Garden Court, contributed substantially to the effort. Nicholas Ruocco, Stella Paul, and Deborah Howes supplied crucial advice and support, as did Edith Watts, Michael Norris, Rika Burnham, Alice Schwarz, Barbara Woods, Karen Ohland, and Rebecca Arkenberg. Teresa Russo, working with Jessica Glass, Marla Mitchnick, Paul Caro, Stephen Rotker, and Felix Cotto, produced the accompanying CD-ROM. Catherine Fukushima shepherded the project, Merantine Hens supervised editorial work, and Masha Turchinsky oversaw design and production. Emily Roth and Naomi Niles refined the bibliography. Barbara Bridgers, Bruce Schwarz, and Karen Willis of the Photograph Studio supplied additional photographs of the garden; Robert Goldman handled additional imaging. Pamela Reboy provided valuable research. Christine Scornavacca and Justine Cherry-Macklin of the Development Office also provided invaluable assistance. Joseph Cho and Stefanie Lew of Binocular created the handsome design.
Located in the heart of the Metropolitan Museum and of its Asian Art collection, the Chinese Garden Court is a great work of art that offers solitude and inspiration for the contemplation of art. We extend our sincerest thanks to The Freeman Foundation, which provided support for creating this publication. Their dedication to the broader understanding of Asian art and culture has been exemplary.
Philippe de Montebello
*Director*
Kent Lydecker
*Associate Director for Education*
James C.Y. Watt
*Brooke Russell Astor Chairman, Asian Art*
HOW TO USE THIS RESOURCE ........................................... 5
NATURE AND CHINESE GARDENS .................................. 9
The Chinese Garden Court in the Met .................................. 9
Nature in Chinese Philosophy ............................................. 15
Gardens in Chinese History .............................................. 18
Scholar-Gentlemen and Their Gardens ................................ 18
CLASSROOM ACTIVITIES .................................................. 24
GLOSSARY ........................................................................ 26
RESOURCES ....................................................................... 28
Landscape paintings and garden design closely influenced each other. While professional garden designers were consulted, especially from the late Ming dynasty onward, scholar-gentlemen viewed the opportunity to design a garden as a stimulating creative endeavor. A noted garden designer and landscape painter, Ji Cheng, advised designers to “take the whitened wall as the painting paper, and paint it with rocks.” Similarly, many mountains in landscape paintings bear a closer resemblance to garden and table rocks than they do to peaks in nature.
HOW TO USE THIS RESOURCE
This teacher resource examines the many components of the Museum’s Chinese Garden Court. While this publication is intended primarily for social studies, history, literature, and art teachers of grades 5 through 12, educators of other disciplines and grade levels may find it useful. The various elements of the garden are most fully presented in the narrated video tour on the enclosed CD-ROM. The teacher may wish to review this tour before sharing it with students. This booklet provides background material about gardens and nature in Chinese culture for the educator’s preparations. Also included are suggestions for topics of discussion and relevant activities for use in the classroom. This material is meant to draw students’ attention to some of the key features of the garden and to help them understand how these details can embody fundamental cultural concepts. A glossary (words defined in the glossary are called out in the margins) and a list of bibliographic and other resources provide handy references. Of course, the garden cannot be fully appreciated without actually visiting it.
The Museum has produced two other resources about the Chinese Garden Court that the educator might find useful. Soon after the construction of the garden court in 1980, the Department of Asian Art published a Bulletin entitled “A Chinese Garden Court: The Astor Court at The Metropolitan Museum of Art,” which provides detailed information on the garden’s components, its prototype in China, and the role gardens played as a source of imagery in the visual arts (see Resource section). Another useful resource that can help to prepare students for a visit to the Museum is the video *The Ming Garden*, which focuses on the construction of the Chinese Garden Court, including a description of the congenial collaboration between the Chinese craftsmen and the American builders.
The courtyard is a central element in Chinese architecture, symbolizing the harmony between nature and human life. It serves as a space for relaxation, contemplation, and social interaction. The design of courtyards often incorporates natural elements such as water features, plants, and rocks to create a serene and peaceful environment. The use of traditional materials like stone, wood, and bamboo adds to the aesthetic appeal and cultural significance of these spaces.
In modern times, the concept of the courtyard has been adapted to fit contemporary living needs while maintaining its traditional essence. Many new homes incorporate courtyard-like spaces that offer a connection to nature and provide a tranquil retreat within urban settings. These spaces can be designed with various elements such as seating areas, lighting fixtures, and decorative items to enhance their functionality and visual appeal.
Overall, the courtyard remains an important aspect of Chinese architecture, reflecting the deep-rooted values of balance, harmony, and respect for nature. Its enduring presence in both historical and modern contexts underscores its significance as a symbol of cultural heritage and a source of inspiration for architects and designers alike.
The visitor to a Chinese garden is presented with numerous, ever-changing views of the garden that evoke the experience of traveling through a wilderness setting or viewing a landscape painting. Throughout the garden, terraces, doorways, and pavilions frame vistas for one to stop and contemplate, while natural stone steps mark transition points between the man-made architectural environment and the irregular and unpredictable world of nature.
The courtyard is a central feature in Chinese architecture, symbolizing the harmony between nature and human life. It serves as a space for relaxation, contemplation, and social interaction. The design of courtyards often incorporates elements such as water features, plants, and decorative elements to create a serene and aesthetically pleasing environment.
The Museum’s Chinese Garden Court is based on a small seventeenth-century courtyard that is part of an actual garden, known as Wangshi Yuan or the Garden of the Master of the Fishing Nets, in Suzhou. In 1980, using this existing garden as a model, Chinese craftsmen created a replica in the Museum using man-made and natural elements crafted or found in China and assembled with traditional construction tools and methods. The building of the garden court was the first permanent cultural exchange between the United States and the People’s Republic of China and was the first of a number of Chinese gardens to be built in North America.
A garden was first built on the site of the present Wangshi Yuan in the twelfth century, but it has undergone many alterations since that time, and the Museum’s version follows the simplicity and harmonious proportions that were implemented during the Ming dynasty (1368–1644). The main structural features of the courtyard are a half-pavilion (called Cold Spring Pavilion or Lengquan Ting, page 4) on the west wall and a meandering covered corridor along the east side (page 8). A small pool with goldfish called Deep Jade Green Spring (Hanbi Quan, page 12) is nestled among the rocks at the southwest corner. At the court’s north end lies the Ming Room (Ming Xuan), with its south-facing porch. The entire garden is surrounded by a white wall (pages 10–11), which in its original setting kept out the hustle-and-bustle of the mundane world and created the sense of being in a quiet oasis. (The layout of the garden court is more fully described in the narrated tour on the enclosed CD-ROM.)
The Museum’s Chinese Garden Court was built with materials brought from China that are authentic to Ming-dynasty prototypes (page 13, top). Rare nan wood, a broad-leafed evergreen from southwestern China that is now a protected species, was used for the fifty hand-hewn columns that support the roofs of the structures. In earlier times this wood was used in large quantities for buildings.
The bare white walls that enclose and isolate the garden are pierced by windows with lattice patterns made from low-fired ceramic tiles. Each design is different, adding yet more visual diversity to the garden. An interest in geometric patterns characterizes China’s earliest works of art. These designs were found in the Yuan Ye, an early-seventeenth-century Ming-dynasty garden manual. Placing plants or rocks in the shallow spaces behind these windows is a traditional device for creating the illusion that further vistas lie beyond, even though the actual space between the window and the wall behind might be minimal.
because it was highly prized for its rich color, fine grain, and its ability to repel insects. The horizontal beams and some of the rafters of the garden court are made of fir; the curved rafters in the back of the Ming Room and the balustrades are constructed of camphor wood; and the room’s window frames and lattice work are made of gingko wood. The ceramic floor and ceiling tiles were produced in a former imperial kiln outside Suzhou that was reopened for this project (page 13, bottom). The stonelike, bluish-gray color of the floor tiles is achieved by reducing the amount of oxygen in the kiln during the firing.
Particularly distinctive and prized are the ornamental Taihu rocks (page 14), which provide important focal points in the garden. Some of these rocks have been “piled up” to form “peaks,” others form a grotto for the pond and beds for the plantings. Because rocks and plantings are intended to evoke a wilderness landscape, blossoming plants are limited. Instead, the cycle of seasons is represented by specimen flowering plants in ceramic pots, which are moved into the garden as they come into bloom. Because the Museum’s garden court is an interior space maintained at a constant temperature, trees—pines, maples, and plum—that need climatic changes to thrive are absent. But because Suzhou has a mild climate, most of the garden’s plantings are also found there, including “bookmark grass” (mondo grass or liriope), which grows along the edges of the rocks, and the large banana plant, the tallest tree in the garden.
The hallmark of Chinese wood construction is its accomplished joinery, which has served as the basis for constructing both buildings and furniture since ancient times. To join two pieces of wood, carpenters carved projecting tenons for insertion into correspondingly shaped holes, or mortises. Glue was used only sparingly and nails not at all. When joins needed additional stability, wood pins or pegs were passed through the wooden members to hold them in place.
Drip-tiles draw rainwater into streams that run off the pointed ends. The authentic Ming design shows the stylized symbols for good fortune, long life, and wealth. Peaches, found on the concave tiles behind the triangular drip tiles, are also symbols of longevity, as they are associated with a legendary fruit that can make one immortal.
The Chinese Garden at the National Gallery of Singapore is a beautiful example of how traditional Chinese garden design can be integrated into a modern urban setting. The garden features a variety of elements, including a large rock formation, a pond, and a variety of plants and trees. The rock formation is a central feature of the garden, and it is designed to resemble a natural landscape. The pond is surrounded by a variety of plants and trees, creating a peaceful and serene atmosphere. The garden also includes a variety of decorative elements, such as lanterns and statues, which add to its beauty and charm. Overall, the Chinese Garden at the National Gallery of Singapore is a stunning example of how traditional Chinese garden design can be used to create a beautiful and peaceful space in an urban environment.
Since ancient times, Chinese culture has paid great attention to the natural world, and even very early philosophical and historical texts contain sophisticated conceptions about the nature of the cosmos. These ideas predate the formal development of the native belief systems of Daoism and Confucianism, and as part of the foundation of Chinese culture, they were incorporated into the fundamental tenets of these two philosophies. Similarly, these ideas strongly influenced Buddhism when it arrived in China in the first or second century A.D. Therefore, the ideas about nature described below, as well as their manifestation in Chinese gardens, are consistent with all three belief systems.
The natural world has long been conceived in Chinese thought as a self-generating complex arrangement of elements that are continuously changing and interacting. Uniting these disparate elements is the Dao, or the Way. Dao is the dominant principle by which all things exist, but it is not understood as a causal or governing force. Chinese philosophy tends to focus on the relationships between the various elements in nature rather than on what made or controls them.
Within this structure, each part of the universe is made up of complementary aspects known as yin and yang. Yin, which can be described as passive, dark, secretive, negative, weak, feminine, and cool, and yang, which is active, bright, revealed, positive, masculine, and hot, constantly interact and shift from one extreme to the other, giving rise to the rhythm of nature and unending change.
Traditional Chinese gardens were meant to offer a feeling of being in the larger natural world, so that the occupant could capture the sensations of wandering through the landscape. Compositions of garden rocks were viewed as mountain ranges and towering peaks; miniature trees and bushes suggested ancient trees and forests; and small ponds or springs represented mighty rivers and oceans. In other words, the garden presented the larger world of nature in microcosm. In keeping with this goal to recreate actual landscapes, masses of colorful cultivated blossoms, flowerbeds of regular geometric shape, and singular viewing points (such as the formal gardens of Versailles, for example) were all avoided. Instead, the many aspects of a Chinese garden are revealed one at a time. A garden’s scenery is constantly altered by the shifting effects of light and the seasons, which form an important part of one’s experience of a garden and help engage all the senses, not just sight. (Although the Museum’s garden court is protected by a skylight, Chinese gardens are open to the air and, therefore, are affected by the weather.)
According to Daoist beliefs, man is a crucial component of the natural world and is advised to follow the flow of nature’s rhythms. Daoism also teaches that
people should maintain a close relationship with nature for optimal moral and physical health. The interdependence of man and nature is expressed in Chinese gardens by the presence of pavilions and walkways among the plants, rocks, and water. Similarly, Chinese gardens formed an integral part of an enclosed family compound that included residential buildings, kitchens, studios, and storage rooms for multiple generations of a family—people could step into or glimpse the beauty of nature at any moment in their daily routine.
Chinese gardens were arranged in accordance with a set of principles for siting structures and interpreting landscape configurations—known as fengshui or geomancy. Thus, before a structure was to be built, a fengshui master would be engaged to identify a location and directional placement that would take advantage of the beneficial flow of *qi*, the enlivening energy of the cosmos. The structure and its accompanying natural elements were placed to conduct the earth’s *qi* along the best possible course. The earth’s *qi* influences the *qi* of people in ways that can either aid or harm their health, happiness, and fortune. (Traditional Chinese medicine is similarly concerned with the proper flow of *qi* within the body and achieving a harmonious balance among influential elements.)
One of the most important considerations in garden design is the harmonious arrangement of elements expressing different aspects of yin and yang. The juxtaposition and blending of opposites can be seen in the placement of irregularly shaped rocks next to smooth, rectangular clay tiles; soft moss growing on rough rocks; flowing water contained by a craggy grotto; and a dark forecourt that precedes entry into a sun-drenched central courtyard. The Chinese word for landscape, *shanshui*, embodies the juxtaposition of opposites joining the characters for mountain (*shan*) and water (*shui*).
Since at least the Han dynasty (206 B.C.–220 A.D.), mountains have been thought of as the home of immortals and Daoist deities, as well as the point of communication between Earth and the heavens. The ideograph for immortal, 翼 (xian), is made up of a combination of the character for person, 人 (ren), and the character for mountain, 山 (shan). Bronze and ceramic conical incense burners depicting overlapping mountain peaks filled with small images of people and animals (when the object was used, it would have been surrounded by cloudlike billows of smoke) are early visualizations of this notion. (For an example, see the Museum’s earthenware incense burner from the Eastern Han period ([25–220 A.D.], 65.74.2.) There are numerous legends in Chinese literature, most notably *Peach Blossom Spring* by the fifth-century poet Tao Yuanming (365–427 A.D.), that tell of hidden paradises accessible only through passageways in mountain grottoes. While immortal beings and paradises are associated primarily with Daoism, Buddhist texts also describe the heavenly abodes of some of the Buddhas and bodhisattvas (enlightened beings)
Figure 1. A Chinese rockery.
as mountainous islands. This mystical quality of mountain retreats inspired a preference in garden design for doorways that separated the garden from the everyday world; rocks with convoluted, fantastic shapes; and the practice of incorporating mythical references in the choice of names for gardens and their components.
**GARDENS IN CHINESE HISTORY**
According to historical records of the Zhou dynasty (ca. 1046–256 B.C.), the earliest gardens in China were vast parks built by the aristocracy for pleasure and hunting. Han-dynasty texts mention a greater interest in the ownership of rare plants and animals, as well as an association between fantastic rocks and the mythical mountain paradises of immortals. Elaborate gardens continued to be built by members of the upper classes throughout China’s dynastic history.
A smaller, more intimate type of garden, represented by the Museum’s Chinese Garden Court, also developed in China. Gardens of this kind are associated with scholar-gentlemen, or literati, and have been celebrated in Chinese literature since the fourth century A.D. Paintings, poems, and historical books describe famous gardens of the literati, which were often considered a reflection of their owners’ cultivation and aesthetic taste. The number of private gardens, especially in the region around Suzhou in southern China, grew steadily after the twelfth century. Both the temperate climate and the great agricultural and commercial wealth of the region encouraged members of the upper class to lavish their resources on the cultivation of gardens. During the period of the Mongol conquest in the late thirteenth and early fourteenth centuries, many literati in this region found official employment both disagreeable and hard to obtain and therefore sought a life exclusively devoted to self-cultivation and the arts. The garden became the focus of an alternative lifestyle that celebrated quiet contemplation and literary pursuits, often in the company of like-minded friends. This mode of life continued to flourish through the Ming period, when economic prosperity and expanding literacy made possible a new class of educated patrons.
**SCHOLAR-GENTLEMEN AND THEIR GARDENS**
The influential social and political position of scholar-gentlemen frequently allowed them to accumulate wealth as well as prestige. Typically, however, these men derived most of their income from landholdings, rather than from government stipends. Many successful literati owned sizable estates that provided them
with a residence, gardens for leisurely activities, and an economic base. During times of leisure—either at the end of a busy day or during extended periods of retirement from official appointments—scholar-gentlemen retreated to their gardens to enjoy the company of friends, read quietly, relax in a natural setting, or engage in one of the Four Accomplishments. The Metropolitan Museum’s painting *Elegant Gathering in the Apricot Garden* by Xie Huan (1983.141.3; above) commemorates a gathering of influential fifteenth-century government ministers in which the participants are depicted surrounded by the accoutrements of these pastimes: painting, poetry, a chesslike game of strategy known as *weiqi* (pronounced way-chee, and called go in Japanese), and playing the zither (*qin*). Confucian teachings urged individuals to use such occasions to refresh their spirits and to cultivate their moral character. According to Confucian precepts, when the attentions and efforts of an upright individual were not directed outward for the benefit of others, they should be focused inward for self-cultivation, so that one would be better able to serve society in the future. Thus, gardens became an important locus for study and artistic pursuits, as well as for social gatherings. Gardens also embodied virtues extolled by Daoism, which advocated a renunciation of politics and human affairs in order to harmonize oneself with the cosmic rhythms of nature. (A scholar-gentleman’s formal education consisted of intensive study of Confucian classics, while Daoist and Buddhist tenets formed an important part of the culture in which he lived. Additionally, some individuals were devoted practitioners of one tradition or the other. For this reason, as well as a tendency in East Asia for different religions to blend and overlap, scholar-gentlemen were influenced simultaneously by a variety of beliefs.)
Gardens provided scholar-gentlemen a means, at least in part, of achieving these antithetical ideals of pursuing self-cultivation while fleeing from the “dust” of the world and living in reclusion in nature. Wandering along a garden’s walkways and gazing at its changing views, one could imagine oneself in a mountain retreat, either alone or in the company of convivial companions. The wish for a simple, rustic life appears frequently in Chinese literature and the visual arts.
The interior of the house is designed to be both functional and aesthetically pleasing, with a focus on natural light and open spaces. The furniture is made from high-quality materials such as wood and silk, and is arranged in a way that encourages conversation and interaction among guests. The walls are adorned with traditional Chinese paintings and calligraphy, adding to the overall ambiance of the space.
Ming Room
This emphasis on nature formed the foundation of the artistic preferences of the literati. In keeping with Confucian ethics, a proper gentleman should abhor ostentation and espouse a lifestyle informed by a close affinity with nature and the qualities of simplicity and elegance. As can be seen in the Ming Room of the Museum’s Chinese Garden Court (pages 20–21), the scholar-gentleman aesthetic favored wood furniture that retained its natural veneer; white walls; hanging scrolls of calligraphy or monochrome landscape painting (in the Ming Room fragile scrolls have been replaced with stone panels that resemble landscapes); and understated decorative objects.
The literati aesthetic also embodied an appreciation of the past, often regarding it as an ideal golden age. The collecting of antique bronze vessels or jades was one manifestation of this tendency. Another was the practice of attaching poetic names, which were often embedded with antique allusions, to components of the garden, including halls and pavilions as well as distinctive landscape elements. Steeped in classical learning, Chinese garden owners found great satisfaction in alluding to ancient poems, historical events, or legendary figures to stir the visitor’s imagination. In the Museum’s Chinese Garden Court, the moon
gate entrance bears an inscription in archaic seal script reading “In Search of Quietude” (Tan You). Over the doorway at the northeast end of the garden leading to the veranda in front of the Ming Room is written “Elegant Repose” (Ya Shi). The half-pavilion is entitled Cold Spring Pavilion (Lengquan Ting) and the Ming Room (Ming Xuan) is identified by a carved wood plaque inlaid with chips of coal that hangs above the couch at the center of the hall.
Many of the plants in a Chinese garden were selected for their symbolic meanings. Because it keeps its green leaves long into winter and bends but never breaks in a storm, bamboo came to symbolize a man of integrity, one who maintains his ideals even through adversity. Orchids were prized as elegant embodiments of the virtuous gentleman, their fragrance a metaphor for loyalty. Pine trees, which remain green through the winter, were esteemed as symbols of longevity, their old age made obvious if they had a gnarled appearance. The narrow-leafed mondo grass, a favorite in Chinese gardens and paintings, grew in profusion around the house of Zheng Kangcheng (127–200 A.D.), a famous scholar and teacher of Confucian classics. His neighbors referred to the grass as “Kangcheng’s bookmarks,” which evolved into the name “bookmark grass” (page 4, lower right corner).
As can be seen in the painting of a scholar seated in a pavilion (page 22) by Wen Zhengming (1470–1559), one of the foremost members of literati society of the sixteenth century, gardens frequently inspired paintings. Here a learned gentleman, at ease in loosened robes, pauses while reading and writing to gaze out of his studio at the verdant garden. On the page opposite this painting, Wen Zhengming wrote:
The new banana is more than ten feet tall;
After rain it is clean as though washed.
It does not dislike the high white wall,
It elegantly matches the curved red balustrade.
Cool autumn sounds come to my pillow,
Green morning colors are seen through the windows.
Let no one take to the heedless shears,
Leave it until its shade reaches my house.
Similar scenes can be found decorating ceramic, lacquer, and jade vessels, just as related sentiments and imagery inspired many poets throughout the centuries.
SUGGESTED DISCUSSION POINTS
To be used with illustrations of the Chinese Garden Court or on a field trip to the Museum.
- Discuss the materials used in the construction of the garden court.
- In a Chinese garden, the use of patterns is an important feature designed to interest the viewer. Locate and identify the patterns in the garden court, then discuss their role in the overall design and concept of the garden.
- If you visit the Museum, locate the various places in the garden court where Chinese inscriptions form part of the decoration. Discuss how the writing styles differ and what they add to the garden’s appeal.
- If you were standing in the garden court, how would you experience the five senses of smelling, hearing, tasting, feeling, and looking?
- The juxtaposition of opposites, or yin-yang, is an important feature of the garden court. How many opposites can you identify?
- Having looked at the garden, imagine what emotions a Ming-dynasty scholar-gentleman, as well as a contemporary visitor, would experience in the garden court. Discuss what activities, such as moon-viewing, might have taken place in the garden.
- Ask the students to compare the design of the garden court to those of other gardens (or parks) that they may have visited.
According to Ji Cheng, the author of the *Yuan Ye* (a treatise on gardens completed in 1634), in a city garden, one could “live as a hermit even in the middle of a marketplace . . . all noise is shut out when the gates are closed.” Ask the students to recall and write about a special place, visited often or perhaps just once, where they were able to block out the noise and bustle of the day and find peace.
The world of nature, real or imaginary, is a recurring theme in Chinese literature. In the poet Tao Yuanming’s legend *Peach Blossom Spring*, a fisherman loses his way and comes upon a grove of peach trees, “lining each bank for hundreds of paces. No tree of any other kind stood among them, but there were fragrant flowers, delicate and lovely to the eye, and the air was filled with drifting peach-bloom.” *Peach Blossom Spring* is a story in which the writer used people and actual images from nature to create an imaginary plot. Using the garden court as a setting, ask the students to write an imaginary story or poem using the following elements: a poet, a rock, a cup of tea, and a thunderstorm. (See the CD-ROM for a synopsis of the story.)
Wood, stone, and clay are the primary building materials in the garden court. The presence of water, green plants, and the uniquely shaped Taihu rocks complete the environment. Ask the students to take on the role of garden architect and to design and draw a plan for an original walled garden using the natural elements of wood, stone, clay, and water. This can be a collaborative exercise with two or three students working on a single plan.
The garden court offers the visitor a variety of different viewpoints: a meandering walkway, a raised terrace, and a covered pavilion. Scale, or the relative size of objects one to another or to the viewer, is an important element in garden design. Often, the garden’s rocks, rising above the flat tile courtyard, are viewed imaginatively as if they were mountains rising out of the ocean or a sea of clouds. Set against a white wall, the garden’s elements might also be likened to a handscroll composition. Ask the students to draw a group of rocks as if it were a mountain or an island, or to recompose the garden as if it were a landscape in a horizontal scroll painting.
GLOSSARY
**BUDDHISM:** one of the major religions of the world, it was founded by Prince Siddhartha in northern India in the fifth century B.C. when, after achieving enlightenment, he became the Buddha Shakyamuni (563–483 B.C.). The basic tenets of Buddhism are that life is impermanent, illusory, and filled with suffering, conditions caused by desire and ignorance. The cessation of suffering (nirvana) is achieved when all desires and emotional attachments are extinguished. Buddhism was transmitted to China in the first or second century A.D. from Central Asia and became widespread by the fifth century.
**CONFUCIANISM:** philosophical, social, and political doctrine based on the teachings of Confucius (Kongzi or Kongfuzi, ca. 551–479 B.C.) and his early followers. Through the writings attributed to these men, Confucianism offered a code of proper social conduct motivated by virtue and tempered by humanism.
**DAO:** (pronounced daow, but often romanized as Tao) “the Way” or “the Way of the Universe,” Dao is a fundamental term in Chinese philosophy for the unchangeable, transcendent source of all existence. This principle—encompassing action and nonaction, void and matter, knowledge and ignorance—remains constant as all else changes.
**DAOISM:** (also romanized as Taoism) refers to one of China’s three dominant philosophical systems. Daoism, which is native to China, encompasses various ancient practices and schools of thought ignored or rejected by Confucianism. In addition to those philosophical components credited to Laozi (fifth century B.C.) and Zhuangzi (ca. 369–286 B.C.), which advocate passive acquiescence to the Dao, literally “the Way,” and close association with nature, Daoism also took on components of shamanism, magic, alchemy, medicine, various primitive cults, and organized religion.
**FENGSHUI:** (pronounced fuhng-shooay) sometimes referred to as geomancy, fengshui is made up of the Chinese characters for wind and water and functions to identify optimal sitings and orientations for cities and structures such as houses or tombs. The practice of fengshui dates to at least the second century B.C. Fengshui adherents envision the earth as resembling the human body in that it has channels through which the earth’s vital energy flows. Using manuals and their own intuition, fengshui practitioners offer advice on the location and orientations of buildings so that they benefit from this energy.
**FOUR ACCOMPLISHMENTS:** the arts that every educated individual was expected to either practice or at least appreciate. They include painting, calligraphy, music (especially the zitherlike qin [koto in Japanese]), and the game of strategy known as weiqi (go in Japanese).
MING DYNASTY (1368–1644): During the early years of the Ming dynasty, the central Chinese bureaucracy was rebuilt and the imperial institutions reestablished after the disruptive period of Mongol rule under the Yuan dynasty (1272–1368). This era was also a time of rapid economic and commercial expansion in southern China, which gave rise to new cultural centers, expanded private patronage, and increased literacy. During the later years of the Ming, the court weakened and lost control of the country, which erupted in numerous rebellions.
QI: (pronounced chee) literally “breath,” *qi* refers to the vital, creative force that, according to ancient Chinese thought, energizes the cosmos, the earth, and living beings.
SCHOLAR-GENTLEMEN; LITERATI: Scholar-gentlemen fully emerged as an elite class in China during the Song dynasty (960–1279). Their rigorous classical education prepared them for careers in government service, and their official positions often enabled them to accumulate land and wealth. Although it was possible to attain official appointments by sponsorship, most were chosen through the civil service examination system, which tested candidates at the local, provincial, and national levels.
SHANSHUI: (pronounced shahn-shooay) the characters meaning mountain and water that when juxtaposed are understood to mean “landscape.” In Chinese paintings prior to the eighth century, such natural elements as trees, hills, and rocks were relatively small in scale and arranged to create a stagelike setting for narrative scenes. By the tenth century, however, landscapes had become the dominant pictorial subject, imbued with complex philosophical ideas, including Neo-Confucian concepts of natural order.
SUZHOU: (pronounced soo-joe) situated to the west of Shanghai, the leading cultural and economic center during the Ming dynasty. Known for its silk textiles, hardwood furniture, and jade ornaments, it was also the home of many influential scholars and artists, some of whom built notable gardens.
YIN-YANG: (pronounced yin-yahng) one of the fundamental metaphysical concepts in China and first described in the *Book of Changes* (*Yijing*, also romanized as *I-ching*). Yin and yang are the two opposing polar manifestations of the Dao, and their continuous change and interaction give rise to all things. As each pole reaches its extreme, it invariably begins to develop into its opposite. Each pole has numerous characteristics: yin is associated with the feminine, darkness, softness, water, passivity, the moon, the tiger, the color black, and north; yang includes the masculine, brightness, activity, the sun, fire, the dragon, the color red, and south.
RESOURCES
SUGGESTED READING
Keswick, Maggie. *The Chinese Garden: History, Art, and Architecture*. 3d. rev. ed. Alison Hardie. Cambridge, Mass.: Harvard University Press, 2003.
Li, Chu-Tsing, and James C. Y. Watt, eds. *The Chinese Scholar’s Studio: Artistic Life in the Late Ming Period*. New York: The Asia Society Galleries, 1987.
Morris, Edwin T. *The Gardens of China: History, Art, and Meanings*. New York: Charles Scribner’s Sons, 1983.
Mureck, Alfreda, and Wen Fong. “A Chinese Garden Court: The Astor Court at The Metropolitan Museum of Art,” *The Metropolitan Museum of Art Bulletin* (Winter 1980/81).
Wang, Joseph C. *The Chinese Garden*. Images of Asia series. New York: Oxford University Press, 1998.
VIDEOGRAPHY
*Ming Garden*. 28 min. The Metropolitan Museum of Art, New York, 1983.
*Mountains and Water: Exploring the Chinese Handscroll*. 19 min. The Metropolitan Museum of Art, New York, 2000.
CHINESE GARDENS IN THE NEW YORK AREA
China Institute in America, 125 East 65th Street, New York, (212) 744-8181; www.chinainstitute.org
The New York Chinese Scholar’s Garden at the Botanical Garden of Staten Island, 1000 Richmond Terrace, Staten Island, (718) 273-8200; www.sibg.org
WEB SITES
Asia Society: www.askasia.org
East Asian Studies Initiative: http://afc.easia.columbia.edu
The Metropolitan Museum of Art: www.metmuseum.org
(See especially the Explore and Learn section and the *Timeline of Art History*)
Washington University, “A Visual Sourcebook of Chinese Civilization”: http://depts.washington.edu/chinaciv
The courtyard is a central feature in Chinese architecture, symbolizing harmony and balance. It is often surrounded by buildings and serves as a space for relaxation and contemplation. The courtyard in this image is designed with traditional elements such as stone pathways, a small bonsai tree, and carefully placed rocks, creating a serene and tranquil atmosphere. | <urn:uuid:068793ca-15b8-4fcf-b0ad-dfda9552f188> | CC-MAIN-2015-11 | http://www.metmuseum.org/learn/for-educators/publications-for-educators/~/media/Files/Learn/For%20Educators/Publications%20for%20Educators/nature_chinese_garden.ashx | 2015-03-01T19:59:23Z | crawl-data/CC-MAIN-2015-11/segments/1424936462548.53/warc/CC-MAIN-20150226074102-00246-ip-10-28-5-156.ec2.internal.warc.gz | 603,458,031 | 8,663 | eng_Latn | eng_Latn | 0.939362 | eng_Latn | 0.997373 | [
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Cytomegalovirus Fact Sheet
What is Cytomegalovirus (CMV)?
CMV is a common virus that infects most people at some time during their lives but rarely causes illness. CMV is a member of the herpes virus family that can “hide” in your body without causing illness but can reappear later and cause illness.
Who gets CMV?
Anyone. Many adults may have already been infected at some time during their life.
How is CMV spread?
CMV is spread from person to person by direct contact. It can be found in the urine, saliva, blood, semen and possibly in other body fluids. The virus can spread from an infected mother to her fetus or newborn baby. CMV can also be spread by blood transfusion and organ transplants.
What are the symptoms of CMV infection?
Most children and adults who are infected with CMV do not become ill. Those who do may have fever, swollen glands and feel tired. Immunocompromised people (such as AIDS patients or those receiving cancer treatments) may have a more serious illness such as pneumonia. About 7 of every 1,000 babies born in the U.S. will be infected with CMV at birth. Out of these 7 babies, one may have health problems.
Cytomegalovirus Fact Sheet
How soon after infection do symptoms appear?
If symptoms develop, they may occur between 3 and 12 weeks after infection. However, most people never become ill.
How long can an infected person carry CMV?
CMV may remain in the body throughout the person’s lifetime. The virus may be found in the urine or saliva of infected people who may or may not be ill.
How is CMV diagnosed?
A blood test is used by the doctor to determine if a person has been infected with CMV.
What is the treatment for CMV infections?
There is usually no treatment for CMV infections.
Should an infected person be excluded from school or work?
No.
What precautions should pregnant women take?
Pregnant women should carefully wash their hands after handling wet diapers or having contact with urine or saliva. Pregnant women working in childcare centers should not kiss babies or young children on the mouth. Hugging is OK. Pregnant women should ask their doctor about CMV infections.
Cytomegalovirus Fact Sheet
What can be done to stop the spread of CMV?
Good handwashing is the best way to prevent infection with CMV. Health care workers should wear plastic disposable gloves when handling sheets or clothes soiled with the feces or urine of persons who are ill.
For further information, contact the Oklahoma City-County Health Department (405) 425-4437
revised 07/2014
OCCHD.ORG | Facebook - Search OKC-County Health or @OCCHD
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